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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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| | 2 Min Read

Martin Plachko Joins StratiFi to Lead Sales | StratiFi

SAN FRANCISCO, February 24, 2021—StratiFi, developer of award-winning PRISM Rating™ technology for financial advisors, asset managers and broker-dealers has hired Pershing, ...
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| 7 Min Read

Finding Help to Complete SEC Form CRS

Security Exchange Committee SEC. Independent agency of the United States federal government. SEC Regulation Best Interest (Reg BI) became effective on June 30, 2020, a little more ...
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| 11 Min Read

What is an Investment Policy Statement?

When visiting a new country, the best way to find your way around is to map out the directions. You will also want to make an activity plan for all you’ll do once you get there. ...
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| | 5 Min Read

Don’t Let Your Clients Be Fooled by Randomness

It’s no secret that the Robinhood mobile app makes it easy for beginners to start investing. However, it’s unlikely that everyone understands the potential risks of using ...
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| 6 Min Read

Financial Advisors Need to Be Risk Managers

When it comes to your client’s investment or retirement portfolios, there’s always some level of risk. Because of this, measures such as diversification, asset allocation, and ...
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| 4 Min Read

Crisis Financial Planning for Advisors | StratiFi

As families all over the nation focus on the health of loved ones, financial advisors play a significant role in helping clients take financial control of their lives. Although ...
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| | 5 Min Read

Virtual Advisor: Best Practices for Online Meetings

For the foreseeable future, face to face client interactions will not be an option, especially with the risk to immunocompromised and elderly clients. Unfortunately, online web ...
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| 11 Min Read

Breaking Down the Top Virtual Conferencing Tools

There are so many existing platforms that are being used right now to bring previously in-person gatherings — conferences, meetings, celebrations — online. The wealth of options ...
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| 4 Min Read

How to Get Referrals in This Environment

Stay at home. No groups of more than two outside. Social events canceled. These are words financial advisors don’t want to see as they are trying to grow their business. ...
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| 5 Min Read

A Rare Opportunity Your Clients Need to Understand

Over the last number of years, you likely had to tell your clients the importance of being defensive. This is despite markets rallying to new highs month after month, year after ...
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