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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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| 4 Min Read

The Unfaithful Client

Your client is worth $25 million, yet you only manage a small portion of that total. Sound familiar? The issue of clients with accounts spread across multiple advisory firms often ...
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| 4 Min Read

A New Era for Cash Management

Interest rates are rising. If your clients are asking how you’re moving to protect their capital, you’re not alone. Global money market funds saw the largest inflows of any ...
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| 8 Min Read

Three Immediate Risks to Your Firm and How to Manage Them

If you follow financial industry trades or perhaps just skim the headlines, you know the term “risk” is omnipresent. It’s not surprising given the entire investment world is ...
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| 2 Min Read

Avoid The Overconfidence Trap: Conduct Your Own Stress Test

When Willie Sutton, a famous bank robber, was asked why he robbed banks, he answered because that’s where the money is. And so it is with the stock market. Most people invest ...
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| 3 Min Read

How to Make $1 million on Wall Street

Everyone wants to make money in the stock market so we’re going to let you in on a secret. The way to make $1 million on Wall Street is to start with $2 million. If you’ve been ...
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| 4 Min Read

Build Trust and Be Indispensable To Your Clients

Do your clients trust you? Do they think you are indispensable or an easily replaced commodity? We’re asking those questions in a spirit of helpfulness.
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| 3 Min Read

Finding Serenity In a Noisy Market

We live in an era when investors have more information readily available than the world’s most accomplished investors ever imagined just 50, or even 100 years ago. Still, many ...
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| 3 Min Read

Is Amazon.com Eating Your Client’s Business?

At a recent Barron’s conferences for the nation’s top advisors, we were surprised by a recurring topic: Amazon.com. Everywhere we turned, someone was discussing how Amazon.com was ...
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| 2 Min Read

The Sweetest Risk Factors Leave The Bitterest Aftertastes

Of all the risk factors that confront investors, concentrated-stock risk is perhaps the sweetest.
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| 3 Min Read

How to Expect the Unexpected? Educate Yourself.

One of the market’s wise men – someone who is known and respected by everyone but shuns the limelight – believes the financial markets represent pure chaos. He contends that ...
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| 4 Min Read

Is Your Portfolio Truly Diversified? Probably Not.

At this very moment, some advisor, somewhere in the securities industry, is confronting a difficult reality with their clients.
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| 4 Min Read

How To Thrive In The Age of Volatility?

Volatility is one of the most widely used, yet misunderstood, words in the investment world. It means so many things to so many people that volatility is at risk of becoming ...
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