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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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| 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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| 3 Min Read

Concentrated Stock Positions Risk | StratiFi

Concentrated Stock Positions: The Backroom Joke of Wall Street A concentrated stock risk rating gives an idea of how much of a concentration in a given stock exists in the ...
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| | 12 Min Read

Reverse Churning: A 2026 Compliance Guide for RIAs

Most compliance teams don't lose a reverse-churning case because they failed to detect a problem account. They lose it because, when an examiner asked for the supervisory record, ...
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| 3 Min Read

Diversifying Portfolios: It is Correct or Useful?

A diversification risk rating gives an idea of the true diversification of a portfolio. This depends on the level of cross-correlation that exists within the portfolio but it is ...
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| 2 Min Read

What is a Tail Event Risk Rating?

A tail event risk rating gives an idea of how vulnerable a portfolio would be in the rare event of a market shock. The distribution of market returns is expected to be normally ...
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