Chadsel LLC
Technology for RIAs —
Built with Regulatory Insight.
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
We Know the Rules
That Govern Your Firm.
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.
SEC Regulation S-P
Customer Privacy — safeguards, disclosure, and disposal of nonpublic personal information.
SEC Regulation S-ID
Identity Theft Prevention — Red Flags Rule implementation for covered financial institutions.
Books and Records Requirements
Electronic communications archiving, document retention schedules, and audit trail management.
Cybersecurity Risk Management
Written information security policies, risk assessments, and incident response aligned to the SEC cybersecurity rule.
California-Specific Compliance
CCPA data privacy considerations and California-specific requirements for RIAs operating in the state.
What We Deliver
Technology Services
Designed for RIAs.
From day-one compliance infrastructure to ongoing technology management — built around how RIAs actually operate.
Compliance IT Architecture
Technology infrastructure designed around RIA regulatory requirements — from data retention to cybersecurity frameworks.
CRM Selection & Implementation
Vendor-neutral evaluation and deployment of Salesforce, Redtail, Wealthbox, and other RIA-focused CRM platforms.
Client Portal Setup & Security
Secure client-facing portals with proper access controls, audit logging, and multi-factor authentication.
Email Archiving & Records Management
Compliant electronic communications archiving for SEC and FINRA books-and-records requirements.
Cybersecurity for RIAs
Endpoint protection, email security, backup, and a written information security program tailored to RIA scale.
Technology Assessment for New RIAs
Full technology stack review and compliance-ready build-out for firms registering or recently registered with the SEC.
Platforms We Work With
The RIA Tech Stack.
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
Start with a scoped RIA IT assessment.
Financial IT assessments start from $2,500. Scope, deliverables, timing, and fees are confirmed before work begins.
(212) 749-9408Common Questions
What RIAs ask before engaging us.
What technology does the SEC actually expect an RIA to have?
Email and messaging archiving, MFA and access controls, an incident response plan, vendor due diligence records, and written policies that match your real practice. Examiners check that the paper matches the environment — that's what we build.
We're a small RIA. Is this overkill?
No — we right-size. A 2-10 person RIA gets a flat monthly retainer covering the controls examiners ask about, without enterprise overhead.
Do you work with our custodian and portfolio tools?
Yes. We support the common RIA stack — Microsoft 365, portfolio management, CRM, and custodian integrations — and manage the vendors so you don't have to.
How does a new RIA engagement begin?
Most RIAs begin with a compliance-focused technology assessment starting from $2,500. We confirm the systems, evidence review, control testing boundaries, deliverables, timeline, and fee in writing before work begins.