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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

Reg BI Enforcement Is Here! Are You Compliant?

Over the past two decades, the responsibilities of financial professionals have shifted from opening accounts and executing trades to providing advice through financial planning. ...
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| 4 Min Read

January 2022 Product Release Updates

So far in 2022, we’ve made several exciting updates including support for multiple templates for Proposals & IPS, the option to display securities when listing assets in ...
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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 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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