IT Services for Financial Services Firms | Los Angeles

Financial Services IT · Los Angeles · Orange County · San Francisco

Financial Services IT Support
for Los Angeles, Orange County & the San Francisco Bay Area

  • ✓SEC, FINRA & GLBA compliance documentation maintained for you
  • ✓Bloomberg, Orion, Tamarac & wealth platform support
  • ✓BEC & wire fraud defense built into every engagement
  • ✓8-minute average response, fastest in Southern California
  • ✓EDR, MDR, MFA, and tested backups on every client
  • ✓Protected by the Advanced Shield™ Security Platform, included in every plan
Schedule Free IT Assessment → (213) 873-7620
SEC & FINRA Ready GLBA Compliant BEC & Wire Fraud Defense Security Built Into Your Flat Rate

Free IT Assessment

No obligation. We evaluate your environment and deliver a clear action plan within 24 hours.

★★★★★85Google★★★★★36Clutch★★★★★26Cloudtango
0hrs
Planned downtime
on our watch
8min
Avg. response time
20+
Years serving
LA & OC
99.9%
Network uptime SLA
Onsite IT support engineer at a Los Angeles financial services firm
IT Support
Onsite and remote, anytime
Secure network infrastructure for RIAs and broker-dealers across Los Angeles and Orange County
Network Support
Architected for uptime
SEC and FINRA compliance support for Los Angeles financial services firms
Compliance
Audit ready, always
Who We Serve

Trusted by RIAs, broker-dealers,
and wealth managers

From registered investment advisors and broker-dealers to hedge funds, private equity firms, and family offices, we have a managed IT model built around your regulatory obligations, your clients’ data, and your compliance requirements. Firms in Orange County and San Francisco get the same local support from our Irvine office and our office on Maiden Lane in San Francisco.

📈
RIAs & Investment Advisors
Registered investment advisors and wealth managers requiring SEC/FINRA-aligned IT, airtight client data security, and documented compliance controls.
🏭
Broker-Dealers
Broker-dealers managing trading operations, client accounts, and FINRA examinations that require documented IT security and business continuity procedures.
🏚
Private Equity & Hedge Funds
PE and hedge fund managers requiring institutional-grade security, strict access controls, and compliance documentation for LP due diligence and SEC reporting.
💰
Family Offices & Wealth Managers
Single and multi-family offices managing high-net-worth client portfolios where data security, confidentiality, and operational resilience are paramount.
The Challenges

Why compliance failures
keep CCOs awake

Financial services firms face a unique combination of regulatory scrutiny, sophisticated cyber threats, and the reputational consequences of any breach, in an industry where client trust is the entire business.

📄
SEC & FINRA Exam Readiness
SEC and FINRA examiners now routinely request your written cybersecurity policies, vendor management program, and incident response plan. Most firms have none of these documented when the exam notice arrives, and findings mean sanctions, fines, and public disclosure.
🎯
BEC & Wire Transfer Fraud
Business email compromise targeting financial firms has cost billions. A single spoofed instruction from a fake CFO or client can trigger an unauthorized wire transfer. Funds are nearly impossible to recover once sent.
🔑
Client Data & NPI Exposure
Client SSNs, account numbers, portfolio data, and financial plans sitting in shared drives with no encryption or access controls. One breach triggers SEC disclosure obligations, client notification, litigation, and irreversible reputational damage.
📱
Remote Staff & Multi-Office Security
Advisors, analysts, and operations staff working from home and branch offices create shadow IT risk. Without MDM, MFA, and zero-trust access controls, every remote session is a potential entry point for attackers.
💻
Trading & Portfolio Platform Failures
Bloomberg terminal outages, Orion sync failures, and CRM connectivity issues during market hours or client meetings have direct business consequences. Without proactive monitoring these failures happen at the worst possible moment.
💾
No Tested Disaster Recovery
Client records, trading histories, and compliance documentation lost to ransomware or hardware failure can trigger SEC recordkeeping violations, client losses, and regulatory action on top of the operational chaos of recovery.
Our Services

Everything your firm needs
to stay compliant & client-ready

Flat-rate managed IT for financial services firms, one predictable monthly cost, no surprise invoices, and engineers who understand your regulatory environment and compliance obligations.

