Our team holds Series 65 licensure and understands the RIA regulatory environment from the inside. We build technology that keeps you compliant, efficient, and client-ready.
Regulatory Framework
Our team's Series 65 licensure and hedge fund compliance background means we understand RIA regulations from an operator's perspective — not just a vendor's.
Customer Privacy — safeguards, disclosure, and disposal of nonpublic personal information.
Identity Theft Prevention — Red Flags Rule implementation for covered financial institutions.
Electronic communications archiving, document retention schedules, and audit trail management.
Written information security policies, risk assessments, and incident response aligned to the SEC cybersecurity rule.
CCPA data privacy considerations and California-specific requirements for RIAs operating in the state.
What We Deliver
From day-one compliance infrastructure to ongoing technology management — built around how RIAs actually operate.
Technology infrastructure designed around RIA regulatory requirements — from data retention to cybersecurity frameworks.
Vendor-neutral evaluation and deployment of Salesforce, Redtail, Wealthbox, and other RIA-focused CRM platforms.
Secure client-facing portals with proper access controls, audit logging, and multi-factor authentication.
Compliant electronic communications archiving for SEC and FINRA books-and-records requirements.
Endpoint protection, email security, backup, and a written information security program tailored to RIA scale.
Full technology stack review and compliance-ready build-out for firms registering or recently registered with the SEC.
Platforms We Work With
We have hands-on experience across the major RIA technology platforms — from CRM and portfolio reporting to document management and e-signatures.
California RIA Technology Consultant
New clients receive $500 toward any service. No obligation — just a straightforward way to start working together.
(212) 749-9408