---
title: StratiFi at Schwab Regulatory Conference | StratiFi
description: StratiFi sponsors Schwab's Regulatory Hot Topics conference for advisors and compliance officers. Learn exam prep, conflict disclosure, and portfolio...
image: https://www.stratifi.com/hubfs/logo.png
---

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  [
  
  
  
  Turn Client Anxiety Into Confidence With Ongoing Risk Alignment
  
  
  
  ](https://www.stratifi.com/advisoriq)
  
  [
  
  
  
  Institutional Risk Analysis For Modern Wealth Management Firms
  
  
  
  ](https://www.stratifi.com/institutional-multi-factor-risk-analysis)
  
  
  
  
  
  
  
  
  
  
  
  [
  
  
  
  Create Winning Proposal In Minutes That Showcase Your Expertise
  
  
  
  ](https://www.stratifi.com/create-winning-investment-proposals-in-minutes)
  
  [
  
  
  
  Say Goodbye To Manual Data Entry With AI Data Extraction
  
  
  
  ](https://www.stratifi.com/operationsiq)
  
  
  
  
  
  
  
  
  
  
  
  [
  
  
  
  Get E-Signed Investment Policy Statements From Clients
  
  
  
  ](https://www.stratifi.com/convert-investment-proposals-to-e-signed-ipss-instantly)
  
  [
  
  
  
  Prevent Fines With Automated Portfolio Supervision & Surveillance Monitoring
  
  
  
  ](https://www.stratifi.com/complianceiq)
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  [
  
  
  
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  **Replace multiple disconnected tools with one unified AI operating system**
  
  
  
  ](https://www.stratifi.com/how-financial-advisors-use-stratifi)
  
  [
  
  
  
  Chief Executive Officers
  
  **Scale your wealth management firm beyond your imagination**
  
  
  
  ](https://www.stratifi.com/how-chief-executive-officers-use-stratifi)
  
  
  
  
  
  
  
  
  
  
  
  [
  
  
  
  Chief Compliance Officers
  
  
  **Turn regulatory overhead into your firm's competitive edge**
  
  
  
  ](https://www.stratifi.com/how-chief-compliance-officers-use-stratifi)
  
  [
  
  
  
  Chief Investment Officers
  
  **Enable advisors to deliver personalized institutional-quality solutions at scale**
  
  
  
  ](https://www.stratifi.com/how-chief-investment-officers-use-stratifi)
  
  
  
  
  
  
  
  
  
  
  
  [
  
  
  
  Chief Operations Officers
  
  
  **Build scalable operations that enable unlimited firm expansion**
  
  
  
  ](https://www.stratifi.com/how-chief-operations-officers-use-stratifi)
  
  [
  
  
  
  Chief Technology Officers
  
  
  **Build capabilities that attract top talent and drive strategic differentiation**
  
  
  
  ](https://www.stratifi.com/how-chief-technology-officers-use-stratifi)
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  [ Blog ](https://www.stratifi.com/blog)
  
  
  
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  [ Five Portfolio Risk Myths ](https://www.stratifi.com/5-myths-ebook-download)
  
  
  
  [ Help Cautious Investors ](https://www.stratifi.com/cash-hoarder-ebook)
  
  
  
  [ Manage Aggressive Investors ](https://www.stratifi.com/risk-takers-ebook)
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  ](https://www.stratifi.com/blog/news/stratifi-participates-at-charles-schwab-event#)
  
  [
  
  
  
  Turn Client Anxiety Into Confidence With Ongoing Risk Alignment
  
  
  
  ](https://www.stratifi.com/advisoriq)
  
  [
  
  
  
  Institutional Risk Analysis For Modern Wealth Management Firms
  
  
  
  ](https://www.stratifi.com/institutional-multi-factor-risk-analysis)
  
  
  
  
  
  
  
  
  
  
  
  [
  
  
  
  Create Winning Proposal In Minutes That Showcase Your Expertise
  
  
  
  ](https://www.stratifi.com/create-winning-investment-proposals-in-minutes)
  
  [
  
  
  
  Say Goodbye To Manual Data Entry With AI Data Extraction
  
  
  
  ](https://www.stratifi.com/operationsiq)
  
  
  
  
  
  
  
  
  
  
  
  [
  
  
  
  Get E-Signed Investment Policy Statements From Clients
  
  
  
  ](https://www.stratifi.com/convert-investment-proposals-to-e-signed-ipss-instantly)
  
  [
  
  
  
  Prevent Fines With Automated Portfolio Supervision & Surveillance Monitoring
  
  
  
  ](https://www.stratifi.com/complianceiq)
- Solutions ****
  
  [Solutions
  
  
  
