Contact us: 888-996-4642 |

Regulatory Compliance and Solutions

Adhering to regulations is a necessity for every RIA — violations lead to fines and erode client confidence. RIAs are governed by a number of entities, depending on the lines of businesses you offer. That’s why you need an IT partner who understands the technology requirements in the current regulatory environment, whether it’s SEC, FINRA, State, SOX, HIPAA, GLB, PCI, PCI 2.0 or others. With a deep understanding of both the way RIAs work and your particular compliance needs, we can come to you with advice and solutions currently deployed throughout our client base. You don’t have to train us about your needs: we already know, enabling us to offer immediate value to your compliance efforts.

Here are some ways ĪTEGRIA® links our capabilities with your compliance needs:


Protecting clients’ highly targeted financial information is of primary importance to RIAs. In fact it’s a primary focus to most regulatory bodies for 2014, especially as reports of stolen Personal Identifying Information (PII) as well as financial information hit the news media on almost a daily basis. ĪTEGRIA is constantly looking to provide RIA firms with products and services specifically designed to address these needs. Our Total AdvisorSecure™ Service Plan was designed to give RIAs the tools they need to assess their vulnerability to attacks, locate the holes for possible breaches and seal them before they become a problem. Together with our Total AdvisorCare™ Service Plan, we provide clients with a formidable set of tools for ongoing data security.


The regulatory need to retain records, correspondence and documents for varying lengths of time make data retention an important aspect of every RIA’s practice. Technology can play a key role in data retention, including:

  • Document management systems
  • Backup and disaster recovery systems
  • Supervisory review systems

Our experience in deploying proven technologies in use by RIA firms throughout the country mean we make it easier for your firm to select the right solutions to address your needs.


Regulatory compliance reviews and annual data recovery testing and disaster recovery testing walk hand-in-hand. So deploying a proven methodology for backup and disaster recovery (BDR) is vital for an RIA practice. ITEGRIA’s experience has shown that backup programs installed by most IT support firms are “set it and forget it” systems. But a truly reliable BDR methodology like MimicBDR™ relies on daily monitoring of proven technologies, processes, hardware and software, ensuring all facets are working in unison to protect a firm’s most valuable assets (data and reputation) in case of a disaster. That’s why ĪTEGRIA’s Total AdvisorCare Service Plan includes the MimicBDR system.

It’s worth noting that regulatory compliance requires an annual test of your RIA firm’s Business Continuity Plan (which should include your BDR system). ĪTEGRIA will perform an annual test of the MimicBDR system for your firm, document it and deliver it for our compliance manual, all as part of the Total AdvisorCare Service Plan.


You were a huge hit at The Athena Group meeting. You helped elevate the group’s understanding of the risks we face today with cybersecurity. You have been such a great strategic partner to me and my firm. Thank you so much for taking your time to help our industry!

Sue Stevens

CEO, Stevens Wealth Management


1550 N. Northwest Highway, Suite 403, Park Ridge, IL 60068

Adhering to regulations is a necessity for every RIA — violations lead to fines and erode client confidence.