01
SEC & FINRA Compliance-Ready IT
We build and maintain your written information security policy, incident response plan, vendor management program, and access control documentation, everything SEC and FINRA examiners request, ready before they show up.
SEC Reg S-PFINRA Rule 4370WISPIRP
02
Cybersecurity & BEC Defense
Advanced email filtering, DMARC/DKIM/SPF enforcement, MFA on all accounts, endpoint detection, and 24/7 threat monitoring, protecting client assets and NPI from the phishing, BEC, and ransomware attacks targeting financial firms.
EDRMFABEC Defense24/7 SOC
03
Managed IT & White-Glove Helpdesk
24/7 monitoring, unlimited support, and 8-minute average response. Your advisors and operations staff reach a live engineer every time, with market-hours and audit-period priority escalation built into every agreement.
24/7 Support8-Min ResponsePriority Escalation
04
Trading & Wealth Platform Support
We actively support Bloomberg terminals, Orion, Tamarac, Salesforce Financial Services Cloud, Redtail, Advent, Black Diamond, and other portfolio management and CRM platforms, keeping your critical systems running during market hours.
BloombergOrionTamaracSalesforce FSC
05
Secure Remote Access & Zero Trust
Zero-trust remote access, MDM for all advisor and staff devices, and consistent security policies whether your team is in the office, working remotely, or at a client site. Every session encrypted and auditable.
Zero TrustMDMMFAEncrypted Access
06
Backup, DR & SEC Recordkeeping
Automated encrypted backups of client records, trading histories, compliance documentation, and communications, with tested restoration and SEC Rule 17a-4 recordkeeping alignment built into your backup architecture.
SEC 17a-4VeeamDattoDR Planning
Why Financial Firms Choose Us We understand compliance, not just connectivity.
  • Flat-rate pricing, no surprise invoices
  • SEC, FINRA & GLBA compliance expertise
  • Market-hours priority escalation
  • On-site support across LA and Orange County
  • Dedicated Technical Account Manager
  • Bloomberg, Orion & Tamarac expertise
  • Audit-ready security, included flat-rate
Regulatory Expertise

Full IT for the financial services stack
done right

We build your IT environment around the SEC, FINRA, GLBA, and state regulatory frameworks that govern financial services firms, so you’re always exam-ready and never scrambling when regulators call.

📜
SEC Reg S-P
Regulation S-P requires financial firms to safeguard client NPI with written policies, access controls, and breach notification procedures. We implement and maintain all of it.
📊
FINRA Rules
FINRA Rule 4370 business continuity, Rule 3110 supervisory systems, and cybersecurity guidance, we align your IT controls with what FINRA examiners expect to see.
🏦
GLBA
Gramm-Leach-Bliley Act safeguards for investment firms, broker-dealers, and financial advisors handling consumer NPI and financial records.
📄
SEC Rule 17a-4
Electronic recordkeeping requirements for broker-dealers, we architect your backup and storage systems to meet 17a-4 WORM and retention requirements.
🔐
CCPA
California Consumer Privacy Act compliance for client personal data, financial records, and employee information held by California-based financial firms.
✅
SOC 2
SOC 2 audit readiness for firms required to demonstrate security controls to institutional clients, custodians, or LP due diligence processes.
🛡
NIST CSF
NIST Cybersecurity Framework alignment, the standard increasingly referenced in SEC cybersecurity guidance and institutional due diligence questionnaires.
📁
Cyber Insurance
We help firms qualify for and maintain cyber insurance coverage, MFA, EDR, backup documentation, and written security policies all required by underwriters.
Strategic IT Partnership

From helpdesk to strategic advisor

Your firm doesn’t just need someone to fix computers, you need a technology partner who understands financial services regulation, helps you prepare for examinations, and protects client relationships that represent your entire business.

Your dedicated Technical Account Manager meets with you quarterly to review your security posture, prepare for exam cycles, and align IT investments with your firm’s AUM growth and regulatory obligations.

<8min
Response during
market hours & exams
100%
Remote wipe & endpoint
recovery capability
24/7
Security monitoring
& alerting
4hr
On-site dispatch SLA
across LA & OC
Platforms & Software

We support the systems
your firm already runs

From Bloomberg terminals and portfolio management platforms to compliance software and CRM systems, we know the technology financial services firms across Southern California depend on every day.