  ](https://www.stratifi.com/blog/news/stratifi-participates-at-charles-schwab-event#)
  
  [
  
  
  
  Financial Advisors
  
  **Replace multiple disconnected tools with one unified AI operating system**
  
  
  
  ](https://www.stratifi.com/how-financial-advisors-use-stratifi)
  
  [
  
  
  
  Chief Executive Officers
  
  **Scale your wealth management firm beyond your imagination**
  
  
  
  ](https://www.stratifi.com/how-chief-executive-officers-use-stratifi)
  
  
  
  
  
  
  
  
  
  
  
  [
  
  
  
  Chief Compliance Officers
  
  
  **Turn regulatory overhead into your firm's competitive edge**
  
  
  
  ](https://www.stratifi.com/how-chief-compliance-officers-use-stratifi)
  
  [
  
  
  
  Chief Investment Officers
  
  **Enable advisors to deliver personalized institutional-quality solutions at scale**
  
  
  
  ](https://www.stratifi.com/how-chief-investment-officers-use-stratifi)
  
  
  
  
  
  
  
  
  
  
  
  [
  
  
  
  Chief Operations Officers
  
  
  **Build scalable operations that enable unlimited firm expansion**
  
  
  
  ](https://www.stratifi.com/how-chief-operations-officers-use-stratifi)
  
  [
  
  
  
  Chief Technology Officers
  
  
  **Build capabilities that attract top talent and drive strategic differentiation**
  
  
  
  ](https://www.stratifi.com/how-chief-technology-officers-use-stratifi)
- Resources ****
  
  [Resources
  
  
  
  ](https://www.stratifi.com/blog/news/stratifi-participates-at-charles-schwab-event#)
  
  
  
  Education
  
  [ Blog ](https://www.stratifi.com/blog)
  
  
  
  [ Glossary ](https://www.stratifi.com/glossary)
  
  
  
  [ Knowledge Base ](https://help.stratifi.com/)
  
  
  
  [ Video Lessons ](https://help.stratifi.com/video-lessons#main-content)
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  Community
  
  [ Case Studies ](https://www.stratifi.com/case-studies/)
  
  
  
  [ Model Marketplace ](https://www.stratifi.com/model-marketplace)
  
  
  
  [ Partners ](https://www.stratifi.com/partnership)
  
  
  
  [ Webinars ](https://www.stratifi.com/webinars)
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  Ebooks
  
  [ Five Portfolio Risk Myths ](https://www.stratifi.com/5-myths-ebook-download)
  
  
  
  [ Help Cautious Investors ](https://www.stratifi.com/cash-hoarder-ebook)
  
  
  
  [ Manage Aggressive Investors ](https://www.stratifi.com/risk-takers-ebook)
- [Integrations](https://www.stratifi.com/integrations)
- [Pricing](https://www.stratifi.com/pricing)

[← All articles](https://www.stratifi.com/blog)

# StratiFi at Schwab Regulatory Conference | StratiFi

#### Table Of Contents

[View All Articles →](https://www.stratifi.com/blog)

![](https://static.hsstatic.net/BlogImporterAssetsUI/ex/missing-image.png)

**San Francisco, February 14, 2019 – ** StratiFi Technologies Inc. announced today that it is a premier sponsor of a Charles Schwab conference, Regulatory Hot Topics: Preparing for 2019 for Financial Planners and Compliance Officers.

The Feb. 28 event, presented by the Northern California Region of Schwab Advisor Services, will help financial planners and compliance officers address key issues core including:

- Services to retirement accounts 
    - Aging-client issues
    - Cybersecurity
    - Portfolio management and trading and disclosure of conflicts, fees, and expenses.
- How regulators evaluate sales practices
- Steps you can take and a checklist of tips to prepare for the exam

The [event ](https://www.cvent.com/events/regulatory-hot-topics-preparing-for-2019/event-summary-d135d5a7b9b34ebf847f5874c40a67b4.aspx?mkt_tok=eyJpIjoiTkRGalltWmhNR0pqWXpoaCIsInQiOiJUd1VaUTU5T1dMQm4wdHNQRCtxM2NyNkVSUXVDT3B5WllnRUtXU1lLd296TlRRNEJLWEo5dXorV3BqSWl0RWNGNk1CV3NNN0U2SU9MSUN5bDdYSTF2Zz09In0=)will be held at the Schwab Center, 211 Main Street, San Francisco.

**About StratiFi Technologies**

StratiFi Technologies Inc. helps investors make smarter investment decisions.

