SEC Compliance

Compliance can be complicated and time consuming – we make it easier.

Technology alone is like a hammer – it’s just a tool. Unless the hammer is in the hand of a skilled craftsman, we cannot expect that it will build a house on it’s own. However, when the proper tools are combined with the right skill and materials, we can build something awesome. That’s where we step in, we help you use the tools to run your firm and stay compliant.

Technology Alignment

Align your written policies and technology and help keep the two in sync.


We document and report on the status of your environment.


Custom Assessments

We will build a custom assessments based on your policies and test them.

FinGarde Client Portal

Your technology compliance reports will be uploaded to a client portal where you can access them at any time. Real time access gives you (and your auditor) access to the information when you need it. Of course, you can always request a custom report form us should you need it.

If you are unsure about your current IT environment, we will provide a free, one-time risk assessment for your RIA. Complete this form to get started.

Our Vision

To be a partner of such high value, that our clients cannot imagine doing business without us.

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