IT Services for
Financial Advisors.
Regulatory exposure requires more than technology. SEC, FINRA, and state-level compliance built into your infrastructure governance from day one.
Financial advisory firms operate in one of the most heavily regulated technology environments in any industry. SEC cybersecurity rules, FINRA technology requirements, state-level data protection laws, and fiduciary obligations create a compliance landscape where infrastructure governance isn't optional — it's existential.
Strix IT delivers infrastructure oversight built specifically for financial advisory practices. Our governance model addresses the unique requirements of RIAs, broker-dealers, and wealth management firms: archiving and retention policies, SEC cybersecurity program requirements, FINRA supervisory controls, business continuity planning, and client data protection.
We don't just configure your firewall and walk away. We implement structured governance that maintains continuous compliance — documented, monitored, and reported to your leadership team monthly so you always know exactly where you stand.
SEC Compliance Architecture
Infrastructure governance aligned to SEC cybersecurity rules, including written policies, access controls, incident response, and annual reporting requirements.
FINRA Supervisory Controls
Technology controls that support supervisory obligations — communication archiving, electronic record retention, and audit trail maintenance.
Client Data Protection
End-to-end encryption, access governance, and data loss prevention controls designed to protect client financial information across every touchpoint.
Business Continuity Planning
SEC and FINRA both require documented BCP. We don't just write the plan — we implement, test, and maintain the infrastructure to support it.
Frequently Asked.
Does Strix IT understand SEC cybersecurity requirements?
Yes. Our governance model is built to address SEC cybersecurity program requirements, including written policies and procedures, access controls, threat assessment, incident response, and annual compliance reporting.
Can Strix IT support our compliance audit process?
Absolutely. Our continuous governance model maintains audit readiness at all times. Documentation, access logs, policy enforcement records, and security controls are maintained in real-time, making audit preparation straightforward.
How does Strix IT handle financial data in IT operations?
All operational access to financial systems follows strict need-to-know principles. Our team operates under confidentiality agreements, and our monitoring and access protocols are designed to maintain fiduciary-grade data protection.
Ready for infrastructure
that's actually governed?
See where your infrastructure stands — and what governance looks like when it's done right. 30 minutes, no obligation.