We enable investment advisors, family offices and investors to define and manage risks that are often hidden, or not well understood, within their client’s portfolios. Our PRISM Rating™ technology democratizes risk management techniques that are normally the purview of sophisticated institutional investors. By identifying, defining, and managing risks, StratiFi helps financial advisors help their clients, and also protect and grow their practices. By educating clients about the realities of markets, advisors can deepen relationships, and better help investors confront the challenges of modern markets and the demands of modern life.

StratiFi, based in San Francisco and New York, is backed by key investors who are focused on financial technology, including Cboe Global Markets, Wolverine Holdings, and leading venture capital firms, including Anthemis Group, Khosla Ventures and Y Combinator.

[News](https://www.stratifi.com/blog/tag/news)

## See how leading wealth management firms scale with StratiFi

←

→

[

Ingalls & Snyder: 5K Accounts, $12B AUM | StratiFi

](https://www.stratifi.com/case-studies/how-ingalls-snyder-solidifies-risk-oversight-across-5k-accounts-and-12b-in-aum-with-stratifi) [

Portfolio Drift Detection 4× Faster — Kingsview | StratiFi

](https://www.stratifi.com/case-studies/how-kingsview-identifies-portfolio-drift-4x-faster-with-stratifi) [

Same-Day Proposals Across 10K Accounts — Fortis | StratiFi

](https://www.stratifi.com/case-studies/how-fortis-capital-advisors-delivers-same-day-proposals-across-10k-accounts-with-stratifi) [

Creekmur Wealth: 50–200 Hours Saved Per M&A | StratiFi

](https://www.stratifi.com/case-studies/how-creekmur-wealth-advisors-save-50-200-hours-on-every-acquisition-transition) [

Spire: 15K Accounts, $5B AUM, 30% Growth | StratiFi

](https://www.stratifi.com/case-studies/how-spire-streamlines-wealth-management-across-15k-accounts-and-5b-in-assets-with-stratifi)

[View all case studies →](https://www.stratifi.com/case-studies)

## Subscribe and stay up-to date.

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##### Product

- [Compliance IQ](https://www.stratifi.com/complianceiq)
- [ScanIQ](https://www.stratifi.com/operationsiq)
- [InvestIQ](https://www.stratifi.com/create-winning-investment-proposals-in-minutes)
- [PolicyIQ](https://www.stratifi.com/convert-investment-proposals-to-e-signed-ipss-instantly)
- [RiskIQ](https://www.stratifi.com/advisoriq)
- [PrismIQ](https://www.stratifi.com/institutional-multi-factor-risk-analysis)
- HouseholdIQComing Soon
- TransitionIQComing Soon
- ResearchIQComing Soon

##### Solutions

- [Financial Advisors](https://www.stratifi.com/how-financial-advisors-use-stratifi)
- [Chief Compliance Officers](https://www.stratifi.com/how-chief-compliance-officers-use-stratifi)
- [Chief Investment Officers](https://www.stratifi.com/how-chief-investment-officers-use-stratifi)
- [Chief Operations Officers](https://www.stratifi.com/how-chief-operations-officers-use-stratifi)
- [Chief Executive Officers](https://www.stratifi.com/how-chief-executive-officers-use-stratifi)

##### Competitors

- [StratiFi vs Nitrogen](https://go.stratifi.com/stratifi-vs-nitrogen-comparison)
- [StratiFi vs Orion Risk](https://go.stratifi.com/stratifi-vs-hidden-levers-comparison)
- [StratiFi vs Tolerisk](https://go.stratifi.com/stratifi-vs-tolerisk-comparison)
- [StratiFi vs Finametrica](https://go.stratifi.com/risktolerance-assessment-landing-page?competitor=finametrica)
- [StratiFi vs YCharts](https://go.stratifi.com/stratifi-vs-ycharts-comparison)
- [StratiFi vs Kwanti](https://go.stratifi.com/stratifi-vs-kwanti-comparison)

##### Resources

- [Help Cautious Investors](https://www.stratifi.com/cash-hoarder-ebook)
- [Deal With High Risk Takers](https://www.stratifi.com/risk-takers-ebook)
- [Five Myths About Portfolio Risk](https://www.stratifi.com/5-myths-ebook-download)

##### Company

- [Blog](https://www.stratifi.com/blog)
- [Knowledge Base](https://help.stratifi.com)
- [Integrations](https://www.stratifi.com/integrations)
- [API](https://api.stratifi.com)

##### Follow us

- <https://www.linkedin.com/company/stratifi>
- <https://x.com/trystratifi>

© StratiFi Technologies Inc. 2026

[Terms & Conditions ](https://www.stratifi.com/terms)

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