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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

Concentrated Stock Positions Risk | StratiFi

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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| 2 Min Read

Risk or Return?

Most people understand that risk is what drives return, but the concept of understanding risk before chasing return barely exists outside of the rarified world of institutional ...
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| 3 Min Read

The Diversification Fallacy

Even after educating clients on “diversification” and managing client emotions and behaviors, advisors often find themselves in an uncomfortable position when portfolios have ...
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| 4 Min Read

Risk Conversations With Clients | StratiFi

Of all the difficult conversations financial advisors must have with their clients, risk is one of the most challenging. That’s because when advisors think of “risk,” it doesn’t ...
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| 3 Min Read

July 2021 Product Release Updates

1. Risk tolerance update filter Users’ problem we aim to solve:
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