Industries
IT for financial services and advisors
SEC and FINRA record-keeping, AI policy, and a client base that expects discretion. We have supported businesses like yours since 2005, and we know where the trouble starts.
What breaks, and when
Record-keeping rules do not care where a message was sent from. Texts, personal email and consumer chat tools all become an examination finding if they are not captured. Most firms discover the gap when the examiner asks.
Staff want to use AI. Without a policy and the right edition of the tools, a client's account statement ends up in a public model. With them, it is one of the best productivity gains a small firm can make.
Firms merge, add offices and hire remote advisors. File shares, permissions and retention have to follow the rules across all of it.
Custodian and portfolio platforms each have their own security requirements, and a firm's cyber insurance application increasingly asks whether they are met.
What we do differently
We have written the AI policy, stood up the monitoring and rolled out Copilot Enterprise inside a boundary the compliance officer can explain to an examiner. We have also talked a firm out of throwing away a recently purchased server because a building move made it convenient. Advisor, not order-taker.
Backups and disaster recovery get the same treatment: written down, tested, and documented in a way that answers the business continuity question on the next exam.
We serve brokers, wealth management and advisory firms, HR advisors, accountants and business consultants, and we understand that discretion is part of the product you sell.
What clients in financial services and advisors say
"Draven did an excellent job helping me troubleshoot my issue. He was helpful, responsive, and easy to talk to. I greatly appreciated his help!"
Kim, Form WealthMeet Draven Gold Star survey"Tyler is the BEST! He is very knowledgeable and VERY PATIENT! I appreciate him!"
Jeanne, Form WealthMeet Tyler Gold Star survey"Jamie was great at response timeliness and diagnosing the problem I was having."
Susan, Form WealthMeet Jamie Gold Star survey"Mike Chastain is always great!"
Charlie, financial servicesMeet MikeA backup that has never been restored is a hope, not a plan. Ask for the date of the last tested restore.
What to actually test Small businessSunk cost is real. A backup server you bought last year deserves a plan before it goes in a dumpster because a move made it convenient.
Server or cloud, honestlyCompliance, insurance and audits
SEC Regulation S-P, the books and records rules, and FINRA supervision requirements all translate into concrete IT controls: archived and supervised communications, retention on files, access logging, encryption, a written information security program, and a business continuity plan that has been tested. We are not your compliance consultant, and we will say so. We build the systems that let your compliance consultant answer yes, and we keep the evidence they will need.
Your first sixty days with us
Map every channel client communications flow through and confirm each one is captured and retained.
Write the AI usage policy with the compliance officer and configure the tools to enforce it.
Test a full restore and document the business continuity plan with real recovery times.
Software we already know
Not on the list? Ask. We have probably seen it.
Stories from this kind of work
Questions we get asked
Can our advisors use ChatGPT or Copilot?
With the enterprise editions and a written policy, yes. Consumer editions send your data out of the building, and the policy has to say so.
Do you understand SEC and FINRA requirements?
We understand what they require of the technology, and we build to it. Your compliance consultant owns the interpretation; we own the evidence.
We are a small firm. Is this overkill?
The rules do not scale down. A two-advisor firm faces the same examination questions as a fifty-advisor firm. What scales is the cost of answering them, and that is where we help.
- A technician who knows your setup takes every request. Not a dispatcher, not a queue.
- Every closed ticket is surveyed and a partner reads every response.
- 99.5% of surveys come back positive.
- Family-owned since 2005. 21 years in the same corner of Wisconsin, not going anywhere.
"Draven did an excellent job helping me troubleshoot my issue. He was helpful, responsive, and easy to talk to. I greatly appreciated his help!"
Kim, Form WealthTalk to a partner, not a sales script.
Tell us what is going on. A partner will call you back the same business day, look at what you have, and tell you honestly whether we are the right fit. No pricing pressure, no pitch deck.