Why proactive IT monitoring matters for RIAs
As a registered investment advisor (RIA) or financial advisor, you probably already know your clients expect seamless service and airtight security. your IT setup can make or break your ability to deliver on those expectations? Fortunately, proactive IT monitoring exists to make your life easier. From wresting control over unexpected outages to staying compliant with […]
Simplifying RIA recordkeeping compliance with Microsoft 365
Running a registered investment advisory (RIA) or financial advisory firm is no walk in the park, and when it comes to recordkeeping compliance, it can feel more like scaling a mountain. Between the exacting standards of the Securities and Exchange Commission (SEC) and the staggering amount of data you’re handling, staying compliant may present an […]
How RIAs can stay prepared with effective incident response and reporting
Managing sensitive client information is at the core of what registered investment advisors (RIAs) and financial advisors do every day. But what happens when that information is compromised? Imagine a scenario where you discover a phishing attack targeting your team’s email. Without an incident response plan, your employees may not know how to handle it. […]
How RIAs can secure printed documents
Despite the rise of digital workflows, printed documents remain a fixture in the world of wealth management. Whether it’s client contracts, financial statements, or regulatory filings, the need to print and store sensitive paperwork is still very much alive. However, while essential, printed documents come with their own set of risks. For registered investment advisors […]
Why an assigned IT team is key to your RIA’s success
Registered investment advisors (RIAs) and financial advisors deal with increasingly complex tech challenges. From navigating complex client data systems to complying with strict regulations and warding off cybersecurity threats, these hurdles make efficient IT management nonnegotiable. For RIA and financial advisory firms, especially those with 5 to 25 employees, relying on generic IT support just […]
Managing texting risks for RIAs and financial advisors
Texting has become a common way to communicate in nearly every aspect of life. It’s no different for registered investment advisory (RIA) and financial advisory firms. Employees often find texting to be the fastest way to connect with clients, answer questions, or share updates. But while texting is quick and convenient, it can also open […]
Own Your IT Hardware: A Smarter Choice for RIAs
When it comes to managing your RIA’s IT infrastructure, one question can make a significant financial and operational impact: Should you own your IT hardware, or should you rent it through your IT provider? While renting—sometimes referred to as hardware-as-a-service (HaaS)—might sound convenient, it can cost your firm much more in the long run and […]
Outdated Scanning Practices Are Putting Your Firm at Risk: Why It’s Time to Switch to Scan-to-SharePoint
As a Registered Investment Advisor (RIA) or financial advisory firm, you understand the importance of safeguarding sensitive client data. But what about the tools and processes your team uses every day? If your firm is still relying on the outdated scan-to-folder method for document scanning, you may be exposing your business to unnecessary risks. Here’s […]
Tailored IT Solutions Unveiled: RIA WorkSpace vs. Visory – Choose Your Perfect Fit!
RIA WorkSpace vs. Visory: Securing the Right IT Partner for Your RIAChoosing the right managed IT service provider is crucial for financial advisory and wealth management firms. RIA WorkSpace specializes exclusively in RIAs, delivering Microsoft-powered IT management, compliance, and enterprise-grade cybersecurity. With 98% client retention and a proactive consulting approach, RIA WorkSpace ensures tailored solutions […]