Wealth Management IT Services
Secure Technology Protecting Client Assets And Maintaining Regulatory Compliance
Financial Advisory Demands Absolute Security
Wealth management firms handle extremely sensitive client financial information, investment portfolios, and personal data requiring rigorous security and strict regulatory compliance. Security breaches expose client account details and financial positions destroying trust relationships built over years, compliance violations trigger SEC examinations and substantial penalties, and system failures prevent advisors from accessing client information needed for timely investment decisions.
Sequentur provides IT services designed specifically for wealth management firms operating under stringent regulatory requirements and fiduciary obligations. We implement security controls protecting client data, maintain compliance with SEC and FINRA regulations, support portfolio management systems, and ensure reliable technology enabling advisors to serve clients effectively without compromising sensitive information.
What Our Wealth Management IT Services Do For You
Protect client financial data and investment information
Maintain SEC and FINRA compliance requirements continuously
Support portfolio management and financial planning systems
Enable secure client communication and document sharing
Implement business continuity satisfying regulatory requirements
Secure email and data preventing unauthorized disclosure
Provide immediate support when market events require action
Get the Best IT Support
What Our Clients Say ...
"We had a cyber attempt on our network. I was asleep, my network engineer was asleep, but Sequentur was there to watch over and protect us. I'm truly grateful for that."
"I can actually take time off... and know there is someone there to handle the technical support issues for my staff."
"They know what they are talking about, you can tell there is a lot of experience there and a passion for doing the right thing by their customers."
"I feel like I can email or call anyone from the CEO on down and get a prompt response to any concerns I have."
"They're always very responsive and have the expertise to solve the problems that we present."
How We Protect Wealth Management Operations For You
Our wealth management approach combines regulatory compliance, data security, portfolio system support, and understanding advisor productivity pressures. These elements work together ensuring technology protects client information while supporting effective advisory services and satisfying stringent regulatory obligations governing financial services firms.
01
Regulatory Compliance
We implement controls satisfying SEC cybersecurity requirements, FINRA rules, & state regulations governing client data protection. Compliance includes required policies, technical controls, monitoring, incident response procedures, & documentation demonstrating reasonable security efforts protecting client information.
02
Data Protection
We secure client financial information including account details, portfolio holdings, personal data, and investment strategies through encryption, access controls, secure transmission, and monitoring. Protection prevents unauthorized access to sensitive information that could enable identity theft or investment fraud.
03
System Support
We maintain portfolio management, financial planning, CRM, and custodian integration systems ensuring reliable operation supporting advisor productivity. System support includes performance optimization, troubleshooting, vendor coordination, and ensuring constant availability during market hours.
04
Communication Security
We implement secure email, client portals, document sharing, and video conferencing protecting confidential advisor-client communications. Communication security prevents interception of sensitive discussions about financial positions, investment strategies, and personal circumstances requiring confidentiality.
Get the Best IT Support
Backed by Certifications and Results
Compliance Failures Threaten Firm Viability
SEC and FINRA impose strict cybersecurity requirements on registered investment advisors and broker-dealers with violations triggering examinations, enforcement actions, and substantial penalties. Inadequate security constitutes failure to fulfill fiduciary obligations even without actual breaches. Data breaches exposing client information trigger mandatory regulatory reporting, potential lawsuits, and reputation damage destroying client confidence.
Professional wealth management IT services prevent these catastrophic outcomes through comprehensive security satisfying regulatory requirements, documented compliance programs, and proper incident response procedures. Specialized expertise ensures firms meet obligations protecting client data while maintaining documentation demonstrating reasonable security efforts during regulatory examinations.
Financial Services Regulations Require Expertise
Generic IT providers lack understanding of SEC cybersecurity rules, FINRA regulations, custody requirements, and financial services compliance obligations. These inexperienced providers cannot properly implement security satisfying regulatory standards, configure required monitoring and logging, or maintain documentation examiners expect during SEC or state examinations of advisory firms.
Sequentur specializes in wealth management IT with extensive experience supporting registered investment advisors, broker-dealers, and financial planning firms. We understand SEC and FINRA requirements, custody security obligations, and compliance documentation standards that generic providers cannot address properly. Regulatory expertise ensures firms satisfy obligations while protecting client information.
Portfolio Management Systems
Supporting Investment Advisory And Planning Platforms
Portfolio management systems support investment management, financial planning, performance reporting, rebalancing, and client reporting. Sequentur supports platforms including Orion, Black Diamond, Tamarac, eMoney, MoneyGuidePro, and Morningstar ensuring reliable operation, proper custodian integration, accurate data feeds, and optimal performance. Portfolio system support includes configuration management, troubleshooting, vendor coordination, and ensuring availability during market hours.
