Regulated Work Demands
Disciplined IT.
Managed IT and strategic advisory for financial advisors, wealth managers, and registered investment advisors.
Financial services firms operate under a level of regulatory scrutiny that most IT providers don’t understand. SEC, FINRA, and state regulators all have explicit expectations around data protection, business continuity, and cybersecurity controls. A compliance gap isn’t just a technical problem — it’s an existential one.
DP3 was built for exactly this kind of environment. We bring the same rigor we apply to law firms — where client confidentiality is non-negotiable and downtime is unacceptable — to the financial advisors and wealth managers who hold their clients’ most sensitive information.
Whether you’re an independent RIA managing $100M in assets or a multi-advisor firm with offices in multiple states, we provide the same proactive, compliance-aligned IT management. No shortcuts. No gaps examiners will find before you do.
Why Financial Services Firms Choose DP3
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Compliance & Regulatory Alignment
SEC Regulation S-P, FINRA cybersecurity guidance, and state regulators all have IT and data protection expectations. We help you meet them with controls that satisfy examiners, not just check boxes. Our documentation and evidence trails are always current — not assembled the week before an examination.
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Client Data Protection
You hold sensitive PII, tax records, estate plans, and financial projections. We build security around that data with encryption at rest and in transit, role-based access controls, data loss prevention policies, and 24/7 monitoring that match the stakes of the information you manage.
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Cyber Insurance Alignment
Carriers increasingly require specific controls — MFA, EDR, immutable backups, privileged access management. We ensure your environment meets these requirements before renewal time, so you’re never scrambling to fill gaps on a carrier questionnaire.
IT Services for Financial Advisors & Wealth Managers
The same disciplined approach we bring to legal environments and CPA firms, applied to the regulatory and operational demands of financial services.
Managed IT for Financial Services
Proactive monitoring, patching, and support for firms where downtime directly impacts client trust and revenue. Secure remote access for advisors working across locations or from home. 24/7 monitoring with rapid response times, because markets and client needs don’t wait for business hours.
vCIO Advisory for RIAs
Strategic technology planning that accounts for SEC regulatory requirements, business continuity obligations, and cyber insurance prerequisites. Budgeting and roadmaps that speak to compliance committees and firm leadership, not just IT staff. Technology guidance aligned with your AUM growth and operational expansion.
Cybersecurity & Compliance
Endpoint detection and response (EDR), multi-factor authentication, email security against phishing — the top attack vector targeting financial firms — and vulnerability management aligned with SEC/FINRA examination expectations. Continuous security posture monitoring with documented compliance evidence.
Business Continuity & Disaster Recovery
Immutable backup strategies, disaster recovery planning, and tested restoration procedures. When regulators ask about your BCP, you’ll have a real answer — documented plans, tested recovery procedures, and defined RPO/RTO targets that demonstrate operational resilience.
Common Questions from Financial Services Firms
Questions we hear regularly from financial advisors, wealth managers, and RIA principals evaluating managed IT partners.
What IT compliance requirements do SEC-registered investment advisors have? +
SEC-registered investment advisors must implement written information security policies, conduct regular risk assessments, and maintain cybersecurity controls that protect client data. The SEC’s Regulation S-P requires safeguards for customer records and information.
Examiners increasingly expect multi-factor authentication, endpoint detection and response, encrypted communications, and documented incident response plans. DP3 helps RIAs implement and maintain these controls as part of a managed IT engagement.
How does DP3 help firms prepare for SEC or FINRA cybersecurity examinations? +
We align your IT environment with examination expectations before examiners arrive. This includes implementing controls that map to SEC and FINRA cybersecurity guidance — endpoint protection, access controls, data loss prevention, encryption, and documented business continuity plans.
We maintain the documentation and evidence trail that examiners expect, so your compliance posture is always current rather than scrambled together before an exam.
What cybersecurity controls do cyber insurance carriers require? +
Cyber insurance carriers increasingly require specific technical controls before issuing or renewing policies for financial services firms. Common requirements include multi-factor authentication on all remote access and email, endpoint detection and response (EDR), immutable or air-gapped backups, email filtering and anti-phishing controls, privileged access management, and security awareness training.
DP3 ensures your environment meets these requirements ahead of renewal deadlines. Read more about our approach to security and risk management.
Do you support financial advisors who work remotely or across multiple offices? +
Yes. Many financial advisors and wealth managers work across multiple locations, including home offices and satellite offices. DP3 provides secure remote access infrastructure, cloud-based collaboration tools, mobile device management, and consistent security policies that follow advisors wherever they work — without sacrificing the compliance posture that regulators expect.
What is the difference between managed IT and break-fix IT for financial services? +
A break-fix IT company responds after something fails. A managed IT provider like DP3 proactively monitors, patches, and maintains your infrastructure to prevent issues before they impact your business.
For financial services firms, this distinction is critical — regulators expect proactive cybersecurity management, not reactive repairs. Managed IT also provides predictable monthly costs, strategic technology planning, and continuous compliance alignment that break-fix models cannot deliver. Learn more about how we work.
Related Industries We Serve
Legal & Professional Services
Where DP3 started. Managed IT built for the ethical obligations and operational demands of law firms.
CPA & Accounting Firms
IT infrastructure aligned with IRS safeguard requirements and the operational demands of tax season.
Construction & Project Management
Field-to-office connectivity and scalable IT for project-driven firms.
Your Clients Trust You with Everything
Their financial futures, their retirement plans, their families’ security. Your IT partner should earn that same level of trust.
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