Compliance and IT Solutions for RIAs
Your Firm Needs Solutions That Protect and Grow Wealth
After years of serving RIAs, we've come to understand a few problems that once solved, make a HUGE difference in the operation of your firm.​
Portfolio management is demanding, which means that:
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Your systems need to be available and fast when markets are moving
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Your client data needs to be secure and accessible
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When you need help, you can't wait - especially during client meetings or market volatility
You are responsible for sensitive client information everyday, which means that:
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You need systems and procedures that make SEC and FINRA compliance simple
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Your cybersecurity needs to protect client data and meet regulatory requirements
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You need documented policies and procedures that satisfy regulators
Your technology infrastructure is complex, which means:
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You need reliable integration between portfolio management, CRM, and reporting software
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You have to maintain secure client portals and communication systems
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You need to stay current with evolving regulatory technology requirements
Your Clients Deserve Your Best
The truth is:
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Having a broker/dealer does not make you compliant
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If your systems aren't integrated and optimized for wealth management, you're wasting time and risking errors
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If you have problems that aren't getting fixed or you are performing manual repetitive tasks, you're losing potential AUM
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If you aren't being intentional about your IT management and compliance, you're exposing your firm to serious risks and limiting your growth potential.
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Consider this: How much AUM could you add if your team wasn't dealing with technology issues? How many more clients could you serve with optimized and integrated systems?
Let's Work Together
Thats why we take a different approach.
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Instead of reacting to problems, we proactively manage your compliance and technology. This means:​
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No more worrying about compliance
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We work closely to manage SEC and FINRA compliance
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Regular audit preparation and documentation
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Cybersecurity program implementation and maintenance
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​Specialized Helpdesk That Actually Helps​
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US-based team familiar with portfolio management software and common CRMs
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Experts in wealth management technology so we can help you integrate your systems
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Access to our US based helpdesk that specializes in helping RIAs like you
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No More Wasted Time or Money
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Fixed monthly cost for complete coverage​
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Battle tested plans, implemented for you
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Problems prevented before they impact work
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Your team stays focused on growing your AUM
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Let us show you how BetterIT can transform your firm.