Stay ahead of the game with Industry's onlyIntegrated Risk & ComplianceSolution to supervise your team
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
Connect Custodial Accounts With Smartria & 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 and help you generate your first exceptions report so you can provide regulators with concrete evidence of supervision.
Integrating Risk & Compliance is Hard. StratiFi makes it Easy.
Proactive Surveillance Simplified
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 alerts when risk, suitability, and position concentration levels breach 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.
Collaborate with stakeholders to document exceptions & ensure regulatory compliance
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.
Document reviews and demonstrate proactive risk management and compliance
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.
Hear What Customers are Saying
After working with the StratiFi team I definitely went on board in terms of implementation. Ever since the financial crisis of 2008, there's been a slow proliferation of cloud-based software being offered. I think this one caught my eye out of other vendors because it seemed like a very simple and elegant solution to a new regulatory requirement that was impacting the firm, and every other financial services firm, which is RegBI.
Chris Park
General Counsel & Chief Compliance Officer, Ingalls & Snyder
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, Inc.
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 who are running different strategies. The exceptions, drift, concentration risk, and other factors are really looking at portfolio risk in a different way and reduce the chances that clients will be surprised when volatility increases.
Corey Franco, CFS
President, NobleBridge Wealth Management
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.
I'd absolutely recommend it to other advisors.
Deb DeTray
Advisor, DeTray Investment Group
Every day in this industry presents a new challenge, but with StratiFi's proactive approach and evolving platform, I feel we're always a step ahead. Their onboarding process is a testament to their commitment to excellence, and I appreciate their constant drive for improvement.
Gail Murdoch
Certified Financial Planner, Cardinal Investment Group
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, and helps firms quantify compliance and investment risk. I highly recommend compliance officers and advisors to look at StratiFi's solution to manage compliance and investment risk.
Tito Pombra
President and Founder, Adviser Compliance Consulting
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, making everything simpler and more efficient.
Mike Trent
Advisor, Blueline FP
StratiFi is the best tool we have for oversight on our allocations. Getting feedback on how we are positioning portfolios to behave in different environments is invaluable. By calculating essential risk exposures, StratiFi assists us in building portfolios with appropriate levels of risk for our clients.
James Thatcher
Managing Director, Ingalls & Snyder
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"After working with the StratiFi team I definitely went on board in terms of implementation. Ever since the financial crisis of 2008, there’s been a slow proliferation of cloud-based software being offered. I think this one caught my eye out of other vendors because it seemed like a very simple and elegant solution to a new regulatory requirement that was impacting the firm, and every other financial services firm, which is RegBI"
"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 system that provides a comprehensive evaluation of every portfolio under management, and helps firms quantify compliance and investment risk. I highly recommend compliance officers and advisors to look at StratiFi’s solution to manage compliance and investment risk."
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