Financial Services IT · Los Angeles & Orange County
IT Services Built for Financial Services Firms in Los Angeles
- ✓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
- ✓Zero ransomware incidents across our entire client history
Free IT Assessment
No obligation. We evaluate your environment and deliver a clear action plan within 24 hours.
0hrs
Planned downtime
on our watch
on our watch
8min
Avg. response time
20+
Years serving
LA & OC
LA & OC
99.9%
Network uptime SLA
Who We Serve
Every type of financial services firm
in Southern California
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.
📈
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
What keeps financial services IT
leaders up at night
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.
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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.
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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.
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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.
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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.
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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.
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.
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.
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.
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.
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.
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
- Zero ransomware incidents ever
Regulatory Expertise
Every regulation your firm
must meet, covered
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.
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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.
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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
market hours & exams
100%
Remote wipe & endpoint
recovery capability
recovery capability
24/7
Security monitoring
& alerting
& alerting
4hr
On-site dispatch SLA
across LA & OC
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.
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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.
SEC & FINRA Ready · GLBA Compliant · SOC 2 Ready · MSP 501 Top 36 · 5.0 Google Reviews