Wealth management
Managed IT Services for Financial Advisors and Wealth Management Firms
Secure, compliant IT for registered investment advisers, wealth management firms and independent advisors, so you can focus on clients and portfolios.
Wealth management
IT built around how advisory firms work
Advisory firms run on a stack of cloud platforms: CRM, portfolio management, financial planning software, custodian portals, e-signature and Microsoft 365. Every login is a path toward client assets, and every advisor working from home or on the road widens the attack surface. FinFortify Inc. manages and secures that stack for you, from the devices your advisors use to the Microsoft 365 tenant that holds client email.
Wealth management firms have been part of our client base since 2010. Our US-based engineers understand custodians, compliance reviews and the client service standards your firm is known for, and our managed IT services for financial firms scale from independent practices to multi-office firms.
How we help
IT challenges we solve for advisory firms
Protecting accounts from takeover
Multi-factor authentication, conditional access and identity threat detection protect the email and Microsoft 365 accounts criminals use to reach client money.
Stopping wire fraud and impersonation
Email security, impersonation protection and staff training help your team spot fraudulent distribution and wire requests before money moves.
Supporting advisors anywhere
Intune device management, encrypted laptops and secure remote access let advisors work from home, branch offices or client meetings safely.
Client communication and records
Message encryption and Microsoft 365 retention settings support your firm’s client communication and books-and-records policies.
Help when markets are open
A US-based help desk with 24/7 support plans, so technology problems do not keep advisors from clients.
Planning for growth
IT strategy and roadmapping as you add advisors, open offices or bring on a new practice.
Compliance
Support for SEC and FINRA cybersecurity expectations
Registered investment advisers and broker-dealers are now subject to the amended SEC Regulation S-P, which requires an incident response program, notification to affected clients within 30 days of a breach and oversight of service providers. Examiners also look at identity theft red flags programs under Regulation S-ID, business continuity plans, vendor management and remote access. We put the technical controls in place and keep the evidence ready for your chief compliance officer.
- Incident response playbooks customized for your firm
- Documentation of multi-factor authentication, encryption and access controls
- Tested backups and business continuity support
- Security awareness training records
- Asset inventory and patching records
Learn more about our IT compliance services.
FAQ
IT for Financial Advisors and Wealth Management Firms: common questions
What IT services do financial advisors need?
Most advisory firms need help desk support, Microsoft 365 management, device security, backup and disaster recovery, and cybersecurity controls such as multi-factor authentication, email security and endpoint detection and response, plus documentation that supports SEC and FINRA requirements. FinFortify provides all of these in one managed IT plan.
Can you support independent advisors and small RIAs?
Yes. Our managed IT services scale from independent and small advisory practices to larger multi-office wealth management firms.
How does Regulation S-P affect my firm’s IT provider?
Under the amended rule, your firm must oversee service providers that handle customer information, including making sure they notify you within 72 hours of a breach affecting it. We work with your compliance team on those service provider requirements.
IT that keeps advisors with their clients
Request a quote for managed IT and cybersecurity built for wealth management firms.
