Case Study: Large Enterprise Company achieves Reg BI compliance confidence with Riskalyze

Approaching Regulation Best Interest With Confidence

Large Enterprise Company, an independent RIA and broker-dealer, needed a scalable way to prepare its Member Partners for Regulation Best Interest (Reg BI) and other compliance requirements while keeping risk discussions transparent and client-focused. Working with Riskalyze, the firm aimed to centralize risk in the client experience and ensure advisors could clearly document disclosures, care obligations, conflicts of interest, and compliance processes.

Riskalyze implemented a full firm-wide rollout of its Risk Number® platform, risk assessments, portfolio analysis, and custom workflows to support recordkeeping and disclosures. The solution helped Large Enterprise Company demonstrate best interest in a quantitative, scientific manner, compare current and proposed portfolios, and simplify fee and risk conversations for clients. While no hard financial metrics were provided, the case study highlights smoother compliance processes, stronger advisor confidence, and improved client understanding of risk.