IT and security for financial advisors
Advisory firms hold the data attackers want most: account numbers, Social Security numbers, and the ability to move money. The amended Regulation S-P now requires registered investment advisers to keep a written incident response program, oversee their service providers, and notify affected clients within 30 days of a breach involving sensitive information. Smaller firms had to comply by June 3, 2026.
Policies an examiner can read
We write the incident response program, access control, and vendor oversight policies the rule expects, and we keep them current.
Vendor oversight
Your service providers, including your custodian, CRM, and IT provider, must tell you within 72 hours of a breach that affects your clients. We keep the vendor list, the contract terms, and the review records.
Wire fraud and email impersonation
Most losses at advisory firms start with a compromised mailbox. We lock down sign-ins, filter impersonation, and train staff to confirm money movement requests by phone.
Evidence on request
When an examiner asks how you protect client data, you send a folder of records instead of starting a scramble.
Where to start
- Managed IT + Security
Managed IT with endpoint protection, monitoring, policies, and questionnaire help.
$175 per user per monthSecure plan
- Security advisory (vCISO)
A part-time head of security for companies with their own IT or engineering staff.
From $2,500 per month
- Security assessment
A fixed-fee review of your setup, with a written list of fixes ranked by risk.
From $2,500
Recent work
A financial advisory firm serving pharmacists
We set up and ran their IT, then built a security program on top of it.
Talk to us
Tell us what's driving it: a customer deadline, a questionnaire, an exam, or IT that has outgrown whoever handles it now. A first call takes 30 minutes, and you'll leave knowing whether we're a fit and roughly what it costs.
Book a 30-minute callor send a message, or email contact@birchny.com.