Stop Chasing Spreadsheets: StratiFi's New Client Reviews Feature Automates Your Compliance Workflow

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

The reality? Many firms still rely on spreadsheets, calendar reminders, and email threads to track which clients are due for a review, who completed one, and whether the documentation is audit-ready. It works, until it doesn't. A missed review, a lost file, or an inconsistent process can quickly become a compliance headache.

That's exactly why we built Client Reviews - a new add-on feature inside StratiFi's Compliance suite.

What Is Client Reviews?

Client Reviews is a purpose-built compliance tool that helps wealth management firms systematically schedule, complete, document, and oversee portfolio reviews, all from within the StratiFi platform.

It replaces the patchwork of spreadsheets and manual tracking with a structured, automated workflow that covers the entire review lifecycle.

Here's what it handles:

Who Is It For?

Client Reviews is designed for three key roles within an advisory firm:

• Advisors: View pending reviews, complete questionnaires, attach supporting documents, and submit for approval.
• Compliance team: Set review frequency, define approval supervisors, and configure review policies.
• Supervisors: Approve or send back flagged reviews with comments, maintaining proper oversight.

Analysts can also participate by preparing reviews as drafts for advisors to finalize and submit.

The Problem It Solves

Periodic client reviews aren't optional, they're a core compliance expectation. But without the right tooling, firms face a predictable set of challenges:

How It Works in Practice

Scenario: An advisor at a mid-size RIA has 80 clients. Reviews are due annually.

1. The system does the scheduling. Based on the firm's configured 12-month frequency, StratiFi automatically calculates each client's next review date. No spreadsheet maintenance needed.
2. The dashboard surfaces what matters. The advisor logs in and sees a prioritized list, overdue reviews at the top, upcoming ones next. Quick filters let them zero in on what needs attention this week.
3. The review itself is guided. The advisor selects the client, chooses the relevant accounts, and works through a structured questionnaire. If an answer triggers a flag - say, a portfolio deviation that requires explanation, the system prompts for documentation and routes the review to a supervisor.
4. Clean reviews resolve automatically. If every answer meets the firm's approval criteria, the review is marked complete. No supervisor bottleneck for straightforward cases.
5. Supervisors handle the exceptions. Flagged reviews land in the supervisor's queue with clear context. They can approve, request revisions with a comment, or add feedback, all within the platform.
6. The client record stays current. Once resolved, the review appears in the client's compliance history. The next review date is recalculated automatically.

Key Features at a Glance

• Flexible review frequency: Choose from 6, 12, 18, or 24-month cycles
• Custom questionnaires: Tailored to your firm's specific review process
• Conditional logic: Answers can trigger required explanations, file uploads, or supervisor review
• Draft saving: Save progress and return later (keyboard shortcut: Ctrl+S / Cmd+S)
• File attachments: Upload supporting documents at the question or review level (PDF, DOC, XLS, images - up to 10MB)
• Role-based permissions: Analysts draft, advisors submit, supervisors approve
• Client detail integration: Review status visible directly on the client overview page
• Ad hoc reviews: Start a review anytime from the client detail page, not just when one is scheduled

Why It Matters

Client Reviews isn't just about checking a compliance box. It gives firms three things that are hard to achieve with manual processes:

1. Consistency: Every client gets the same structured review, regardless of which advisor handles it.
2. Visibility: Managers and supervisors can see review status across the entire book at a glance.
3. Defensibility: A complete, time-stamped audit trail of every review, every answer, and every supporting document.

For firms preparing for regulatory exams or looking to tighten their compliance posture, that combination is hard to beat.

See It in Action

Client Reviews is available now as an add-on within StratiFi's Compliance suite.

Want to see how it fits into your firm's workflow? Book a demo →