SEC and FINRA-ready, SOC 2-aligned, immutable email archives, privileged-access controls, and audit trails that survive the day the examiner walks in.
Email archiving, privileged access, encryption, CRM and custodian integrations, regulator-aligned cybersecurity, and disaster recovery you can prove restores cleanly.
SEC 17a-4 / FINRA 4511 immutable WORM retention, three-year minimum (most clients keep seven). Smarsh, Global Relay, Microsoft Purview, Mimecast — configured for write-once retention, indexed, searchable in the format regulators expect.
No shared admin passwords. No production data on advisor laptops. MFA on every system. Role-based access tied to job function. Off-boarding that disables everything in minutes — trading platform, CRM, custodian portal, email archive.
Disk encryption on every workstation and laptop. TLS everywhere. Encrypted email for client communications containing SSNs, account numbers, or trade details. DLP rules that catch the mistake before it leaves.
Redtail, Wealthbox, Salesforce Financial Services Cloud, Junxure, Practifi. Schwab Advisor Center, Fidelity Wealthscape, Pershing NetX360, Orion, Tamarac, Black Diamond, Morningstar Office — set up once, monitored.
SEC Reg S-P safeguards. NYDFS 23 NYCRR Part 500. GLBA controls for client privacy. Annual penetration tests and tabletop exercises. Incident response plan you've actually rehearsed.
Immutable cloud backups that ransomware can't touch. Recovery tested quarterly. The data the SEC will ask for in an exam is restorable in hours, not days.
Live data replication between offices — file servers, SQL databases, document management, business systems. When a site is hit by fire, flood, or ransomware, the surviving offices keep working against an already-current copy of the data. RPO in minutes, RTO in hours, quarterly tested failovers — not just quarterly tested backups.
When your CRM, portfolio management, or back-office system was designed for a single office, we engineer it to work across every office of the firm. Shared client records, shared book of business, single advisor experience — without forcing a switch to a multi-tenant cloud product that may not meet your custodian integrations.
Most IT vendors who say they "do financial" really mean they set up Microsoft 365 for an advisor once. When the SEC examiner asks for an audit trail showing who accessed which client record on which date, they have no idea where to look.
We do. Our team has built the controls financial firms actually need — designed to be both compliant on paper and workable in practice. An advisor shouldn't need IT permission to do their job; they should just have the access they're authorized for, and you should be able to prove it.
Big Five consulting roots and a Top Secret clearance — the same discipline that keeps a defense contractor's data segregated is the discipline that keeps a financial firm's client data segregated.
The single biggest lift we provide to financial firms is making every office work as one company on the network: unified email archive scope, shared CRM, shared compliance posture, one ticketing system, one audit response.
Multi-Location IT →20-minute call. No sales pitch. Free audit on-site in Chicago, San Diego, and Honolulu.
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