IT support for RIAs, advisors, and financial services firms.
Registered investment advisers, wealth managers, financial planners, and broker-dealer-affiliated firms hold deeply personal client data and answer to demanding regulators. Compliance, recordkeeping, and client confidentiality are non-negotiable, and the cybersecurity bar keeps rising. We build compliance-ready IT for financial services firms.
Industry Context
Why financial services firms need IT that understands the work.
Financial services firms operate under SEC or state oversight, and the privacy and recordkeeping bar has risen sharply. Regulation S-P governs how client financial information is protected, and the SEC's 2024 amendments added formal incident-response and breach-notification duties. Recordkeeping rules dictate what must be retained, for how long, and in non-rewriteable formats, while firms affiliated with broker-dealers layer FINRA obligations on top. Examiners increasingly expect documented cybersecurity programs. We build infrastructure that supports those retention and privacy obligations while keeping custodian integrations and client portals dependable.
Challenges You Face
The IT issues most financial services firms deal with.
SEC/FINRA compliance and exam readiness
Client financial data protection and privacy
Email and communications archiving in WORM storage
Integration with custodians and portfolio platforms
Secure client portals and document exchange
Software We Support
The tools financial services firms actually use.
We know these platforms from years of hands-on work — not from a Google search.
How We Help
What Tech Advisors brings to financial services firms.
SEC/FINRA-aware infrastructure and exam-ready documentation
Email and communications archiving with WORM retention
Encrypted email, MFA, and secure client portals
Integration with custodians and planning/CRM platforms
Disaster recovery meeting financial services expectations
Compliance That Applies to You
The rules financial services firms have to work within.
These are obligations your business carries. We build IT environments that help you meet them — we don't claim them as our own certifications.
SEC Regulation S-P
Governs protection of client financial information; 2024 amendments added incident-response program and breach-notification requirements for advisers and broker-dealers.
Recordkeeping (SEC 204-2 / 17a-4, FINRA 4511)
Advisers and broker-dealers must retain specified records for defined periods, often in write-once, non-rewriteable (WORM) storage that's promptly producible on exam.
Regulation Best Interest (Reg BI)
Firms making recommendations must document that advice meets the client's best interest, creating records that have to be captured and retained.
SEC & FINRA cybersecurity expectations
Examiners expect a written information-security program with access controls, encryption, vendor oversight, and incident response appropriate to the firm's size.
Financial Services Firms
Get IT support built for the way you work.
Free assessment includes a review of your current IT setup and a specific plan for how we'd improve it based on your industry and software stack.
IT Support for Financial Services Firms
Tell us about your business and what's not working.
IT for Financial Services Firms
Specialized IT. Specialized results.
Because generic IT support doesn't fit the way you actually work.