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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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10 Min Read

AI Compliance for RIAs: Audit-Ready in Real Time | StratiFi

Managing growth in a financial advisory firm brings compliance complexity that can quickly overwhelm manual processes.
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11 Min Read

Portfolio Drift: IPS Drift, Style Drift & Policy Breach

IPS Drift, Style Drift, and Policy Breach Most compliance conversations at a growing RIA stall on the same problem: three different situations all get called "drift," and the team ...
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15 Min Read

RIA Portfolio Supervision Compliance: 206(4)-7 & FINRA 3110

The RIA Portfolio Supervision Rulebook Every registered investment adviser (RIA) operates under a specific statutory duty: design and enforce policies reasonably sufficient to ...
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10 Min Read

RIA Compliance Software: The 206(4)-7 Supervision Gap

Why Your Compliance Stack Fails 206(4)-7's Portfolio Supervision Test Walk into any well-run RIA and you will find a mature RIA compliance software stack: a ...
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14 Min Read

Documenting IPS Supervision Under 206(4)-7: A Framework

Documenting IPS Supervision Under 206(4)-7 Most CCOs at mid-sized RIAs can describe their IPS supervision process in a hallway conversation: the firm reviews accounts against the ...
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11 Min Read

Portfolio Supervision Under Rule 206(4)-7 for RIAs

Portfolio Supervision Under Rule 206(4)-7 Most CCOs at growing RIAs have felt this shift. At 10 advisors, investment supervision is a conversation. At 50, it's a process. At 150, ...
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12 Min Read

Share Class Suitability for Retirement Accounts | StratiFi

See ComplianceIQ's retirement account share class compliance → An R3 share in a 401(k) plan may be entirely appropriate. The same R3 share in a retail IRA is almost certainly an ...
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10 Min Read

RIA Compliance 2026: Prove It, Don't Just Say It | StratiFi

Investment adviser compliance has changed significantly over the past decade. At one point in time, it centered on maintaining written policies and completing annual reviews. But ...
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8 Min Read

Share Class Monitoring for RIAs | StratiFi

See ComplianceIQ's Share Class Exceptions module in action → Related practice: how to identify and fix share-class violations. Most RIA compliance software wasn't built for share ...
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19 Min Read

7 Best Wealth Management Software | StratiFi

Managing a modern wealth management firm is no longer just about advising clients.
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10 Min Read

Fix Mutual Fund Share Class Violations | StratiFi

The question isn't whether you have mutual fund share class violations — most RIAs and broker-dealers managing discretionary client assets do. The question is whether you find ...
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8 Min Read

Wealth Management Compliance 2026 | StratiFi

Compliance has always been part of advisory work. However, its role has fundamentally changed.
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