If you are an SEC RIA Firm, and you want to turn technology into a power tool that can move your business forward instead of a problem that costs you time and money, then we can help!
Our clients typically have 5 to 50 team members (up to 100), and rely on their computers, network, and Internet for daily operations. All of them are required to adhere to SEC regulations (and for hybrid firms sometimes more!).
Add our technology experts to your firm’s team when:
- You want to focus on your business, not the technology.
- Your current system seems to hinder business more than it helps.
- You need better reliability and security for your computer network.
- You need to know that you are compliant.
- You know that computer downtime costs you money.
- You know that non-compliance with the SEC is a business risl.
- You need to be certain your data is always backed up, period.
- You'd like to enable your employees to work remotely.
- You want your employees to do the jobs they were hired for, not waste their time on computer problems.
- You believe that paying to prevent problems is more efficient than paying to fix problems.
- You're looking to expand your business, but need to know the technology and costs involved in doing so.
- Your interests are tied to the bottom line.
FREQUENTLY ASKED QUESTIONS ABOUT IT FOR RIA'S
Q1: What kind of IT support do SEC - registered RIAs need?
SEC RIAs require specialized IT services that go beyond standard tech troubleshooting. Your IT support should include:
- Compliance-aligned cybersecurity
- Secure cloud infrastructure
- End - to - end encryption
- Backup and disaster recovery plans
- Documented policies to meet SEC audit standards
Whether you're managing client portfolios or preparing for a routine SEC exam, your tech must be secure and your practices defensible.
Q2: How can I make sure my RIA firm is compliant with SEC cybersecurity rules?
Start by choosing an IT partner that understands SEC Rule 206(4) - 9 and other compliance obligations. Key features should include:
- Written Information Security Programs (WISPs)
- Multi-Factor Authentication (MFA)
- Regular cybersecurity risk assessments
- Pre - built documentation for SEC readiness
A proactive IT team helps ensure your systems not only meet the baseline, but are continuously updated to reflect new regulatory expectations.
Q3: Do I need IT services if we already use Microsoft 365, Redtail, or Orion?
Absolutely. These tools are valuable but not inherently compliant or secure unless configured properly. You’ll need:
- Advanced encryption
- Role-based access controls
- Audit trails and usage logs
- Third - party integrations risk assessments
An RIA - focused IT service provider ensures these platforms are fully optimized and protected to meet SEC cybersecurity standards.
Q4: How do I protect my RIA firm from cyberattacks and data breaches?
Cyberthreats against financial firms are growing. Here’s what you need:
- Endpoint Detection & Response (EDR)
- Secure remote access protocols
- Regular penetration testing
- Employee training programs
Managed IT providers monitor your network around the clock and stay ahead of evolving threats with proactive defenses.
Q5: What’s the best way to support remote or hybrid staff at my RIA?
SEC guidelines apply whether your staff works in - office or remotely. A secure and compliant remote work setup includes:
- Cloud-based collaboration tools
- Encrypted device management
- Secure VPNs with access control
- User activity monitoring
Partner with an IT provider who specializes in hybrid RIA environments to maintain SEC - aligned security at all access points.
Q6: Is my RIA too small to need managed IT services?
No RIA is too small for proper IT protection. In fact, firms with fewer than 50 employees are often prime targets for cyberattacks due to limited internal resources. Remember:
- SEC regulations apply to all registered firms
- Smaller RIAs are easier to breach
- IT providers offer scalable solutions by firm size
Even a boutique RIA benefits from professional IT oversight to stay protected and compliant.
Q7: How can I tell if my current IT setup is putting me at risk?
Watch for these red flags:
- Lack of a documented disaster recovery plan
- Personal device usage for business communications
- No centralized vendor security review process
- Missing encryption or access policies
- Ad hoc or unclear data backup procedures
If these issues sound familiar, it’s time to consult a compliance - focused IT partner.
Q8: How do I budget for IT services as a growing RIA?
Look for IT services designed to scale with your AUM (Assets Under Management), not just your headcount. The best partners offer:
- Tiered service packages
- Flat - rate pricing for predictability
- Strategic planning for tech growth
- Quarterly reviews to align with business goals
This ensures your firm stays secure without draining resources — financial or otherwise.