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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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9 Min Read

SEC Exam Priorities 2026: What RIAs Need to Know and Do Now

Each year, the SEC's Division of Examinations publishes its examination priorities — a forward-looking statement of the areas it intends to scrutinize most intensively across ...
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9 Min Read

Rule 206(4)-7 Annual Review Requirements: A Practical Guide for RIAs

Rule 206(4)-7 annual review is one of the most consistently cited deficiency areas in SEC examinations of registered investment advisors — not because advisors misunderstand the ...
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9 Min Read

SEC Exam Preparation for Investment Advisors: A Practical Guide

SEC exam preparation for investment advisors is not an event — it is a continuous discipline. Yet most registered investment advisors (RIAs) treat examination readiness as a fire ...
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| 3 Min Read

July 2021 Product Release Updates

1. Risk tolerance update filter Users’ problem we aim to solve:
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| 1 Min Read

Convert Leads into Prospects with StratiFi’s Lead Generation Widget

Did you know that roughly 50% of marketers use a lead magnet to increase conversion rates? When you give prospects something valuable, like the opportunity to assess their ...
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| 3 Min Read

June 2021 Product Release Updates

1. Enhanced Account Settings for Proposal and IPS Users’ problems we aim to solve:
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| 4 Min Read

May 2021 Product Release Updates

1. Model Portfolio Compare, Edit, and Analyze (in beta) Problems we aim to solve:
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| | 4 Min Read

Enhancing Collaboration, Speed, and Simplicity

Collaboration is one of the most important characteristics of any successful team, and especially now that in-person meetings are less feasible, it’s crucial to have a platform ...
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