// Industries — Finance & Insurance
SEC/FINRA-Ready IT. Without a Compliance Consultant on Retainer.
IT, communications, and security for RIAs and independent advisors — SEC Rule 17a-4 archiving, compliant call recording, client data protection, and the documented controls your custodian and auditor expect.
RIAs live under a compliance regime that demands documented technology controls: electronic communication archiving, supervision, cyber rules, and client data protection. Getting it wrong isn't a helpdesk issue — it's an exam finding. We build RIA-ready technology: compliant email and IM archiving, recorded and archived calls where applicable, encrypted client data, MFA on every system, and documentation that stands up to an SEC exam or ADV review.
// Value Prop
Compliance as Infrastructure
17a-4 Communication Archiving
Compliant capture and retention of email, IM, text, and recorded calls — with WORM storage, supervision tools, and export for examination.
Encrypted Client Data & MFA
Client PII encrypted at rest and in transit, MFA enforced on every advisor and staff account, and access logging to exam standard.
Cyber Rule Documentation
Written policies, tested incident response, vendor oversight, and evidence of controls mapped to SEC cyber rules and state privacy laws.
// How It Works
Built for the Exam, Run for the Client
We assess your current state against SEC/FINRA expectations, remediate gaps, deploy archiving and supervision, and maintain documentation continuously — so exam prep takes days, not months. Your CCO stops building evidence under pressure; the evidence is already there.
// Who It's For
Who This Is For
Registered Investment Advisors, independent broker-dealer reps, wealth advisors, and financial planners using platforms like Orion, Redtail, Tamarac, eMoney, Black Diamond, or Schwab/Fidelity custodian tools. Especially valuable for firms growing past 5-10 advisors where DIY compliance tech breaks.
// FAQ
Common questions
Q
Do you handle the archiving vendor or do we bring our own?
Either. We integrate with Smarsh, Global Relay, Proofpoint, MessageWatcher, and others — or we recommend based on your communication stack. What matters is that capture is complete and retrievable; the vendor is secondary.
Q
What about text messaging to clients?
Compliant business SMS is now expected — personal cell texting for client business is a finding waiting to happen. We deploy compliant SMS (through the phone system or a dedicated platform) with archiving, so advisors can text clients without a compliance violation.
Q
Can you help us respond to an SEC examination?
Yes. We maintain the evidence package, coordinate with your CCO or compliance consultant, and respond to technical evidence requests. Most exams go smoothly when the archive and documentation are ready; we make sure they are.