Managed IT for RIAs, Wealth Managers, and Financial Advisory Firms

Managed IT and Cybersecurity Built for Regulated Financial Operations

Secure operations. Clear ownership. Evidence when you need it.

Entice manages the systems, security controls, recovery processes, vendors, and technical documentation behind your firm. Your team receives responsive support and dependable cloud operations, while leadership gains a clearer view of risk, responsibility, and the next priority.

Start a Financial IT Readiness Review

View the Financial Advisory Case Study

Colorado-based since 2001 · Senior-led support · Cloud-first delivery · 24/7 monitoring options

Advisory firm team working together in a professional office environment

Technology Support Designed Around the Way Advisory Firms Operate

Financial advisory firms depend on secure access to client information, cloud applications, communications platforms, custodial systems, and distributed employees. Entice standardizes and supports that environment without treating every firm as a generic small business.

RIAs and Wealth Managers

Secure Microsoft 365, advisor workstations, client information, remote access, and the third-party platforms your team relies on every day.

Hybrid Advisory Firms

Coordinate IT, security, continuity, and technical evidence across advisory operations and broker-dealer relationships.

Distributed and Growing Firms

Standardize users, devices, applications, access, and support across remote employees, branch offices, acquisitions, and advisor transitions.

Generic IT Support Closes Tickets. Regulated Firms Need Controls That Operate Every Day.

Written policies alone do not configure multifactor authentication, remove former employees, investigate suspicious sign-ins, test a restore, document vendor dependencies, or preserve technical evidence after an incident. Entice connects the written program to the real environment: your people, identities, devices, Microsoft 365 tenant, applications, vendors, data, backups, and recovery procedures.

Govern and Scope

Inventory users, devices, applications, data, vendors, locations, and critical workflows. Establish ownership and identify material risks.

Secure and Standardize

Harden Microsoft 365, identities, endpoints, administrative access, email, remote access, patching, and backups.

Monitor and Respond

Monitor identity and endpoint activity, investigate alerts, escalate incidents, coordinate containment, and maintain technical records.

Continue and Recover

Document critical systems, monitor backups, test restores, address vendor dependencies, and support continuity exercises.

Prove and Improve

What the client receives

An organized evidence library, quarterly executive reporting, control-status visibility, and technical support during assessments or information requests.

Specific deliverables depend on the agreed service scope and the client’s regulatory and operational requirements.

Technology Controls That Support the Obligations Applicable to Your Firm

Entice works alongside your CCO, leadership team, legal counsel, compliance consultant, and independent assessors. We implement and operate agreed technology controls, maintain supporting documentation, remediate technical gaps, and respond to technical information requests.

Regulation S-P Operational Support

Support for customer-information safeguards, incident-response procedures, service-provider oversight, technical recordkeeping, access controls, and incident analysis.

Business Continuity Support

Backup and recovery processes, critical-system documentation, alternate communications, vendor dependencies, restore testing, and continuity exercises.

Cybersecurity and Vendor-Risk Operations

Identity protection, endpoint security, Microsoft 365 controls, monitoring, access reviews, third-party inventories, incident escalation, and technical due-diligence support.

Entice provides technology implementation, operational support, documentation, and readiness assistance. Entice does not provide legal advice, determine a firm’s regulatory obligations, issue independent audit opinions, or guarantee a regulatory, compliance, or assessment outcome.

More Than Helpdesk Support

Entice gives leadership tangible operating records and clearer ownership, not simply a monthly ticket report.

Current-state technology and risk baseline

User, device, application, and vendor inventory

Shared-responsibility matrix

Prioritized remediation roadmap

Documented security configuration baseline

Incident-response and escalation runbook

Business continuity and recovery documentation

Access-review records

Backup and restore-test records

Organized technical evidence library

Quarterly executive technology and risk report

Technical support for assessments, cyber-insurance reviews, and vendor questionnaires

Deliverables are determined by engagement scope.

Start a Financial IT Readiness Review

A Structured Transition From Your Current Environment or MSP

Step 1

Scope

Identify the firm’s registration model, locations, employees, systems, vendors, client-data locations, critical applications, current providers, and escalation contacts.

Step 2

Stabilize

Remove obsolete access, verify privileged accounts, establish monitoring, confirm backup visibility, document immediate risks, and secure critical administrative pathways.

Step 3

Harden and Document

Implement the agreed control baseline, standardize the environment, assign owners, document procedures, and organize supporting evidence.

Step 4

Test and Operate

Test recovery processes, validate escalation procedures, review access, establish the reporting cadence, and begin ongoing managed operations.

The process is designed to reduce transition risk while preserving business continuity and visibility for firm leadership.

Controls Require Recurring Operation

Continuous

Helpdesk support, identity and endpoint monitoring, security alerting, backup monitoring, and critical-system oversight.

Weekly

Patch, vulnerability, backup, and security-alert exception review.

Monthly

Administrative-account review, asset changes, incident metrics, service reporting, and control-exception tracking.

Quarterly and Annually

Access reviews, risk-register updates, roadmap planning, recovery testing, incident-response exercises, continuity reviews, vendor reassessments, and policy-support activities based on scope.

Staffed 24/7 monitoring options and after-hours coverage are defined by the applicable service plan.

Financial Advisory Case Study

Closed the Office. Strengthened Control. Kept Working.

A financial advisory firm needed greater mobility without weakening its security and compliance posture. Entice helped move the organization from on-premises infrastructure to a cloud-first operating model, implemented secure collaboration and communications, migrated critical applications, strengthened endpoint protection, and secured remote access.

The result was a fully remote operating environment with greater flexibility, reduced dependence on physical infrastructure, and stronger technical controls.

Read the Financial Advisory Case Study

Verified outcomes

Fully remote operations

Physical office closure enabled

Secure remote access

Endpoint monitoring and EDR

Encrypted communications

Reduced dependence on on-premises infrastructure

Clear Responsibility Is Part of the Control Environment

Entice Can Own

Implementation and operation of agreed IT controls

Monitoring, maintenance, and technical remediation

Documentation and evidence for assigned controls

Incident triage and technical investigation

Technical control-status reporting

Coordination with counsel, consultants, and assessors

The Financial Firm Retains

Determining applicable legal and regulatory obligations

Approving policies and risk decisions

Supervising employees and business processes

Making customer and regulatory notification decisions

Providing executive attestations and certifications

Engaging legal counsel and independent auditors

Responsibilities should be documented during onboarding and revisited as the firm, technology environment, and service scope change.

Frequently Asked Questions

Know What Applies. Know What Is Missing. Know Who Owns the Next Step.

Bring your COO, CCO, managing partner, or current IT lead. In a Financial IT Readiness Review, we will discuss your environment, critical vendors, current support model, continuity concerns, and highest-priority technology risks. The goal is to establish clearer responsibility boundaries and practical next steps.