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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 Trading Activity Monitoring 2026 | StratiFi

In March 2026, StratiFi attended the IAA Annual Conference where the SEC's Division of Examinations presented their 2026 exam framework directly. The SEC exam priorities 2026, ...
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13 Min Read

What Is Churning in Finance? A Complete Guide for RIAs

In March 2026, the SEC's Division of Examinations named dually registered advisers — firms operating as both RIAs and broker-dealers — as a named focus area for trading activity ...
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11 Min Read

Unified Wealth Platforms for RIAs | StratiFi

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11 Min Read

SEC Compliance Requirements for RIAs | StratiFi

SEC compliance requirements require RIAs and broker-dealers to go beyond merely having written policies or conducting regular reviews. They expect registered investment advisors ...
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9 Min Read

SEC Exam Priorities 2026: What RIAs Need to Know and Do Now

Each year, the SEC's Division of Examinations publishes its examination priorities — a forward-looking statement of the areas it intends to scrutinize most intensively across ...
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9 Min Read

Rule 206(4)-7 Annual Review Guide | StratiFi

Rule 206(4)-7 annual review is one of the most consistently cited deficiency areas in SEC examinations of registered investment advisors — not because advisors misunderstand the ...
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9 Min Read

SEC Exam Preparation for Investment Advisors: A Practical Guide

SEC exam preparation for investment advisors is not an event — it is a continuous discipline. Yet most registered investment advisors (RIAs) treat examination readiness as a fire ...
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21 Min Read

RIA Compliance Software Platforms 2026 | StratiFi

For RIAs, compliance is no longer a periodic obligation handled during scheduled reviews or annual audits.
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4 Min Read

Client Reviews Compliance Monitoring | StratiFi

Most advisory firms know they need to conduct regular client reviews. Fewer have a system that actually makes it easy.
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13 Min Read

Audit-Ready Compliance for RIAs & BDs | StratiFi

For RIAs and broker-dealers, regulatory exams still trigger a cycle of disruption. Teams scramble through spreadsheets, email threads, custodian exports, and shared drives to ...
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20 Min Read

8 Best Compliance Software for RIAs | StratiFi

Compliance expectations for RIAs and broker-dealers continue to rise. These expectations are driven by Reg BI enforcement, evolving suitability standards, increased exam ...
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31 Min Read

Top AI Compliance Solutions for Financial Services firms

For RIAs and broker-dealers, compliance has become a daily operating challenge. Best-interest expectations under Reg BI, suitability alignment, share-class oversight, ...
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