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T3 ALL-STAR + 5-star G2
ComplianceIQ
Prevent SEC Fines with Automated Compliance Monitoring
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Fragmented systems
Switching between custodian platforms, spreadsheets, and manual processes to monitor compliance.
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Manual monitoring
Your testing only covers a fraction of accounts leaving most accounts exposed to undetected violations.
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Investment Complexity
Leverage ETFs, structured products, interval funds, buffered ETFs, and more make manual monitoring impossible.
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Regulatory scrutiny
SEC examinations are more rigorous and increased audit frequency means higher chances of gaps being discovered.
Your Guide to RegBI Compliance
Designed by Compliance experts who understand your daily reality
Our advisory board of Chief Compliance Officers and Chief Risk Officers at leading RIAs battle-test every feature in live regulatory environments and collaborate with us to keep the system updated with evolving SEC requirements.
Automatically track accounts for violations in one unified dashboard
Enable your team to monitor every account across every compliance requirement - from share class violations to concentration breaches to advisor oversight.
How It Works
Step 1
Connect Your Systems
Integrate with your custodian, CRM, and reporting platforms to automatically import all client holdings, advisor activity, and compliance data across your entire practice.
Step 2
Configure Our AI Compliance Engine
Define your rules and let our sophisticated algorithms continuously monitor every account for share class violations, concentration breaches, suitability issues, and advisor oversight requirements.
Step 3
Automatically Catch Violations
Receive full compliance insights with specific violation details, recommended actions, and thorough documentation for regulatory requirements.
Get A Unified Compliance Monitoring Dashboard
Be the compliance officer who catches every violation before regulators do. While others struggle with manual monitoring and fragmented systems, you'll have total oversight across your entire firm.
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Real Impact
- Time savings
- Proactive detection
- Perfect compliance record
Without ComplianceIQ
Compliance Nightmares
- Cover only a fraction of accounts
- Constant switching between systems
- Exposure to $8.2 billion in SEC fines with $50 million penalties per firm
With ComplianceIQ
Peace of Mind
- Monitor all accounts automatically
- Unified compliance monitoring dashboard
- Zero regulatory violations with proactive alerts
"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."
"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.”
"We wanted a risk profiling partner that shares our passion for leveraging technology to create better outcomes. After a year of due diligence, the technology, culture, and team at StratiFi were the perfect fit.
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