Challenge
Streamlining compliance workflows during rapid growth
Kingsview is no stranger to sustained growth, having more than doubled its number of advisors and assets under management over the past five years. However, as compliance and operations teams faced rising demands to keep pace, the sustainability of the firm’s traditionally manual workflows was quickly called into question.
At the time, Kingsview’s compliance teams relied heavily on spreadsheet-based drift analysis and paper RTQs to ensure portfolio management aligned with each client’s risk tolerance. Not only were these cumbersome and error-prone processes, but they also drained bandwidth for other equally important initiatives, including documentation and policy development.
While Kingsview had established a robust fintech stack to support its team, fragmented software required them to juggle disjointed logins, and some solutions couldn’t perform basic portfolio drift calculations reliably. Kingsview needed a unified, accurate, and intuitive solution that would not only support its compliance teams, but also its growing roster of field advisors.
It wasn’t long until Kingsview discovered StratiFi through T3’s 2025 Software Survey. Upon seeing how StratiFi ranked the highest in the Risk Tolerance Instruments category, Kingsview knew it had found the ideal solution.
“Our teams and advisors are already bombarded with too many technological solutions and applications to log into. StratiFi unifies intelligent wealth management into a single operating system. That is its true value-add.”
Solution
Transforming regulatory risks into revenue growth with StratiFi
StratiFi’s deep integration with Orion and hands-on support meant onboarding was a swift and seamless process.
Once implemented, StratiFi replaced Kingsview’s legacy paper-based RTQs with easily customizable risk questionnaires, condensing client onboarding flows from hours to minutes while eliminating document overload in tandem.
To further simplify compliance workflows, StratiFi delivered automated portfolio drift monitoring, real-time exception alerts, and comprehensive reporting. Today, Kingsview’s teams no longer spend hours per week manually analyzing portfolios, freeing them to focus on higher-value work and solidifying client relationships.
Any account needing team or advisor attention, whether for drift, onboarding risk, or new proposals, surfaces instantly on StratiFi’s AI-powered compliance dashboard. With this unified view, Kingsview can track compliance across all accounts, respond immediately to emerging issues, and demonstrate continuous oversight to regulators.
The benefits don’t stop at compliance. With StratiFi, Kingsview advisors also generate personalized proposals in minutes, based on each client’s RTQ and ongoing risk analysis. This level of operational efficiency not only solidifies trust with existing clients, but also acts as a force multiplier as the firm continues to scale.
“Having portfolio drift calculated instantaneously, along with intuitive visual graphics to show which clients need attention, was a breath of fresh air. That functionality alone has been a massive time saver.”
Results
Scalable risk analysis, improved operational efficiency, and a single source of truth for wealth management
Partnering with StratiFi enabled Kingsview to future-proof its compliance workflows while establishing a unified wealth management operating system that supports its growing client and advisor base.
- 4x faster portfolio drift analysis
- 30K+ accounts and $8B in assets managed through StratiFi
- 100+ advisors supervised across the U.S.
Looking to the future, Kingsview is eager to lean into StratiFi’s AI Document Scanning to further accelerate client onboarding, proposal preparation, and regulatory compliance checks.
“StratiFi’s relentless approach to innovation has given us confidence that we can tackle any future compliance or business needs together.”
