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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

Good Investment Coaches are Indispensable to Their Clients

When clients hire financial advisors, there’s an expectation that their advisor will work with them to develop an investment strategy that reflects their investment profile. ...
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| 3 Min Read

4 Steps Advisors Should Take To Strengthen Compliance

As regulatory activity in the wealth management industry hits a fever pitch, financial advisors and their firms are increasingly finding themselves at odds with compliance ...
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| 3 Min Read

Thought Leadership: Advisor Brand Edge | StratiFi

You are your brand. Your brand is you. You may never think that this is a top business priority as a financial advisor, but your clients – current and prospective – crave ...
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| 4 Min Read

Four Reasons Financial Advisors Must Embrace Technology

The future is now. Financial advisors who can see it, and grab it, have an advantage over their competitors. While it is popular for some financial advisors to lament the rise of ...
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| 3 Min Read

How To Avoid Email Marketing Mistakes

For many financial advisors, email marketing is an effective way to communicate with their target market. Advisors favor email because, once it’s set up, it is easy to manage – ...
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| 4 Min Read

Specialization May Be Financial Advisors’ Quickest Path to Success

Most financial advisors begin their careers as generalists, offering a full range of investment and insurance products to anyone who will see them. Some remain as product ...
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| | 0 Min Read

Steven Sears on Risk & Portfolio Hedging | StratiFi

In the past 100 days, the stock market has advanced about 22%. This return is so extraordinary that many investors would be satisfied with that gain over an entire year. This ...
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| 6 Min Read

Advisors: Social Media for Client Growth | StratiFi

Today, the vast majority of a financial advisor’s potential clients reside in a parallel universe called social media – a digital cosmos that exists alongside the physical world. ...
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| 6 Min Read

Attract Ideal Clients With Online Personas

Most financial advisors understand the value of an ideal client profile in helping them identify the type of prospects they should pursue to grow their practice. While that may ...
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