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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

RIA Growth: Scale Without Losing Focus | StratiFi

Leading RIA firms understand that the key to profitable growth is to optimize their ability to specialize in their core business functions of client management and business ...
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| 4 Min Read

The Higher Purpose of Financial Advisors

More than any other type of professional advisor – be it a doctor, a lawyer, an accountant or a counselor – financial advisors have an extraordinary opportunity to build a ...
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| 3 Min Read

The Great Wealth Transfer: Will You Be Left Behind?

It may be the closest thing to a blind side that financial advisors will ever experience. The theme is becoming more commonplace: The husband of a couple you’ve worked with for 10 ...
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| | 5 Min Read

Getting to the Next Level with an Associate Advisor

Anyone with an ambition of getting to the next level and beyond is bound to reach a critical juncture when they realize that what got them to where they are isn’t enough to propel ...
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| 2 Min Read

Howard Marks: Advisors Need To Be Risk Managers

Howard Marks, one of the world’s great money managers, has a simple message for financial advisors: focus on defining and managing financial risk for your clients or risk ...
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| 4 Min Read

Market Volatility Creates Communications Challenges

The wild gyrations that have characterized the market this year should be a stark reminder to financial advisors of the importance of having a defined communications plan in place ...
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| 4 Min Read

Multi-Asset Investing for Passive Investors | StratiFi

The wild stock market gyrations this year have shocked investors who had been lulled into complacency during a largely uninterrupted rally over the previous decade. Suddenly, the ...
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| 3 Min Read

Client-Centric Investing: Goals Over Benchmarks | StratiFi

It has been nearly a decade since the global financial crisis and, while investors are beginning to regain their confidence in the markets, many are still having difficulty ...
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| 5 Min Read

Advisors Lead Risk Management | StratiFi

The sudden return of market volatility this year should be a reminder of the critical role financial advisors play in helping clients to protect their assets. However, as advisors ...
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| 6 Min Read

HNW Client Trap: Build Profitable Niches | StratiFi

The top 1% of Americans now control over one-third of the nation’s total investable assets. These high-net-worth (HNW) investors are the proverbial golden geese sought by many ...
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