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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.

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| 10 Min Read

Investment Policy Statement Software for RIAs: Create Proposal in 5 Minutes

SEC examiners have a predictable first request when they arrive at an RIA: produce the Investment Policy Statement (IPS) for a sample of client accounts. Not because the IPS is a ...
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| | 9 Min Read

Redtail Integration: Analyzing Risk with StratiFi

The requirement for a comprehensive operation and Redtail customer relationship management tool is prominent in finance, where information, important data, and private details are ...
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| | 7 Min Read

Wealthbox Integration: Risk Analysis with StratiFi

In 2014, Wealthbox, a CRM system for all financial advisors was introduced. Wealthbox is renowned for its cutting-edge product design and strong, user-friendly user interface. It ...
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| | 3 Min Read

Smartria Integrates StratiFi PRISM Rating | StratiFi

Users of the award-winning Smartria compliance management platform will gain access to real-time integrated portfolio and employee risk dashboards through StratiFi partnership ...
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| 3 Min Read

Reg BI Enforcement Is Here! Are You Compliant?

Over the past two decades, the responsibilities of financial professionals have shifted from opening accounts and executing trades to providing advice through financial planning. ...
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