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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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6 Min Read

RIA M&A Is Booming — and Quietly Breaking Compliance Programs

Last updated: 2026-09-10 · By Beverly Flaxington RIA M&A keeps setting records year after year — and almost every deal model prices the revenue synergies while ignoring the ...
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6 Min Read

From Patchwork to Platform: Why Compliance Can't Live in Spreadsheets in 2026

Last updated: 2026-09-08 · By Bruno Gianello A compliance program run on spreadsheets, shared drives, and email threads can satisfy Rule 206(4)-7 on paper and still fail it in ...
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7 Min Read

The Hidden Cost of Your RIA Tech Stack: 15 Logins, One Audit Risk

Last updated: 2026-09-03 · By Beverly Flaxington The real cost of an RIA tech stack is not the sum of the subscriptions — it's the fragmentation those subscriptions create. A ...
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6 Min Read

Shadow AI Is Already in Your Firm — Here's What the SEC Will Ask

Last updated: 2026-08-18 · By Akhil Lodha Shadow AI — personnel using AI tools the firm never approved — is already happening inside most RIAs, whether or not leadership knows it. ...
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6 Min Read

From Data Entry to Exception Handling: How AI Is Rewriting the Client Service Associate Role

Last updated: 2026-08-27 · By Bruno Gianello AI is not eliminating the client service associate role at RIAs — it's inverting it. Document extraction now handles the transcription ...
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7 Min Read

AI Washing: The Marketing-Rule Trap RIAs Are Walking Into

Last updated: 2026-08-25 · By Akhil Lodha AI washing — overstating or misrepresenting how a firm uses artificial intelligence — is already an enforcement category, not a ...
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6 Min Read

After June 3: Turning Your Reg S-P Incident Response Plan From Paper Into Practice

Last updated: 2026-08-20 · By Alberto Sanchez The Regulation S-P compliance deadline for smaller RIAs passed on June 3, 2026 — which means every SEC-registered adviser is now ...
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9 Min Read

The AI Governance Questions SEC Examiners Are Asking RIAs Right Now

Last updated: 2026-08-13 · By Akhil Lodha SEC examiners are already asking RIAs to produce their AI policies, their AI vendor due diligence files, and evidence that a human ...
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11 Min Read

Investment Adviser Compliance Software: Practical Guide

Last updated: August 2, 2026 · By Akhil Lodha Most RIAs do not buy investment adviser compliance software because they want more software. They buy it because the compliance ...
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12 Min Read

What are Buffer ETFs, and are They a Smart Choice for Investors?

Buffer ETFs now hold over $85 billion in assets across more than 470 funds, and they have grown at an average annualized rate of 39% over the past three years. That pace says ...
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14 Min Read

Discretionary vs Non-Discretionary Accounts: An RIA Guide

Most advisors manage both discretionary and non-discretionary accounts across their client book without a clear framework for handling each differently. The account type ...
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14 Min Read

What is an Interval Fund? Everything You Need to Know

Alternative investments have historically been accessible only to institutional investors or those willing to lock up capital for a decade or more.
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