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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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17 Min Read

Documenting RIA Suitability in the Advice Process

See how OperationsIQ handles suitability documentation at scale We'll walk through how your firm's paperwork flows from intake to your CRM — including what happens during an ...
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15 Min Read

Held Away Assets: A Practical Guide for Financial Advisors

Last updated: May 23, 2026 · By Akhil Lodha
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20 Min Read

Portfolio Concentration Risk: A Practical Guide for RIAs

Last updated: May 23, 2026 · By Akhil Lodha Every RIA carries a few client portfolios that should keep the CCO up at night. The founder who will not sell the employer stock that ...
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| | | | 17 Min Read

AI Brokerage Statement Extraction: How RIAs Turn Statements Into Audit-Ready Data

Last updated: May 13, 2026 · By Akhil Lodha Brokerage statements are the most overlooked compliance data source in a wealth management firm. Every household sends them in. Every ...
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| | 19 Min Read

Best Financial Document Extraction Vendors for RIAs (2026)

Last updated: May 13, 2026 · By Akhil Lodha Financial document extraction software for RIAs spans three distinct sub-markets — tax-return parsing, estate document review, and ...
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17 Min Read

April 2026 Updates: 6 New Features | StratiFi

TL;DR · What is new in StratiFi this April The April 2026 release in six bullets. Trading Activity Exceptions. Surveillance for both under-trading and over-trading patterns. ...
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12 Min Read

Financial Document Automation: A 2026 Guide for RIAs

Most operations leaders at growing RIAs have tried the obvious fixes — an OCR tool, a folder taxonomy, an analyst keying data from custodian PDFs into the CRM. And the queue is ...
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12 Min Read

Scaling RIA Compliance Past 50 Advisors | StratiFi

Scaling 206(4)-7 Compliance Past 50 Advisors Somewhere between 40 and 60 advisors, most RIAs discover that scaling RIA compliance is not the problem it was at 10. The rulebook has ...
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10 Min Read

SEC Enforcement Actions RIA | IPS Supervision Failures

Four SEC Enforcement Actions That Turned on IPS Supervision Failures Every CCO at a growing RIA eventually asks a version of the same question: what actually triggers SEC ...
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16 Min Read

AI Document Extraction for RIAs | StratiFi

Financial advisors and RIAs are inundated with data locked inside PDFs. Custodial statements, tax returns, onboarding forms, and client agreements hold a lot of data, rarely in a ...
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10 Min Read

7 Best Investment Risk Analytics Software for RIAs

Portfolio risk has become central to how RIAs operate, yet most firms still manage it through fragmented tools and static assessments.
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