Financial Services / IT Services for Financial Advisors
Secure, Exam-Ready IT for Financial Advisors and RIAs
Trusted by advisors who put clients first.
For a Registered Investment Advisor or independent advisor, reputation rests on client trust, regulatory compliance, and uninterrupted access to the platforms you use every day. IT Solutions Technology Partners gives advisory firms managed IT and strategic services that protect sensitive data, keep you compliant, and keep you efficient as the industry gets more competitive and more regulated. That last point matters: the SEC’s 2024 amendments to Regulation S-P now require registered investment advisers and broker-dealers to maintain a written incident response program and to notify affected clients after a data breach.
Supporting the Systems and Standards You Depend On.
Financial advisory firms face growing complexity as they scale: evolving SEC guidance, cyber threats targeting client data, and
increased reliance on digital tools like performance reporting platforms and custodial integrations.
We help investment advisors:
Secure Client Data Across Platforms:
Prevent cyber incidents with proactive threat detection, access controls, and protection for remote and in-office systems.
Maintain Compliance with Confidence:
Meet GLBA, SEC, and state-specific obligations with our built-in Governance, Risk, and Compliance (GRC) platform and audit-ready documentation.
Support Fintech Stack Performance:
Ensure uptime and security across custodial systems, CRMs, and financial planning software.
Relieve Internal IT Burden:
Outsource or support internal IT resources with expert help desk care, endpoint management, and vendor coordination.
Enable Secure Remote Access:
Deliver secure access to client and portfolio data for advisors in the office, at home, or on the move.
Moving Your Business Forward
Our expertise spans the diverse needs of financial institutions, delivering IT support tailored to how care actually gets delivered.
Valuation Firm Chooses NearCloud for its Operational Expenditure Model and Long-Term Cost Savings
With their hardware and software due for an upgrade, the financial services firm opted to ditch the on-premise infrastructure and move their entire network to IT Solutions private cloud for its secure and flexible environment, integrated disaster recovery solution and long-term cost savings.
A managed IT solution purpose-built for financial advisors. From advanced cybersecurity to expedited day-to-day support, we help your firm scale with confidence and stay focused on clients. Available fully managed or co-managed.
Enhanced Response Times and Expedited VIP Support for Leadership
Integrated Cybersecurity Tooling & Management
Regulatory alignment
Total IT Financial Services – SEC includes everything in Total IT Financial Services, plus enhanced cybersecurity governance, risk management, and SEC-focused compliance services designed for Registered Investment Advisers (RIAs), broker-dealers, and other SEC-regulated firms. By combining managed IT with SEC-focused governance and advisory, firms gain the operational support and regulatory alignment needed to manage risk with confidence. Available fully managed or co-managed.
Advisory firms balance client demands, operational agility, and regulatory obligations at the same time. We deliver security and compliance built to keep pace, so you can protect client data and stay exam-ready without slowing down.
Compliance platform and regulatory change management
Ongoing audit preparation and documentation support
Scalable managed security services
Business continuity and incident response planning
Employee cybersecurity training and phishing simulations
When your custodial system, CRM, or planning software goes down, client work stops. Our managed IT keeps the platforms your firm depends on available and supported, with a responsive service desk and transparent, predictable pricing.
Advisors need secure access to client and portfolio data from anywhere, and cloud is often how that happens. From cloud readiness through migration and ongoing management, we plan a secure transition across public, private, and hybrid environments so your systems stay available and protected.
Financial advisors are leveraging AI to improve productivity and client service, but success requires more than selecting the right tools. Our AI Governance & Enablement Practice helps you securely adopt, govern, and manage AI across your organization, so you can realize its value while maintaining control over risk, security, and regulatory requirements.
As your firm grows, so does the complexity of your technology and compliance obligations. As an ITS client, you get a designated Strategic Advisor and virtual Chief Information Security Officer (vCISO) guidance to align IT with your goals, manage risk, and plan investments ahead of need.
Migrating to a new custodial platform, integrating fintech tools, or opening an office calls for careful project work. Our Professional Services team plans and delivers these projects with a client-first process, so changes happen without disrupting client service.
How We Support the Financial Advisory Industry
Secure, compliant, and reliable IT for client-focused firms.
Client Data Protection Across Every Platform
Your clients trust you with their financial lives, and we help you protect that trust. Proactive threat detection, access controls, and protection for remote and in-office systems reduce the risk of a cyber incident across the platforms your firm relies on.
