Managed IT Services for Registered Investment Advisors
Purpose-Built IT for the Modern RIA
At FinGarde, we don’t provide generic “managed IT.” We provide purpose-built cybersecurity and technology management for Registered Investment Advisers (RIAs). Every service we deliver – from workstation patching to cloud configuration – aligns with the SEC’s expectations for governance, risk management, and operational resiliency.
RIAs face unique challenges: balancing client service with fiduciary responsibility, navigating overlapping state and federal regulations, and maintaining digital trust in a landscape where even small firms are targets. Our managed IT program exists to address these realities directly – security first, compliance always, and operations streamlined.
Built on a Framework the SEC Recognizes
Our service model is anchored in the NIST Cybersecurity Framework and informed by the SEC’s 2023 Cybersecurity Risk Management, Strategy, and Governance Rule and OCIE’s Cybersecurity and Resiliency Observations.
This ensures every system, control, and process we implement supports what examiners actually look for:
- Governance and Risk Management: Security starts at the top. We help your leadership define risk tolerance, document policies, and establish oversight processes that demonstrate control.
- Access and Identity Management: Multi-factor authentication, conditional access, and privileged account controls protect sensitive data and meet examiner expectations.
- Data Protection and Loss Prevention: From endpoint encryption to data backup in offsite environments, your client records are safeguarded beyond vendor defaults.
- Incident Response and Resiliency: We operate a 24×7 Security Operations Center (SOC) with extended detection and response (XDR) capabilities, monitoring for threats across devices and Microsoft 365.
- Vendor Oversight: Our vendor management and documentation process maps directly to the due diligence expectations outlined by the SEC.
Security That’s Managed, Measured, and Defensible
Our managed platform goes beyond keeping systems running – it’s designed to prove that controls are working. Each client environment includes:
- Zero Trust Enforcement: Default-deny configurations, application allow-listing, and continuous verification of all users and devices.
- Patch and Configuration Management: Continuous updates for Windows, third-party applications, and Microsoft 365 baselines – ensuring compliance with your cybersecurity policies.
- SOC + SIEM Monitoring: Log aggregation and behavioral analysis through our managed Security Operations Center, delivering early threat detection and incident response.
- Backup and Recovery: All Microsoft 365 data is backed up to a secure, non-Microsoft data center to meet resiliency and continuity requirements.
- Compliance Reporting: Documentation that aligns technical evidence with SEC examination requests – demonstrating risk awareness, not just tool deployment.
Technology that Stays in Step with Regulation
As regulatory expectations evolve, so do we. The SEC’s focus on cybersecurity risk governance, disclosure, and board oversight underscores a shift from reactive to proactive defense. FinGarde continuously adapts service configurations, detection rules, and reporting structures so your technology posture remains aligned with both today’s and tomorrow’s compliance standards.
Our managed service is not static – it’s a living system that grows with your firm and with regulation.
Why RIAs Choose FinGarde
- RIA-Centric Expertise: We serve only financial advisors – every control we design supports fiduciary obligations and examination readiness.
- Security Operations at Scale: Continuous monitoring, managed detection and response, and escalation handled by cybersecurity professionals.
- Operational Partnership: We act as your outsourced IT department – responsive, documentation-driven, and built for regulated environments.
- Audit Confidence: From Form ADV descriptions to incident documentation, our approach ensures your technology story stands up under scrutiny.
Ready for a More Secure Future
FinGarde’s Managed IT Services empower RIAs to meet their compliance obligations with confidence – while maintaining the performance and reliability their business demands.
Whether you’re preparing for your next SEC exam or strengthening your cybersecurity foundation, our mission remains constant:
To secure your systems, safeguard your clients, and simplify your compliance.