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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

Investment Proposal Software for RIAs | StratiFi

Investment proposal software was designed for a simple advisory model.
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11 Min Read

FINRA Rule 2111 for RIAs: Trading Surveillance | StratiFi

Most CCOs at hybrid firms know FINRA Rule 2111 exists. It appears in compliance training materials, in WSP templates, and in FINRA exam preparation guides. What most hybrid firm ...
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7 Min Read

How to Choose the Right SEC Compliance Software for Your RIA

SEC examinations are becoming broader, more data-driven, and increasingly focused on how advisory firms supervise client portfolios over time. For many RIAs, the bigger challenge ...
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12 Min Read

RIA Trading Thresholds: Set Defensible Limits | StratiFi

The SEC provides no bright-line rule on trade frequency. This is not a relief for compliance officers — it is a compliance burden. When the regulator declines to set the number, ...
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12 Min Read

Wash Sale Rule Compliance for RIAs | StratiFi

Most RIAs treat wash sales as a client tax problem. When a client realises a loss on a security and their advisor repurchases a substantially identical security within 30 days, ...
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12 Min Read

SEC Compliance Solutions for RIAs | StratiFi

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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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