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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

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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8 Min Read

12b-1 Fees: RIA Compliance Risk & Detection | StratiFi

Automate share class conflict detection with ComplianceIQ → Related practice: how to identify and fix share-class violations. Most RIA compliance teams know 12b-1 fees exist. Far ...
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11 Min Read

Portfolio Management Software for Advisors | StratiFi

Selecting financial advisor portfolio management software is a consequential tech decision for advisory firms. It shapes how portfolios are constructed, how decisions are ...
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14 Min Read

Share Class Conflicts: RIA Compliance Guide | StratiFi

See how ComplianceIQ flags share class conflicts automatically → Related practice: how to identify and fix share-class violations. Mutual fund share classes are one of the most ...
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