Compliance and Exam Readiness
Advisory firms answer to a dense regulatory stack: the SEC and FINRA, the Investment Advisers Act of 1940, the GLBA Safeguards Rule, Regulation S-P, and the SEC Marketing Rule, along with state securities regulators, with Form ADV and periodic examinations tying it together. Meeting those obligations is easier when documentation is already in order. We help firms with a Governance, Risk, and Compliance approach, audit-ready documentation, ongoing audit preparation, and incident response planning that reflects current SEC expectations, and we align controls to recognized frameworks like the NIST Cybersecurity Framework.
A Secure, Reliable Fintech Stack
Advisory firms run on an interconnected stack: custodians such as Charles Schwab, Fidelity, and Pershing; CRMs such as Redtail, Wealthbox, and Salesforce; financial planning tools such as eMoney, MoneyGuidePro, and RightCapital; and portfolio and performance reporting platforms such as Orion and Black Diamond. We keep that stack available, integrated, and secure, so custodial integrations and performance reporting run smoothly and your team stays productive.
Secure Access From Anywhere
Advisors work in the office, at home, and on the move. We deliver secure access to client and portfolio data across all of them, so mobility never comes at the cost of security.
Relief for Your Internal Team
Whether you have no internal IT or a small team, we fill the gaps with help desk support, endpoint management, and vendor coordination, and a designated Strategic Advisor helps align technology investments with your growth. Advisory firms across the United States and Canada rely on ITS to manage their IT with care, compliance, and clarity.
Compliance with SSAE 18 validates that ITS meets high standards for security, confidentiality, and operational reliability, helping advisory firms operate within strict regulatory guidelines while keeping client data secure.
PCI Compliance
ITS secures payment processing and financial data handling with end-to-end encryption, access controls, and proactive monitoring to help prevent fraud and data breaches.
SOC 2 Type II Compliance
Our SOC 2 Type II compliance confirms that IT Solutions Technology Partners meets rigorous security, availability, and confidentiality standards to protect sensitive client data, giving advisory firms independent assurance that we are a dependable IT partner.
Certified Microsoft Solutions Partner for Modern Work
Recognized by Microsoft for expertise in secure, scalable cloud solutions, ITS helps advisory firms get the most from Microsoft 365, Azure, and hybrid cloud, from migrations to advanced security and compliance.
Exceeding expectations every time.
“While we have been an ITS client for many years, we put off transitioning to a cloud environment, hesitant to ‘give up’ our data. However, the growing expense of maintaining our own servers and worry about having adequate back-up and disaster recovery procedures, we finally pulled the trigger. The redundant backups and ITS’s level of service provides us peace of mind.”
Murry Devine Advisors
Build an IT Foundation Worthy of Your Clients' Trust
Protect your clients’ data, simplify compliance, and strengthen the technology behind your firm. Let’s build an IT foundation that reflects how much your clients rely on you.
A: ITS provides managed IT, cybersecurity and compliance, cloud, AI governance and enablement, strategy, and professional services for advisory firms, including our Total IT for Financial Services core and SEC offerings. This covers 24/7/365 support, advanced cybersecurity, GLBA and SEC compliance support, secure fintech-stack management, secure remote access, and a designated Strategic Advisor.
A: ITS helps firms meet obligations under the SEC, FINRA, the Investment Advisers Act of 1940, the GLBA Safeguards Rule, and state securities regulators, using a Governance, Risk, and Compliance approach, audit-ready documentation (including support around Form ADV and exam preparation), and alignment to frameworks like the NIST Cybersecurity Framework. This is especially relevant under the SEC’s 2024 Regulation S-P amendments, which require registered investment advisers and broker-dealers to maintain a written incident response program and notify affected clients of a data breach.
A: Yes. ITS keeps your fintech stack available, integrated, and secure, across custodians (such as Charles Schwab, Fidelity, and Pershing), CRMs (such as Redtail, Wealthbox, and Salesforce), financial planning tools (such as eMoney, MoneyGuidePro, and RightCapital), and portfolio and performance reporting platforms (such as Orion and Black Diamond), with a focus on uptime, integration, and protection across the tools advisors use daily.
A: ITS delivers secure access to client and portfolio data whether advisors work in the office, at home, or on the move, using proactive threat detection, access controls, and protection for remote and in-office systems.
A: Yes. ITS provides ongoing audit preparation, audit-ready documentation, compliance change management, and incident response planning, so firms can demonstrate readiness to regulators and examiners.
A: Yes. ITS offers fully managed and co-managed support, filling gaps with help desk care, endpoint management, and vendor coordination, and provides a designated Strategic Advisor, so firms of any size can access enterprise-grade IT and compliance support.
Contact us via the form below or call at 866.742.5487. Whether you need network management, secure cloud hosting, or custom application development, our team is here to help.
