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SECURE WEALTH IT

Free Resources to Help Your Firm Stay Secure, Compliant, and Confident

Download expert guides, checklists, and templates built specifically for RIAs and financial advisors.

FREE RESOURCES

Pick the Free Guide That Fits Your Biggest Problem

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Have Your Reg S-P Proof Ready
Reg S-P Evidence Vault Kit

Six fill-in templates for the papers an SEC examiner asks for under Reg S-P. Fill them in, keep them in one place, and be ready when the exam letter shows up.

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Know What to Do in the First Hour of a Breach
Incident Response Plan Template

A fill-in plan built around Reg S-P. It tells your team who to call and what to do first. Set it up once and test it once a year.

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Pick the Right CRM the First Time
RIA CRM Comparison Guide
 

Redtail, Wealthbox and Salesforce side by side. See features, compliance tools and which one fits a firm your size, so you don't pay to switch later.

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Lock Down Microsoft 365 This Week
M365 Security Checklist for RIAs

The 15 Microsoft 365 settings most RIAs leave open. Each one shows what to click and why it matters.

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Grade Your IT Vendor Before You Sign
IT Vendor Evaluation Scorecard
 

Score up to three IT vendors on 12 areas. It comes with 15 questions to ask and the red flags to watch for.

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Your Day One Tech Stack
New RIA Technology Checklist
 

Every system and vendor a new RIA needs, in order, with a week by week plan. Keep your first 30 days calm, not crazy.

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Go Independent Without the Tech Headaches
Breakaway Broker Tech Transition Kit
 

A 90 day plan for leaving a wirehouse or broker dealer. It covers what to do before you give notice, your first week, and how to lock down your new setup.

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Get Your Cyber Insurance Approved
Cyber Insurance Readiness Checklist
 

Insurers turn firms down for the same few gaps. See what they check so you can fix them before you apply.

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The 6 Written Policies Examiners Ask For
Cybersecurity Policy Pack
 

Six policies you can make your own: acceptable use, passwords, remote access, data, incident response and personal devices. Each one has a sign-off page for your team.

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See What the SEC Asks For First
SEC Exam Document Request List
 

The SEC showed its sample Reg S-P document request. We go item by item: which system makes each document and what a strong answer looks like.

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Say Yes to AI Without Losing Track of Client Data
AI Tool Policy Pack
 

Simple rules for AI notetakers, ChatGPT and Copilot, plus a checklist to vet any AI vendor. Clear rules your team will actually follow.

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A WISP Built for RIAs, Not Tax Preparers
RIA WISP Template
 

Most free WISP templates are made for tax preparers. This one follows the SEC rules you are examined under, with notes, a filled-in example and a yearly testing log.

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What Your IT Quote Leaves Out
What Your MSP Quote Doesn't Include
 

Compare up to three IT quotes line by line. Find the extra costs like licenses, setup, after-hours help and projects before you sign.

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Check Every Vendor That Touches Client Data
RIA Vendor Due Diligence Kit
 

A vendor list, a security questionnaire and sample 72 hour breach notice wording for your lawyer to review. Built around the Reg S-P vendor rules.

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Schwab, Fidelity and Altruist Side by Side
Custodian Cyber Requirements Comparison
 

See what each custodian expects for insurance and security in one table, with a source for every line. Spot the gaps if you use more than one.

Trusted by Financial Advisors Nationwide

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Microsoft Partner

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FINRA & SEC Compliance Experts

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Serving 25+ Financial Firms

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Based in Charlotte, NC

WHY SECURE WEALTH IT

We Specialize in IT for Financial Advisors

Secure Wealth IT is not a generalist IT company. We work exclusively with RIAs and financial firms, understanding the compliance landscape inside and out. Our mission is to help your firm stay audit-ready, protected, and focused on what matters most — your clients.

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Audit-Ready Compliance

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24/7 Monitoring & Protection

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Strategic IT Guidance

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Peace of Mind

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Ready to Secure Your Firm?

Get a free compliance readiness assessment. No cost, no obligation.

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