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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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| 3 Min Read

December 2021 Product Release Updates

In December, we’ve made several exciting updates including adding the Portfolio Risk Score section to IPS, improving the custom section’s inline editor, and more. Scroll down for ...
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| 1 Min Read

Customized Asset Classification

New Enhancement: Customize asset classification and improved asset listing look and feel This enhancement provides the control to the advisor on how to list and name the different ...
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| 3 Min Read

Concentrated Stock Positions: The Backroom Joke of Wall Street

Concentrated Stock Positions: The Backroom Joke of Wall Street A concentrated stock risk rating gives an idea of how much of a concentration in a given stock exists in the ...
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| | 12 Min Read

Reverse Churning: A 2026 Compliance Guide for RIAs

Most compliance teams don't lose a reverse-churning case because they failed to detect a problem account. They lose it because, when an examiner asked for the supervisory record, ...
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| 3 Min Read

Diversifying Portfolios: It is Correct or Useful?

A diversification risk rating gives an idea of the true diversification of a portfolio. This depends on the level of cross-correlation that exists within the portfolio but it is ...
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| 2 Min Read

What is a Tail Event Risk Rating?

A tail event risk rating gives an idea of how vulnerable a portfolio would be in the rare event of a market shock. The distribution of market returns is expected to be normally ...
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| 2 Min Read

Understanding Volatility Risk

A volatility risk rating gives an idea of how vulnerable a portfolio is to systematic risk i.e. the risk inherent to the entire market or market segment. By using StratiFi, ...
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| 2 Min Read

Multiple Dimensions of Risk

StratiFi’s PRISM technology is designed to function as an in-house portfolio risk manager. Today, PRISM analyzes portfolios for exposures to four key dimensions that are widely ...
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