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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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13 Min Read

Document Automation for Financial Services: How to Do It and 5 Tools to Try

Financial services firms process thousands of documents per month. Brokerage statements, custodial transfers, new account applications, tax documents, KYC forms, and IPS updates. ...
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3 Min Read

StratiFi Product Update, July 2026: The Rationale Is Now in the File

When an examiner pulls a client file, the risk rationale should be in the file. Not reconstructed weeks later from email threads, CRM notes, and spreadsheets.
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14 Min Read

What is Risk Tolerance Assessment? Tools, Techniques & Best Practices

A risk tolerance assessment is one of the first things an SEC examiner asks to see, and one of the first places they look for a suitability gap.
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15 Min Read

Advisors' Guide to Portfolio Compliance Monitoring (Tools & Guidance)

Portfolio compliance monitoring failures are rarely the first thing to be discovered. They surface during SEC examinations, through client complaints, or after a share class ...
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18 Min Read

6 Best Broker-Dealer Compliance Software Platforms in 2026

Broker-dealers operate under a compliance architecture that most general-purpose tools were never built to carry. FINRA Rule 3110 mandates written supervisory procedures (WSPs), ...
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11 Min Read

SEC Compliance Officer for RIAs: Roles and Responsibilities

The CCO role has changed significantly since Rule 206(4)-7 was adopted in December 2003 and took effect in February 2004. What began as a part-time, policy-management function has ...
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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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