Financial Services / IT Services for Wealth Management Firms
Secure, Exam-Ready IT for Wealth Management Firms
Protect client trust with IT built for wealth managers.
Your clients rely on you for advice, discretion, and performance. As their expectations grow and regulations tighten, your IT has to secure client data, provide real-time access, and keep pace with changing compliance requirements. IT Solutions Technology Partners gives wealth managers managed IT and advisory services that simplify operations, strengthen security, and uphold the standards your clients expect. That pressure is real: 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 notify affected clients after a data breach.
Addressing IT Challenges That Slow You Down.
Modern wealth management firms must navigate cyber threats, complex compliance frameworks, and technology sprawl while maintaining a polished and responsive client experience.
We help wealth managers:
Meet and Maintain Compliance:
Align with SEC, GLBA, and state-specific requirements using our GRC platform, audit documentation tools, and ongoing compliance support services.
Protect High-Value Client Data:
Mitigate breaches and client compromise with advanced cybersecurity detection, remediation, and active threat hunting.
Secure Mobile and Cloud-Based Workflows:
Enable remote access to CRMs, portfolio tools, and custodial platforms without sacrificing protection.
Extend Lean Internal Teams:
Add help desk support, endpoint management, and vendor coordination to reduce internal workload and streamline operations.
Prevent Disruption and Downtime:
Real-time monitoring, alerting, and response keep your infrastructure available and performing the way your clients count on.
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 built for the operational and regulatory demands of wealth managers. We provide the security, compliance, and support you need to deliver exceptional client service. Available fully managed or co-managed.
Designated Strategic Advisor & Service Desk Team for Financial Services
24/7/365 IT support to keep your team productive and clients satisfied
Advanced cybersecurity, including detection and response, phishing protection, and access control
Expedited VIP Support for Leadership
Vendor coordination with custodians, CRMs, and fintech platforms
Proactive infrastructure management, including patching, monitoring, and alerting
Enhanced response times and ongoing technology 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 SEC-regulated firms. By combining managed IT with SEC-focused governance and advisory, firms gain operational support and regulatory alignment to manage risk with confidence. Available fully managed or co-managed.
High-net-worth client data is a magnet for attackers, and regulators expect proof of protection. We combine managed cybersecurity and vCISO services with SEC exam readiness and GLBA-aligned policies, so you can defend client data and demonstrate compliance from one program.
Phishing simulations and staff security awareness training
Incident response and business continuity planning
SEC exam readiness and documentation support
GLBA-aligned policies and risk assessments
When your custodial platform, CRM, or portfolio tools go down, client service stalls. Our managed IT keeps the systems your firm depends on available and supported, with a responsive service desk and transparent, predictable pricing.
Wealth managers need secure access to client and portfolio data from anywhere, and the cloud is usually 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.
Wealth managers are adopting AI to automate administrative tasks, scale portfolio optimization, and deliver personalized client experiences, 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, client data, and regulatory requirements.
As your firm grows through new advisors, new clients, and a larger platform, technology and compliance grow more complex. 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.
Onboarding advisors, migrating to a new custodial platform, or expanding your technology stack calls for careful project work. Our Professional Services team plans and delivers these projects with a client-first process, so growth happens without disrupting client service.
How We Support the Wealth Management Industry
Secure, compliant, and reliable IT for client-focused firms.
High-Value Client Data Protection
Wealth managers hold exactly the data attackers want most. We reduce that risk with advanced cybersecurity detection and remediation, active threat hunting, secure access controls, and email threat protection, so a single incident does not become a breach of client trust.
Compliance and Exam Readiness
Wealth managers 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. We provide SEC exam readiness and documentation support, GLBA-aligned policies and risk assessments, compliance tracking, and automated evidence collection, and we align controls to recognized frameworks like the NIST Cybersecurity Framework.
A Secure, Reliable Technology Stack
Wealth management runs 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 and MoneyGuidePro; and portfolio management and reporting platforms such as Orion, Black Diamond, Addepar, and Tamarac. We keep that stack available, integrated, and secure through vendor coordination, so remote and in-office workflows run smoothly and your team stays productive.
Secure Access From Anywhere
Advisors and clients expect real-time, secure access wherever they are. We deliver protected mobile and cloud-based access to CRMs, portfolio tools, and custodial platforms, so mobility never comes at the cost of security.
Reliability and Lean-Team Support
Whether you have no internal IT or a small team, we fill the gaps with help desk support, endpoint management, and vendor coordination, backed by real-time monitoring, alerting, and response for the availability your clients count on. A designated Strategic Advisor helps align technology with firm growth, and wealth management firms rely on ITS for reliable, scalable support whether they are onboarding advisors, expanding a platform, or preparing for the next audit.
Compliance with SSAE 18 validates that ITS meets high standards for security, confidentiality, and operational reliability, helping wealth management 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 wealth management 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 wealth management 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
A Technology Foundation as Strong as Your Client Relationships
Protect your clients and your brand with the IT strategy, security, and support wealth managers depend on. Let’s build a foundation that keeps client trust intact as your firm grows.
A: ITS provides managed IT, cybersecurity and compliance, cloud, strategy, AI governance and enablement, and professional services for wealth managers, including Total IT for Financial Services core and SEC-aligned offerings. This covers 24/7/365 support, advanced cybersecurity, SEC exam readiness and GLBA-aligned compliance, secure custodial and CRM access, 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, SEC exam readiness and documentation support (including Form ADV), automated evidence collection, 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 technology stack available, integrated, and secure through vendor coordination, across custodians (such as Charles Schwab, Fidelity, and Pershing), CRMs (such as Redtail, Wealthbox, and Salesforce), financial planning tools (such as eMoney and MoneyGuidePro), and portfolio management and reporting platforms (such as Orion, Black Diamond, Addepar, and Tamarac).
A: ITS uses layered security including advanced detection and remediation, active threat hunting, secure access controls, email threat protection, phishing simulations, and staff training, plus incident response and business continuity planning, to reduce the risk of a breach and keep client trust intact.
A: Yes. ITS provides SEC exam readiness and documentation support, compliance tracking, automated evidence collection, and GLBA-aligned policies and risk assessments, 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, backed by real-time monitoring and a designated Strategic Advisor, so firms of any size can access enterprise-grade IT and compliance support.
