IT Services for Financial Advisors and RIAs in San Antonio

Who this is for, and who it is not

This page is for independent RIAs and wealth management firms that own their technology stack and run their own San Antonio office: typically a few advisors, their assistants and operations staff, and a sales or client service team, somewhere between 5 and 30 people. If your technology is supplied and mandated by a broker-dealer, you most likely do not need us, and we will say so on the first call.

For the independent firm, the technology has two jobs. Advisors and staff need fast, reliable access to the CRM, portfolio and planning tools, custodian portals, and email from the office, from home, and from a client’s conference room. And the firm needs to be able to show a regulator, an auditor, a cyber insurer, and a nervous client that the data is protected and that someone is watching.

Security for a firm that cannot afford a breach

An RIA breach is not an IT problem. It is a Reg S-P notification event, a client trust problem, and increasingly a wire fraud attempt, because the attacker’s goal after reading your email is to impersonate a client and request a disbursement. Our security stack is built for that threat model, and it is included in the managed plan rather than sold as add-ons.

• 24/7 SOC as a Service: security logging and monitoring across Microsoft 365 or Google Workspace, endpoints, and the network, with a security operations team reviewing alerts around the clock. Logs are retained for 12 months.
• Endpoint detection and response on every workstation, laptop, and server, with managed response when something fires.
• MFA and Zero Trust access: multi-factor authentication on email, remote access, custodian portals, and administrative accounts, with conditional access policies so a stolen password alone gets an attacker nothing.
• Email security with advanced phishing and impersonation protection, because business email compromise is how advisory firms actually lose money.
• Full-disk encryption and mobile device management on laptops and phones, so a device left in an airport can be locked and wiped before anyone opens a client file.
• Encrypted, verified backups with tested restores, kept where ransomware cannot reach them.
• Security awareness training for advisors, assistants, and sales staff, with simulated phishing, because the sales team is who the attacker will call.
• Wire and disbursement controls: we help the firm implement technical callback verification and out-of-band confirmation workflows so a spoofed client email cannot move money.

For the full breakdown of Zero Trust controls and the SOC service, see our computer security and cybersecurity page.

Regulation S-P, GLBA, and what your firm needs from a service provider

The SEC’s 2024 amendments to Regulation S-P took full effect for smaller advisers on June 3, 2026, and the SEC has made them an examination priority. The amendments require every covered adviser to maintain a written incident response program, notify affected clients within 30 days of an incident involving sensitive customer information, keep records of safeguards and incidents, and oversee service providers through due diligence and monitoring, including a requirement that vendors notify the adviser of a breach within 72 hours. The Gramm-Leach-Bliley Act’s safeguards expectations sit underneath all of it, and Regulation S-ID adds an identity theft red flags program.

Here is what that means from us, in the order an examiner would ask.

• Service provider due diligence: we supply a written package for your vendor file: our security practices, a shared responsibility matrix showing what ASAP controls and what the firm controls, technician access practices (named accounts, MFA, background checks), log retention, and our incident notification commitment. It is written to be handed to a compliance consultant or an examiner as is.
• Breach notification faster than the rule requires: incident notification to the firm within 4 hours is written into our agreement, against the 72 hours Reg S-P allows a service provider.
• Incident response: a documented plan to isolate affected systems, preserve evidence, restore from verified backups, and give the firm the technical facts it needs to determine whether sensitive customer information was involved and to meet the 30-day client notification clock.
• Safeguards evidence: the asset inventory, access lists, encryption status, and configuration records your written information security policies reference, kept current so the documents match the systems.
• Disposal: documented, certified wiping of retired workstations, laptops, and drives that held customer information.

ASAP is your IT and security provider, not your compliance consultant. Your CCO or compliance firm owns the policies and the filings; we make the technical controls real and provable.

Books and records: keeping communications archived

Advisers must retain business communications, and regulators have spent recent years fining firms over texts and messages that never made it into the archive. We configure the technical side so nothing is off channel: Microsoft 365 journaling into your archiving platform (Smarsh, Global Relay, or similar), Teams and chat capture, immutable retention in Microsoft Purview where the firm uses it, and mobile texting routed through an archived channel on managed phones rather than personal iMessage. Your compliance team sets the policy. We make sure the systems actually enforce it.

CRM, portfolio tools, custodian portals, and working from anywhere

Whether your firm runs Salesforce, Redtail, or Wealthbox for CRM; Orion, Tamarac, or Black Diamond for portfolio management; eMoney or MoneyGuidePro for planning; and Schwab, Fidelity, or Pershing custodian portals, we support the laptops, network, Microsoft 365 environment, and identity those platforms depend on, and we coordinate with the vendor when a sync, integration, or access problem needs solving. Most of these tools are cloud based, which means the real IT job is identity and device security: making sure the right person, on a managed and encrypted device, with MFA, is the only one who can get in.

For advisors who spend half their week in clients’ offices, that same setup is what makes mobility safe. No VPN appliance to fight with, no shared logins, and a laptop that works the same at a client’s conference table as it does at your desk. Our Microsoft 365 management service covers email, identity, conditional access, and retention in depth.

The Texas cybersecurity safe harbor (Senate Bill 2610)

Since September 1, 2025, Texas businesses with fewer than 250 employees that implement and maintain a documented cybersecurity program are shielded from exemplary damages in lawsuits following a data breach. An advisory firm holds exactly the sensitive personal information the statute covers. For a firm under 20 employees, the statute asks for password policies and staff training; for 20 to 99, a program aligned with CIS Controls Implementation Group 1. The controls above are built to CIS Controls and the NIST Cybersecurity Framework, and we document them so the firm can show what was in place on the day it mattered. Whether the program satisfies the statute in a given case is a question for the firm’s own counsel.

Common advisory firm technology issues we fix

• Client data on personal laptops and phones with no encryption and no way to wipe them
• Email accounts without MFA or conditional access, one phished password from a wire fraud attempt
• Texts with clients that never reach the archive
• Shared logins to custodian portals and CRM
• Remote access that is either painful or wide open
• No written incident response plan, or one that names nobody
• A vendor file with nothing in it for the IT provider
• Backups that run but have never been restored
• Former staff whose accounts still work after departure

Pricing for a firm of 5 to 30 users

Our managed IT and security plans for San Antonio advisory firms run about $85 per user per month as a typical figure, on an annual agreement, so a 15-person firm lands near $1,275 per month with the SOC, EDR, MFA, training, and backups included rather than sold as add-ons. Firms of up to seven users start at $500 per month flat. Full detail is on our managed IT services cost page. Firms with an internal IT person can use our co-managed IT option. Opening a new office? Our turnkey office IT build-out covers cabling, network, workstations, and phones before the first client meeting.

How an engagement typically starts

1. Initial intake to confirm advisors, staff, platforms, custodians, archiving, and who handles compliance.
2. Security and technology review covering identity and MFA, device encryption and management, email security, archiving coverage, backups, and the gaps an examiner or an attacker would find first.
3. Service plan with priorities, the due diligence package for your vendor file, and options for ongoing management.

If you already have an operations manager who handles small tasks, we work alongside them. If you do not, we provide a structured support process so advisors and staff know who to call.