Automate Proactive Surveillance & Simplify Compliance Oversight

Automate Proactive Surveillance & Simplify Compliance Oversight

Help wealth managers, financial advisors, and operations teams avoid mistakes, enhance business resilience, and achieve long-term success.

Trusted by Leading Wealth Management Firms

How it Works

Integrate risk & compliance to supervise your team

Connect Custodial Accounts With StratiFi

Join our upcoming webinar to learn more about how StratiFi and Smartria can help you enhance your compliance consulting services.

Our experts will provide an overview of our integrated risk and compliance solutions, discuss best practices for implementation, and answer your questions about the partnership.

Get Risk, Allocation & Concentration Alerts

Seamlessly integrate your risk and compliance solutions to proactively manage potential risks and ensure regulatory compliance for your clients.

We will help you with the setup to sync data between the systems so you can get a full picture of portfolio risk at the enterprise level.

Automatically Monitor All Accounts Firm-Wide

Our exceptions dashboard gives you automated alerts and detailed information so you can start collaborating more effectively with financial advisors and wealth managers.

Our team will guide you through the implementation process

Say goodbye to manual reviews.

Why StratiFi?

Stop paying for expensive software that doesn’t deliver what you need, and discover a standardized approach that reduces compliance risk, increases production, and is recognized for outstanding customer success.

StratiFi makes it incredibly easy for advisors to educate clients and impress prospects with simple and robust portfolio risk analysis, client risk profiling, proposals, IPS, and more.
Reduce Investing Stress
Reduce Investing Stress
Reduce Investing Stress
Reduce Investing Stress


Ensure compliance with Regulation Best Interest

Align client and investment goals with StratiFi's PRISM ratings, enhancing your business positively.

Automatically monitor accounts and eliminate manual reviews

Integrating risk and compliance solutions for proactive surveillance is a game-changer for financial advisors and compliance officers looking to streamline their risk management process.  The ability to automatically monitor thousands of accounts for various factors such as risk, and suitability, helps compliance teams stay ahead of potential risks, eliminate manual reviews and avoid costly fines.

Get proactive alerts when portfolios move outside risk thresholds

Risk, Suitability & Position Concentration Alerts help compliance officers and financial advisors monitor accounts whenever a threshold is breached.Our system identifies accounts where there is a high concentration in a single type of investment such as a mutual fund, stock, bond, ETF, and more. By receiving alerts, you can quickly focus on accounts that require attention and take appropriate action to manage their risk exposure.

StratiFi offers an efficient tool for portfolio adjustments.

Our user-friendly interface helps you compare portfolios against other models/benchmarks and edit the weight, while at the same time seeing the upside or downside risk for each position and each model.

Collaborate & document exceptions to provide evidence of oversight

A powerful platform that enables our users to collaborate on exceptions, using tagging, email alerts, and alert age tracking to stay on top of exceptions. Compliance officers can easily tag advisors and teams on exceptions, generate email alerts and ensure that all parties are notified of any issues in a timely manner. Additionally, all activity is automatically documented, providing a detailed record that can be accessed as required by regulators.

Monitor position concentration & demonstrate fiduciary responsibility

We provide compliance officers with an easy and effective way to document and file their compliance efforts using the platform's Excel export feature.  
This feature allows our users to generate detailed reports of their compliance activity, including all exceptions, notes, and timestamps, which can be easily exported and saved for documentation and filing purposes.

StratiFi offers an efficient tool for portfolio adjustments.

Our user-friendly interface helps you compare portfolios against other models/benchmarks and edit the weight, while at the same time seeing the upside or downside risk for each position and each model.

Industry Echoes

See what your peers are saying

Revolutionize your clients' investment approach with smarter analytics and empower them to make informed decisions for long term success

What stands out with StratiFi is the ease of accessing client portfolios and the emphasis on risk. It's by far the simplest program I've used, offering more data and real-time insights. This platform has revolutionized how I review risk.

Mike Trent

Advisor, Blueline FP

Every day in this industry presents a new challenge, but with StratiFi proactive approach and evolving platform, I feel we're always a step ahead. Their onboarding process is a testament to their commitment to excellence.

Gail Murdoch

Certified Financial Planner

We've been able to close about $5 million in assets in the last month by very clearly showing risk and reward type of scenarios. StratiFi has definitely helped us close quite a few clients.

Matt Hollander

VP, Game Changer Wealth

StratiFi has been a game-changer for me. In the past, other platforms I’ve used were not realistic with risk tolerance. But with StratiFi, everything makes sense. I feel more comfortable and confident sitting down with clients.

Deb DeTray

Advisor, DeTray Investment

StratiFi is a fantastic company that is truly focused on delivering what advisors want and need. They consistently check in with their advisors and are very open to suggestions on improving their platform. For the money, it is hard to beat the value that StratiFi offers.

Dean Barda

Wealth Management Advisor

Having a good relationship between compliance officers and financial advisors is one of the most important keys to success of a RIA. I am impressed by StratiFi's PRISM Rating system that provides a comprehensive evaluation of every portfolio under management.

Tito Pombra

President Adviser Compliance

I spent a fair amount of time really building out a combination of infrastructure and advice for larger organizations. StratiFi was able to help me (1) create a better digital experience for clients and (2) monitor compliance across multiple advisors.

Corey Franco

President, Noble Bridge   

I realized that from a compliance and understanding the client standpoint I needed something for risk profiling. I settled on StratiFi because it seemed to be more rigorous in terms of the analytical aspect and could stand up to compliance questioning.

Patricia Passon, CFP®

Encompass Financial Advisors,
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