IT Services for (RIAs)
Secure, Compliant, and Reliable Technology for Financial Professionals
As a Registered Investment Advisor, your reputation depends on trust. Clients expect complete confidentiality, and regulators expect full compliance. You need technology that protects client data, meets SEC and FINRA standards, and allows your team to work efficiently from anywhere.
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​Secure Wealth IT helps RIAs achieve all three. We specialize in IT, cybersecurity, and compliance management designed specifically for investment advisory firms.
We Understand RIA Compliance
Regulatory expectations for RIAs have grown significantly. The SEC now requires firms to implement written cybersecurity policies, maintain documentation, and prove that client information is properly protected.
Generic IT providers do not understand these requirements or how they apply to your business. Secure Wealth IT was built for RIAs, so our systems and processes align with the same standards regulators use.
We Help You Comply With
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SEC Cybersecurity Risk Management Framework
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FINRA Rule 4370 (Business Continuity and Cybersecurity)
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Regulation S-P (Privacy of Consumer Financial Information)
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​Regulation S-ID (Identity Theft Red Flags)
We make compliance clear, measurable, and easy to maintain
Our Core IT Services for RIAs
Managed IT Support
We handle all your technology so your team can focus on clients
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24/7 monitoring and proactive support
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Fast response times and remote assistance
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Patch management and workstation updates
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Microsoft 365 and SharePoint administration
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Vendor coordination and system documentation
Cybersecurity Essentials
Protect every part of your network with industry-leading security tools and constant monitoring.
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Endpoint detection and response
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Multi-factor authentication
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SIEM threat detection and reporting
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Phishing protection and staff awareness training
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​Encrypted cloud and local backups
Compliance and Reporting
Be audit-ready at all times with automated reporting and documentation.
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Policy templates and written procedures
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Compliance dashboards and evidence tracking
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Staff acknowledgment and training logs
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Quarterly compliance and technology reviews
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​Support for cybersecurity audits and insurance requirements
How We Protect Your RIA
We take a layered approach to cybersecurity and compliance that ensures every device, user, and network in your firm meets regulatory expectations.
Our Security Layers Include
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Managed firewalls and intrusion detection
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Advanced endpoint security on all devices
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Secure identity and access management
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Encrypted storage and email
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Disaster recovery and immutable backup systems
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Vendor risk management and compliance tracking
Everything is monitored 24/7 by experienced technicians who understand both cybersecurity and financial regulation.
Virtual CIO Services Include
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Quarterly business and technology reviews
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Strategic IT planning and budgeting
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Vendor evaluations and software recommendations
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​Long-term compliance and risk forecasting
We help RIAs turn compliance from a burden into a business strength.
Your Competitive Advantage
Technology is not just a requirement. It can also be your edge.
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​Advisors who take cybersecurity seriously earn deeper client trust and pass compliance audits with confidence. Our Virtual CIO services help you plan technology improvements, manage budgets, and keep your systems aligned with your firm’s goals.
Why RIAs Choose Secure Wealth IT
Financial Industry Focus
​We serve only the financial industry. Every tool, policy, and recommendation we provide is designed for RIAs, Broker Dealers, and Financial Advisors.
Responsive and Local
Based in Charlotte, North Carolina, we support RIAs across the Southeast with fast, personal service.
Audit-Ready Documentation
We maintain records and logs that make passing cybersecurity and compliance audits simple.
Complete Partnership
We provide more than IT support. We deliver ongoing guidance that keeps your firm secure, compliant, and ready for growth.
