Managed IT Built for
Registered Investment Advisers
Your firm runs on custodian platforms, client portals, and sensitive financial data. Generic IT doesn't understand your workflow. Katalism delivers managed IT purpose-built for RIAs — from Schwab and Fidelity integrations to SEC-compliant infrastructure and 24/7 security.
IT Services Designed for How RIAs Actually Work
custodians supported
Custodian Platform Support
We configure, secure, and support your connections to Schwab, Fidelity, Pershing, and other custodians — including SSO, MFA, and conditional access on every session.
fully compliant
SEC Regulation S-P Compliance
We implement the technical safeguards, incident response plans, and breach notification procedures required by the amended Reg S-P. Your WISP stays current and audit-ready.
compliant archiving
Books & Records (Rule 204-2)
Compliant email archiving, document retention, and immutable storage that satisfies SEC and FINRA recordkeeping requirements and produces evidence on demand.
SOC monitoring
24/7 Security & SOC
Continuous threat monitoring, endpoint detection & response, and incident response — with guaranteed SLAs and market-hours on-call coverage.
on every endpoint
Advisor Workstation Hardening
Standardized, locked-down workstation images with EDR, disk encryption, application whitelisting, and controlled USB policies — built for advisors who handle NPI daily.
audit-ready
Compliance Documentation
We maintain your policies, evidence artifacts, access reviews, vendor assessments, and training logs so you're always prepared when examiners call.
Custodian Integrations
We Support the Platforms You Depend On
Your custodian platform is mission-critical infrastructure. We ensure every connection is secured with MFA, conditional access, and encrypted sessions — meeting or exceeding custodian security requirements.
Charles Schwab
Schwab Advisor Services, PortfolioCenter, Schwab Intelligent Portfolios
Fidelity
Fidelity Institutional, Wealthscape, Fidelity Clearing & Custody
Pershing (BNY)
NetX360, Pershing X, clearing and custody platform integrations
Altus
Altus Financial and investment management platform support
Interactive Brokers
Client Portal, Trader Workstation (TWS), API integrations
SEI
SEI Wealth Platform, portfolio management and custody integrations
Tailored for Your Firm's Size
Growing from 5 employees to 100? We scale your IT, security, and compliance alongside your business — no re-platforming, no penalties, no coverage gaps. Start with what you need today and grow without switching providers.
SMB RIAs
- Fully outsourced IT — no internal IT staff needed
- Single-vendor support covering helpdesk, security, and compliance
- Standardized workstation images for advisors and operations
- Cloud-first infrastructure with Microsoft 365 and custodian portals
- FTC Safeguards Qualified Individual (QI) support
- Fixed monthly cost per user with no hidden fees
Mid-Market RIAs
- Co-managed IT alongside your internal team or existing vendor
- vCISO and vCIO services for strategic oversight and board reporting
- Multi-office networking with site-to-site VPN and SD-WAN
- Custom integrations between custodian platforms, CRM, and compliance tools
- SOC 2 Type II readiness and ongoing compliance management
- Dedicated account manager with quarterly business reviews
Audit Readiness
How We Prepare You for Real Audit Scenarios
Examiners don't accept slide decks. They test whether your controls actually work. Here's how we prepare you for the audits RIAs actually face.
SEC Regulation S-P Examination
What examiners request
Examiners request your Written Information Security Program (WISP), evidence of data safeguards, incident response plan, and proof that you can notify affected clients within 30 days of a breach.
How Katalism prepares you
We maintain your WISP, enforce technical controls (encryption, MFA, DLP), and keep your incident response and notification playbooks tested and current. Evidence is centralized and audit-ready.
Books & Records Review (Rule 204-2)
What examiners request
Examiners verify that electronic records — emails, trade confirmations, client communications — are retained in compliant, tamper-proof formats for required periods.
How Katalism prepares you
We configure compliant email archiving, document retention policies, and immutable storage that satisfies Rule 204-2 and produces audit-ready records on demand.
FINRA Cybersecurity Examination
What examiners request
Examiners evaluate your cybersecurity governance, access controls, vendor management, data loss prevention, training, and incident response capabilities.
How Katalism prepares you
We implement controls aligned to FINRA's examination priorities and maintain the documentation — access reviews, vendor assessments, training logs, and incident records — that examiners expect to see.
Custodian Technology Audit
What examiners request
Custodians like Schwab or Fidelity conduct technology reviews of advisors connecting to their platforms, checking MFA, endpoint security, and secure data handling.
How Katalism prepares you
We ensure all custodian-facing systems meet or exceed their security requirements — MFA on all connections, encrypted endpoints, conditional access, and session logging.
RIA-Specific Risks
Threats Targeting Advisory Firms Right Now
Business Email Compromise (BEC)
Attackers impersonate advisors or custodians to redirect wire transfers or steal client credentials. BEC is the most costly attack vector targeting financial advisory firms.
Custodian Credential Theft
Compromised advisor credentials can give attackers direct access to custodian portals, client accounts, and trading capabilities. MFA and conditional access are critical.
Client Data Exfiltration
Non-public personal information (NPI) — Social Security numbers, account numbers, financial plans — is a high-value target. Encryption, DLP, and access controls are mandatory.
Ransomware Disruption
Ransomware can encrypt client files, trading platforms, and communication systems simultaneously, halting operations during critical market periods.
Shadow IT & Unapproved Tools
Advisors adopting unapproved apps (AI chatbots, file sharing, personal email) create compliance gaps and data leakage risks outside your security perimeter.
Regulatory Non-Compliance
Failure to maintain SEC Regulation S-P, FINRA, and state privacy law compliance can result in enforcement actions, fines, and reputational damage that erodes client trust.
Frequently Asked Questions
Do you support custodian platform integrations like Schwab, Fidelity, and Pershing?
Yes. We configure, secure, and support connections to all major custodian platforms including Charles Schwab Advisor Services, Fidelity Institutional (Wealthscape), Pershing (NetX360), Interactive Brokers, SEI, and Altus. We ensure MFA, conditional access, and encryption are enforced on all custodian-facing systems.
How do you help RIAs comply with SEC Regulation S-P?
We implement the technical controls required by the amended Regulation S-P — encryption, access controls, MFA, data loss prevention, and 24/7 monitoring. We also build and maintain your Written Information Security Program (WISP), incident response plan, and the evidence pack that demonstrates compliance to examiners. The amendments require notifying affected individuals within 30 days of a breach.
Can you serve as our Qualified Individual under the FTC Safeguards Rule?
Yes. Many RIAs are also subject to the FTC Safeguards Rule if they are "significantly engaged" in financial activities. Katalism can serve as or support your Qualified Individual (QI), providing oversight, documentation, and the required annual board reporting.
What is your pricing model for RIA IT services?
We price per user per month, covering managed IT support, cybersecurity, compliance documentation, and helpdesk. Financial firms typically pay $150–$300 per user per month for managed IT support, with security and compliance services additional. Schedule an assessment for a customized quote based on your firm's specific needs.
Do you support both small and mid-market RIAs?
Yes. For SMB RIAs (5–25 employees), we provide fully outsourced IT with a single-vendor model. For mid-market RIAs (25–100+ employees), we offer co-managed IT alongside your internal team, plus vCISO and vCIO services for strategic oversight, SOC 2 readiness, and multi-office networking.
Your Clients Trust You. Make Sure Your IT Deserves That Trust.
Schedule a free compliance assessment to identify gaps in your firm's IT and cybersecurity posture.
Schedule a Meeting