hamburger
Book a Demo
sign-1
Book a Demo
hamburger
sign-1
Book a Demo
hamburger

Insights for RIAs and Broker-Dealers

Risk, compliance, operations and practice management insights for RIAs and broker-dealers — from the StratiFi team and industry contributors.

View all blogs

Choose category

| 10 Min Read

RIA Trading Activity Monitoring 2026 | StratiFi

In March 2026, StratiFi attended the IAA Annual Conference where the SEC's Division of Examinations presented their 2026 exam framework directly. The SEC exam priorities 2026, ...
Read More
13 Min Read

What Is Churning in Finance? A Complete Guide for RIAs

In March 2026, the SEC's Division of Examinations named dually registered advisers — firms operating as both RIAs and broker-dealers — as a named focus area for trading activity ...
Read More
11 Min Read

Unified Wealth Platforms for RIAs | StratiFi

Read More
11 Min Read

SEC Compliance Requirements for RIAs | StratiFi

SEC compliance requirements require RIAs and broker-dealers to go beyond merely having written policies or conducting regular reviews. They expect registered investment advisors ...
Read More
21 Min Read

RIA Compliance Software Platforms 2026 | StratiFi

For RIAs, compliance is no longer a periodic obligation handled during scheduled reviews or annual audits.
Read More
4 Min Read

Client Reviews Compliance Monitoring | StratiFi

Most advisory firms know they need to conduct regular client reviews. Fewer have a system that actually makes it easy.
Read More
13 Min Read

Audit-Ready Compliance for RIAs & BDs | StratiFi

For RIAs and broker-dealers, regulatory exams still trigger a cycle of disruption. Teams scramble through spreadsheets, email threads, custodian exports, and shared drives to ...
Read More
20 Min Read

8 Best Compliance Software for RIAs | StratiFi

Compliance expectations for RIAs and broker-dealers continue to rise. These expectations are driven by Reg BI enforcement, evolving suitability standards, increased exam ...
Read More
31 Min Read

Top AI Compliance Solutions for Financial Services firms

For RIAs and broker-dealers, compliance has become a daily operating challenge. Best-interest expectations under Reg BI, suitability alignment, share-class oversight, ...
Read More
10 Min Read

Compliance Documentation for RIAs & BDs | StratiFi

Compliance documentation is a top priority for RIAs and broker-dealers, particularly larger firms that operate squarely in regulators’ line of sight. Dedicated teams and formal ...
Read More
32 Min Read

AI Operating System for RIAs & Advisors | StratiFi

The advisory industry is approaching a critical moment as four structural pressures converge. These forces are defining which firms will scale into the next decade and which will ...
Read More
| | 11 Min Read

PRISM 2.0: A New Era in Risk Assessment

Risk assessment just got a major upgrade. After four months of intensive development and testing, PRISM 2.0 is here. It's not just an update—it's a complete reimagining of how we ...
Read More
Prev 3 4 5 6 7 Next

Subscribe and stay up-to date with the latest from StratiFi

Frame 1321319448

Choose The Future. Choose Independence. Choose StratiFi.

Book a demo