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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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| 5 Min Read

Next-Gen Clients & Trust: Advisor Guide | StratiFi

The greatest intergenerational transfer of wealth in history is underway. As a financial advisor, it represents either an unprecedented opportunity or a threat to your survival. ...
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| 5 Min Read

An Essential Way To Grow Your Business

For much of the past decade, advisors have benefitted from market-driven growth. As the markets advance, assets under management increased. Now, as the bull market trounces onward ...
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| 1 Min Read

Luck, Risk and Avoiding Losers

When Howard Marks speaks, it pays to listen. The chairman of Oaktree Capital recently sat for a lengthy interview with Shane Parrish of Farnam Street in which he covered many key ...
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| 3 Min Read

Is the Era of Index Funds About to End Badly?

In February 2019, the Standard & Poor’s 500 index hit a new high, less than two months after one of the worst one-month declines on record. From its December 24, 2018 low, the ...
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| 4 Min Read

How To Create Your Own Guaranteed Pension

Many people struggle with choosing a retirement income strategy that assures they will not outlive their money without assuming significant risks. The optimum strategy is ...
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| 4 Min Read

The Long and Short of Investing

For much of the past decade, investment profits have flowed to anyone who simply bought stocks and sat tight. But now the stock market is beginning to show signs of aging. ...
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| 3 Min Read

Private Equity for HNW Clients | StratiFi

One of the key lessons of the 2018 investment year is that extreme volatility can wreak havoc on investment portfolios, even those that are thought to be relatively safe due to ...
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| 1 Min Read

Someone’s Making a Big Bet on a Border Wall

Steven M. Sears, StratiFi’s chief investment officer, recently focused on some of the key attributes of successful investing in a column that he wrote for Barron’s.
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| 4 Min Read

The Danger of Index Funds

The recent stock market decline is a stark reminder to investors that there is risk in index funds. This is coming as a shock to many. After years of quantitative easing, ...
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| 4 Min Read

Now is not the Time for Advisors to Cut Back on Their Marketing

In 2018, volatility in the stock market returned with a vengeance, catching most investors and many advisors off guard. Advisors, who have experienced at least a couple of market ...
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| 3 Min Read

Tactical Asset Allocation Strategy | StratiFi

One thing we can say for certain is that, after a 10-year bull run with minimal volatility, the market is due for a change. With the return of extreme volatility this year and a ...
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| 4 Min Read

Online Presence & Advisor Reputation | StratiFi

You have an online presence, either intentionally or unintentionally, or both. Go ahead and “Google” yourself or the name of your firm. Does anything come up on the first page of ...
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