IT that keeps your financial firm secure, compliant & exam-ready
Smartweb keeps the systems RIAs, wealth managers, broker-dealers, and advisors run on — CRM, portfolio and planning software, custodial connections, email archiving, and the client data behind them — secure, available, and aligned with NYDFS Part 500, SEC, and FINRA requirements. Premium IT support and compliance, one predictable monthly bill, for less than the big national providers charge.
In financial services, technology and compliance are now the same conversation
A modern advisory or brokerage firm runs on an interconnected stack: CRM, portfolio management and reporting, financial planning software, custodial and trading connections, and an archived email system — all holding exactly the kind of client and account data that regulators and attackers care about most. When any piece is slow, down, or exposed, both your service and your compliance posture suffer.
And the rules keep tightening. The NYDFS Cybersecurity Regulation (23 NYCRR Part 500) now requires multi-factor authentication for every user accessing any system, plus asset inventories and incident reporting, while the SEC and FINRA expect written cybersecurity programs, books-and-records retention, and a tested business continuity plan. Exams and cyber-insurance applications dig into all of it.
Smartweb works with registered investment advisors, wealth managers, broker-dealers, fund managers, and insurance and financial advisory firms to keep the whole environment secure, compliant, and monitored under the model the rest of our business is built on: one plan, one source, one monthly bill — and meaningfully less than the national IT firms charge for the same work.
The IT problems financial firms keep running into
These are the issues we're called in to fix most often across RIAs, advisors, and broker-dealers. Each one has a direct line to a failed exam, a breach, or lost client trust.
NYDFS Part 500, SEC, and FINRA cyber rules
New York's Part 500 now mandates MFA for every user and every system, plus asset inventories and incident reporting — and the SEC and FINRA expect a written cybersecurity program. Falling short risks fines, enforcement, and a finding on your next exam.
Ransomware and theft of client financial data
Few targets are richer than a firm holding account numbers, identities, and wealth data. Credential theft and ransomware can expose clients, trigger mandatory disclosure, and inflict reputational damage that's far harder to recover from than the data itself.
Email archiving and books-and-records rules
SEC and FINRA require retained, tamper-proof records of business communications — including email, text, and increasingly chat. A gap in archiving or retention is one of the most common, and most expensive, exam findings firms face.
Integrations between CRM, portfolio, and custodians
Your CRM, portfolio reporting, planning tools, and custodial feeds have to stay in sync. When integrations break or data doesn't reconcile, advisors lose time, reports go out wrong, and confidence in the numbers erodes across the firm.
Secure remote access for advisors on the move
Advisors work from home, client sites, and the road, often on personal devices. Without managed, encrypted access and clear policies, every off-network login is a potential compliance gap — and exactly what a Part 500 examiner will ask about.
Third-party and vendor due-diligence pressure
Custodians, partners, and institutional clients increasingly demand security questionnaires and vendor reviews — and Part 500 holds you responsible for your providers' controls. Answering credibly requires a documented program most small firms simply don't have.
A complete IT department, tuned for financial services
We map our core services directly onto how your firm runs — client service, data, and regulatory obligations — so technology supports the business and satisfies the examiner.
Managed IT & help desk
24/7 monitoring and a responsive help desk that keep workstations, servers, and applications fast and online — so a technical issue never interrupts a client meeting or a trade.
Explore Managed ITCybersecurity & regulatory compliance
Layered defenses, managed detection & response, universal MFA, and a documented program built to satisfy NYDFS Part 500, SEC, FINRA, and GLBA — and to pass an exam or insurer review.
Explore CybersecurityCloud & secure remote access
Move to secure cloud and virtual desktops so advisors work safely from anywhere — with encrypted access, device controls, and the audit trail your compliance program requires.
Explore Cloud SolutionsBackup & business continuity
Immutable, ransomware-proof backups and a tested business continuity plan — the kind FINRA expects — so a cyber-attack or outage never stops you from serving clients or meeting obligations.
Explore Disaster RecoveryEmail archiving & Microsoft 365
Compliant email archiving and retention with platforms like Smarsh and Global Relay, plus hardened, backed-up Microsoft 365 — so your books-and-records obligations are met and searchable on demand.
Explore Managed ITVirtual CIO & compliance roadmap
Executive IT strategy, vendor due diligence, and a clear NYDFS/SEC/FINRA roadmap — so you walk into exams prepared and your technology scales with assets under management.
Explore Virtual CIONYDFS Part 500 & SEC/FINRA compliance, handled
We implement and document the controls regulators now require — universal MFA, asset inventory, access management, monitoring, incident response, and a tested continuity plan — and map them to NYDFS Part 500, SEC, and FINRA so your annual certification, exam, and cyber-insurance application are something you're ready for, not afraid of.
What the right IT partner does for your firm
In a regulated, trust-based business, secure and compliant technology isn't overhead — it's what protects your registration, your clients, and the reputation your firm is built on.
Walk into exams prepared
A documented, mapped cybersecurity program means NYDFS certifications, SEC and FINRA exams, and cyber-insurance applications become a quick exercise instead of a fire drill that pulls your team off client work.
