IT That Holds Up to a Regulator's Questions
For small RIAs and wealth practices that need documented email retention, clear access controls, and tested backups. We are familiar with books-and-records expectations. We are not a legal or compliance advisor.
Sound Familiar?
Email retention is unclear
Old messages may or may not be archived. No one is sure what would happen in an audit.
Client data is spread across tools
Custodian portals, planning software, CRM, and email each hold pieces. Access is hard to map.
One person knows the systems
Passwords, vendor contacts, and configurations sit in one head. There is no backup plan.
How We Help
We work from a documented baseline. The goal is fewer surprises and a clear record.
Set up archiving and retention that fits books-and-records expectations, with a clear record.
Multi-factor authentication on email, custodian portals where supported, and key business tools.
Backups for email, files, and finance tools, with a tested restore.
A clear, secure record of vendors, accounts, and configurations that does not live in one person's head.
What Better Looks Like
Anonymized examples from small RIA and advisory clients.
Before
A 12-advisor RIA had no documented email archiving and no audit trail for shared drives.
Email archiving and retention set up with documented policies. Shared drive access mapped and reviewed.
Passed a mock audit with organized records ready to hand over.
Before
Multi-factor authentication was on email only. Custodian and planning tool logins were password-only.
Multi-factor authentication enabled across all tools that support it, with documented exceptions.
Cyber insurance renewal approved with current control evidence.
All examples anonymized to protect participant and donor information.
Common Questions
Questions we hear from RIA principals and operations leads.