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Advisor Surveillance & Compliance

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An advisor’s greatest financial asset is usually his or her business. But after spending years accumulating assets, and helping clients achieve their life goals, many advisors never really apply that same rigor to their businesses. In fact, most advisory practices face all sorts of financial risks that are hard to identify because the risks are often buried among different client accounts that are hard to analyze.Forget about manually rooting around to try to find needles in haystacks.

StratiFi’s PRISM technology empowers advisors to x-ray all accounts that are under management. This means advisors can understand how firmwide risk impacts the entire business.

What to know how risky your book is? How about identifying the riskiest books in the entire practice? All of that can be done, and much more, with StratiFi’s PRISM technology. We cannot replace your compliance officer (at least not yet!), but we are confident that we can give that executive, and the entire leadership team, a powerful tool. Our technology has even been known to do the impossible: make compliance officers smile and relax.