Premium support, lower total cost
Get senior-engineer service and enterprise-grade security tooling for less than the big national IT firms charge — one consolidated bill replaces a stack of vendors, surprise project fees, and an in-house hire you don't need.
Protect client wealth and data
Layered security keeps account data and identities out of attackers' hands — avoiding the breach disclosures, client attrition, and headlines that do lasting damage to an advisory firm's standing.
Win institutional and custodian trust
A strong, documented security posture lets you sail through custodian reviews and institutional due-diligence questionnaires — turning IT from a blocker into a reason larger clients are comfortable working with you.
Enterprise-grade IT for financial firms — without the enterprise price tag
New York is the center of the financial world. From advisory and brokerage offices in Manhattan's financial district to wealth managers and family offices across Nassau and Suffolk County, Smartweb supports the firms that manage our clients' futures — resolving most issues remotely the same day and dispatching engineers on-site when hands-on work is needed.
We're a long-established technology firm that understands regulated environments, not a faceless national call center. You get a documented program, a team that knows how CRM, portfolio reporting, custodial feeds, archiving, and Part 500 fit together, and senior engineers who answer the phone — at a price that runs well below the big providers, because you pay for one accountable partner instead of layers of overhead. We dispatch engineers on-site nationwide, and our Virtual CIO and disaster-recovery services are available across the US for firms with operations beyond the New York metro.
24/7
Monitoring & support
Same-day
Remote resolution
1 bill
Everything consolidated
We speak the language of your software stack
We manage the infrastructure, security, and connectivity beneath the platforms your firm runs on — and coordinate with your software vendors so support never falls into the gap between them.
CRM & client management
Redtail, Wealthbox, and Salesforce Financial Services Cloud — kept secured, integrated, backed up, and available to advisors wherever they work.
Portfolio & reporting
Orion, Black Diamond, Tamarac, and Addepar — with the performance, data integrity, and reliable connections your reporting depends on.
Financial planning
eMoney, MoneyGuidePro, and RightCapital — supported with the access, single sign-on, and data protection client planning requires.
Custodial & trading
Reliable, secure connectivity to custodians and platforms such as Schwab, Fidelity Institutional, and Pershing — plus the trading and rebalancing tools that sit on top.
Compliance & archiving
Email and communications archiving with Smarsh and Global Relay, retained to SEC and FINRA standards and searchable when an exam or request arrives.
Microsoft 365 & secure email
Outlook, Teams, SharePoint, and OneDrive — hardened, backed up, and protected with advanced anti-phishing and MFA across every account.
Running something not listed here? We almost certainly support it — ask us.
Financial services IT — FAQ
Do you support our CRM, portfolio, and custodial systems?
Yes. We manage the infrastructure, security, connectivity, and backups that Redtail, Wealthbox, Orion, Black Diamond, Tamarac, Addepar, eMoney, and your custodial connections rely on, and we coordinate directly with your software vendors when an application-level issue comes up — so one team is accountable for keeping your whole stack online and in sync.
Can you help us comply with NYDFS Part 500 and SEC/FINRA cyber rules?
Yes — it's one of the main reasons firms come to us. We implement and document the controls these regulations require: universal multi-factor authentication, asset inventory, access management, encryption, monitoring, incident response, and a tested continuity plan. We map those controls to NYDFS Part 500, SEC, and FINRA so your annual certification, exams, and cyber-insurance applications are straightforward to complete.
How do you handle email archiving and books-and-records?
We deploy and manage compliant archiving with platforms such as Smarsh and Global Relay, capturing and retaining business communications in tamper-proof form to SEC and FINRA standards, and keeping them searchable so you can respond quickly to an exam or production request. We also harden and back up Microsoft 365 so nothing important slips through the cracks.
How can you offer premium IT support for less than the national providers?
Because you're not paying for their overhead. With Smartweb you get senior engineers, enterprise-grade security and monitoring tools, and one consolidated monthly bill — instead of a national firm's tiered call centers, per-ticket upcharges, and surprise project fees. Most financial-services clients we take on were overpaying a large provider for slower, less personal service; we deliver the same enterprise-grade coverage at a noticeably lower total cost.
Why are financial firms such frequent targets for attackers?
Because you hold concentrated, high-value data — account numbers, identities, and wealth information — and clients expect immediate, confidential service, which raises the pressure to resolve any incident fast. Layered security, universal MFA, monitoring, and immutable backups dramatically reduce both the odds of a successful attack and the damage and disclosure obligations if one is attempted.
Do you provide on-site support across New York City, New Jersey, and Long Island?
We do. Most issues are resolved remotely the same day through our help desk, and we dispatch engineers on-site across New York City, New Jersey, and Long Island — including Nassau and Suffolk County — whenever hands-on work is needed at your office. On-site support is also available nationwide, alongside our Virtual CIO and disaster-recovery services, for firms with locations beyond the New York metro.
Let's get your firm secure and exam-ready
Book a free, no-obligation assessment. We'll review your systems, security, and NYDFS/SEC/FINRA posture, and show you exactly where the risks and quick wins are — no jargon, no pressure.