IT support for financial advisors and rias
The examiner is going to ask for documents, not reassurances.
Tell us how the firm runs. We pick the local IT company that already supports advisory firms your size and book the meeting.
Your IT problems arrive as document requests.
Most industries find out their backups do not work when they need a restore. An advisory firm finds out its email archive has gaps when someone asks for eighteen months of correspondence on a specific account. The work is the same work either way, the difference is that here it has a deadline set by somebody else and a written record of how you answered.
What we hear about most
- Archiving with holes in it
- Email retention that covers the main mailbox and not the shared one, or stopped when the firm moved platforms and nobody checked.
- A security plan nobody has read
- A written policy document produced once for a compliance consultant, describing a network the firm no longer runs.
- Advisors working from everywhere
- Client data on personal laptops and phones, because that is where the work actually happens and nobody gave them a better option.
Ask how many advisory firms they support, and what they hand you at exam time.
A provider who works with advisory firms already knows what gets asked for and keeps it ready. One who does not will start assembling it the week you need it. We match on which custodial platforms and CRMs a provider supports, how many advisory firms they run today, and what documentation they produce without being chased.
Who we can help here
- Any size, from a solo advisor up, including paraplanners and client service
- RIAs, hybrid firms and financial planning practices
- Currently on a break-fix arrangement, an unhappy provider, or nobody at all
We are opening one city at a time and will tell you plainly where we are. If nobody fits you yet, we say so and let you know when someone does.