Portfolio management systems enable advisors to manage client portfolios efficiently, conduct financial planning, generate performance reports, and provide clients comprehensive financial advice. Professional support ensures systems integrate properly with custodians, market data feeds remain accurate, and platforms function reliably supporting advisor productivity and client service quality.
Supports Orion, Black Diamond, Tamarac, eMoney platforms
Integrates with custodians ensuring accurate account data
Maintains reliable operation during critical market hours
CRM And Client Management
Organizing Client Relationships And Compliance Documentation
CRM and client management systems organize prospect and client information, document interactions, track compliance requirements, manage workflows, and schedule reviews. Sequentur supports platforms including Salesforce Financial Services Cloud, Redtail, Wealthbox, and Junxure ensuring reliable operation, proper configuration supporting advisory workflows, integration with portfolio systems, and compliance documentation capabilities.
CRM systems improve advisory efficiency by centralizing client information, documenting interactions satisfying compliance requirements, tracking deliverables and deadlines, and managing pipeline development. Professional support ensures systems are configured for advisory workflows, integrate with portfolio management, and provide compliance documentation satisfying regulatory examination requirements.
Manages Salesforce, Redtail, Wealthbox, Junxure platforms
Configures systems supporting advisory workflow requirements
Documents interactions satisfying compliance obligations
SEC Cybersecurity Compliance
Satisfying Regulatory Requirements For Investment Advisors
SEC cybersecurity compliance implements controls satisfying requirements for registered investment advisors protecting client information. Sequentur implements required policies and procedures, deploys technical controls including encryption and access restrictions, establishes monitoring and incident response, conducts risk assessments, and maintains documentation demonstrating compliance. Compliance includes satisfying Regulation S-P, SEC cybersecurity guidance, and state requirements.
SEC compliance protects firms from enforcement actions, examination findings, and penalties resulting from inadequate client data protection. Proper implementation satisfies fiduciary obligations protecting client information, demonstrates reasonable security efforts during examinations, and provides incident response procedures required when breaches occur. Compliance documentation proves regulatory obligations are taken seriously.
Implements controls satisfying SEC and state requirements
Establishes incident response procedures for breaches
Maintains documentation demonstrating compliance efforts
Business Continuity Planning
Ensuring Operations Continue During Disruptions
Business continuity planning prepares wealth management firms to maintain operations during disasters, outages, or security incidents satisfying regulatory requirements. Sequentur implements backup systems protecting client data, establishes recovery procedures restoring operations quickly, creates redundancy preventing single points of failure, documents plans satisfying SEC requirements, and conducts testing validating procedures work properly.
Business continuity planning satisfies SEC requirements for registered investment advisors to maintain operations during disruptions ensuring clients can access accounts and advisors can execute trades. Plans ensure client data remains protected and recoverable, operations resume quickly following disasters, and regulatory obligations are satisfied through documented tested procedures.
Implements backup systems protecting critical client data
Establishes recovery procedures satisfying SEC requirements
Conducts testing validating business continuity plans
Why Wealth Management Firms Choose Us
Wealth management IT requires deep understanding of SEC and FINRA regulations, client data protection obligations, portfolio management systems, and advisory workflows distinguishing financial services from ordinary businesses. Our services deliver regulatory expertise ensuring technology satisfies compliance obligations while supporting effective advisory services.
01
Regulatory Knowledge
We understand SEC cybersecurity requirements, FINRA rules, Regulation S-P, custody requirements, and state regulations governing client data protection. Regulatory knowledge ensures we implement appropriate controls, maintain required documentation, and prepare firms for regulatory examinations satisfying examiners expectations.
02
Security Focus
We implement comprehensive security protecting client financial information, portfolio holdings, and personal data from unauthorized access and breaches. Security expertise includes encryption, access controls, monitoring, secure communications, and incident response procedures protecting sensitive information throughout its lifecycle.
03
Advisory Support
We support portfolio management, financial planning, CRM, and custodian integration systems that advisors depend on daily. Advisory support expertise ensures systems function reliably during market hours, integrate properly with custodians, and provide accurate data supporting investment decisions and client advice.
04
Compliance Documentation
We maintain documentation demonstrating reasonable security efforts, policy compliance, risk assessments, and incident response capabilities satisfying regulatory examination requirements. Documentation expertise ensures firms can demonstrate compliance during SEC or state examinations proving regulatory obligations receive appropriate attention.
Frequently Asked Questions (FAQs)
Get Started
Partner With an IT Services Expert
Sequentur provides IT services that are fast, secure, and fully aligned with your business goals. We don’t just solve problems, we prevent them, so you can move forward with confidence.
Call (800) 959-5731 today or fill out the form below to schedule your appointment.