📈
Bloomberg Terminal
Market Data & Trading
📊
Orion / Tamarac
Portfolio Management
💼
Salesforce FSC / Redtail
CRM & Client Management
💳
Advent / Black Diamond
Portfolio Accounting
📧
Microsoft 365
Productivity & Email
🛡
CrowdStrike / SentinelOne
Endpoint Security
Smarsh / Global Relay
Compliance Archiving
💾
Veeam / Datto
Backup & DR
FAQ

Common questions from
financial services firms

Are you familiar with SEC and FINRA cybersecurity examination requirements?
Yes, this is a core specialization. We’ve built written information security policies, incident response plans, and vendor management programs for RIAs and broker-dealers ahead of SEC and FINRA exams. We understand Regulation S-P, FINRA Rule 4370, and the SEC’s cybersecurity guidance. When the examiner arrives, you’ll have everything they request.
How do you protect against BEC and wire transfer fraud?
We deploy advanced email filtering with BEC-specific detection rules, enforce MFA on all email and financial system accounts, implement DMARC/DKIM/SPF to prevent domain spoofing, and provide security awareness training with wire verification procedures. We’ve detected and stopped active BEC attempts targeting financial firms before any funds were moved.
Do you support Bloomberg, Orion, Tamarac, and other financial platforms?
Absolutely. We actively support Bloomberg terminals, Orion, Tamarac, Salesforce Financial Services Cloud, Redtail, Advent, Black Diamond, Smarsh, and other financial services platforms. We don’t treat your line-of-business software as someone else’s problem, our engineers know these systems.
Can you support advisors and analysts working remotely?
Yes. We deploy zero-trust remote access, MDM for all staff devices, and consistent security policies whether your team is in the office, at a client meeting, or working remotely. Every session is encrypted and auditable, critical for SEC supervision and recordkeeping requirements.
How do you handle SEC Rule 17a-4 recordkeeping requirements?
We architect your backup and storage systems to align with SEC Rule 17a-4 WORM (Write Once, Read Many) retention requirements for broker-dealers. For RIAs and investment advisers, we ensure your records retention policies and backup procedures meet applicable SEC rules and examination expectations.
How is pricing structured?
All-inclusive flat monthly rate, no surprise invoices, no per-ticket fees, no extra charges for after-hours support during an audit or market event. You know your IT cost every month. Hardware-as-a-Service is available to eliminate capital equipment expenses entirely.

Your clients’ assets deserve IT
that never lets compliance slip.

Get a free financial services IT assessment, we’ll review your SEC/FINRA compliance posture, cybersecurity gaps, and platform infrastructure, and give you a clear action plan. Or contact our team to talk through your firm’s needs with our managed IT services in Los Angeles specialists.

Schedule Free Assessment → (213) 873-7620
SEC & FINRA Ready · GLBA Compliant · SOC 2 Ready · MSP 501 Top 36 · 5.0 Google Reviews

See it in action: Read our Arrowroot Capital financial services IT case study →

Regulatory Compliance for Los Angeles Financial Services Firms

Financial firms answer to more security regulators than any other client we serve. Lenders, brokers, and finance companies fall under GLBA and the FTC Safeguards Rule; registered investment advisers face the SEC’s amended Regulation S-P with its new incident response and customer notification requirements; broker-dealers add FINRA’s cybersecurity examination priorities on top. The obligations overlap heavily — and firms that build one coherent control set, mapped outward to each regulator, spend a fraction of what serial compliance projects cost.

The common core across all of them: know where customer financial data lives, restrict and authenticate access to it, encrypt it, monitor it, plan for the breach, and put a name on the program. Examiners increasingly ask for the artifacts in that exact order — risk assessment first — and the firms that produce them within a day have measurably easier examinations than the ones that need three weeks.

The control program examiners and carriers expect
written risk assessment, WISP, MFA, encryption, vendor oversight, and the Qualified Individual’s annual report to ownership.
A maintained NIST CSF profile
the master map that answers SEC, FINRA, state regulator, and client due-diligence questionnaires from one document set.
with wire-fraud scenarios modeled explicitly, since compromised-email payment fraud remains the highest-frequency loss in financial services.
E&O and cyber applications answered from evidence, because a denied claim after a wire-fraud event is an existential outcome for a small firm.
Named security leadership
a virtual CISO who owns the program, faces examiners, and reports to partners quarterly.

We operate the infrastructure behind LA financial firms — trading and CRM platforms, document management, communications archiving — so compliance controls run inside the managed service and evidence accumulates automatically. Start with a compliance readiness assessment mapped to your regulators, or review our full cybersecurity compliance services.