IT for the firm examiners will visit.
NSN Management is the Tulsa IT and compliance partner for registered investment advisors, broker-dealers, and wealth-management firms. We deliver SEC Regulation S-P compliance, FTC Safeguards readiness, custodian-integrated operations, and examiner-ready documentation for firms with 5–100 users since 2012.
Three pressures unique to financial advisors.
Generic MSPs don't know what a 17a-4 archive is, what your custodian does at 5 a.m., or what an SEC exam letter looks like.
A regulator on every desk
SEC. FINRA. State securities boards. FTC. Each one expects different documentation — and an examination cycle that arrives without warning. Your IT has to produce evidence on demand.
Custodian integration is non-negotiable
Your operations run on data feeds from Fidelity, Schwab, Pershing. When the integration breaks, your portfolio software lies — and your client meetings tomorrow are running on bad numbers.
Communication, supervised and archived
Every email, every chat, every text with a client may need to be supervised and retained for six years. The penalties for "off-channel communications" alone topped $549 million across the industry in 2023.
Specifics for financial advisors.
Not a generic 'managed IT' brochure. Capabilities written for what your firm actually does each day.
Custodian integration support
Fidelity, Schwab, Pershing, Raymond James, LPL. Connectivity, SSO, IP allow-listing, MFA, and the security questionnaires custodians send.
Practice software expertise
Redtail, Wealthbox, Salesforce FSC, eMoney, MoneyGuidePro, RightCapital, Orion, Tamarac, Black Diamond, Albridge, Morningstar.
SEC Reg S-P incident response
Written incident response program. 30-day customer notification workflow. Recordkeeping. Service-provider oversight. Built to the amended rule.
Email & chat archiving
Smarsh, Global Relay, or Microsoft Purview. Supervisory review workflows. SEC Rule 17a-4 and FINRA Rule 4511 compliant.
Compliance documentation
Policies, procedures, evidence library, and the cybersecurity sections of your Form ADV. Examiner-ready when the SEC or FINRA arrives.
Quarterly business reviews
Your vCIO meets with leadership every quarter — risk register, roadmap, budget. No surprise IT line items at year-end.
SEC Reg S-P. FTC Safeguards. One program.
The SEC's amended Regulation S-P took effect with phased deadlines through 2026. The FTC Safeguards Rule has been live since June 2023. The two frameworks overlap, and we architect one program that satisfies whichever regulator covers your firm.
Four core obligations.
- Written incident response program
- 30-day customer notification on incidents affecting their data
- Recordkeeping for incidents and notifications
- Oversight of service providers handling customer info
- Annual review of the program
Six years. Non-erasable. Supervised.
Every business communication — email, chat, text, social — must be retained in a non-rewritable, non-erasable format, generally for six years. The first two years must be immediately accessible. Supervisory review workflows are expected.
We deploy and manage Smarsh, Global Relay, or Microsoft Purview — with the supervisory queues, lexicons, and audit-trail your CCO needs. Off-channel communications enforcement penalties exceeded $549M industry-wide in 2023; this is not the cost center to ignore.
Answers for advisory firm leaders.
Does the SEC's amended Regulation S-P apply to my firm?
Yes for any SEC-registered investment adviser, broker-dealer, transfer agent, or investment company. The SEC's amendments to Regulation S-P (adopted May 16, 2024) require a written incident response program, customer notification within 30 days of an incident affecting their data, recordkeeping, and oversight of service providers. Larger firms had to comply by December 3, 2025; smaller firms by June 3, 2026. NSN delivers the incident response program, the notification workflow, the recordkeeping, and the vendor management.
Do I also need an FTC Safeguards WISP?
If your firm operates under the FTC's jurisdiction (most state-registered advisors and many hybrid firms), yes — the amended FTC Safeguards Rule (effective June 9, 2023) requires a Written Information Security Program, a designated Qualified Individual, annual risk assessments, and a board-level report. For SEC-registered firms, SEC Reg S-P generally takes precedence, but the two frameworks overlap substantially. We architect one program that satisfies whichever regulator covers you.
Do you integrate with our custodian — Fidelity, Schwab, TD/Pershing?
Yes. We handle the connectivity, single sign-on, and data-feed integrations between your firm's environment and the major custodians — Fidelity Institutional, Charles Schwab Advisor Services (including the post-TD-merger environment), Pershing, Raymond James, and LPL. We also support custodian-side requirements like IP allow-listing, MFA, and the security questionnaires custodians send annually.
Do you support our planning and portfolio software?
Yes. The platforms used by Tulsa-area advisory firms — Redtail CRM, Wealthbox, Salesforce Financial Services Cloud; eMoney, MoneyGuidePro, RightCapital, NaviPlan for planning; Orion, Tamarac, Black Diamond, Albridge, Morningstar Office for portfolio management; Riskalyze and Andes Wealth for risk; DocuSign and Box for client documents. Vendor escalations, integrations, and upgrades without learning curves.
How do you handle SEC Rule 17a-4 record retention and email archiving?
SEC Rule 17a-4 (and the related FINRA Rule 4511 for broker-dealers) requires retention of business communications — including email and increasingly chat — in a non-rewritable, non-erasable format, generally for six years. NSN deploys and manages compliant archiving on Smarsh, Global Relay, or Microsoft Purview, with the supervisory review workflows your CCO needs.
What about FINRA's cybersecurity requirements for broker-dealers?
FINRA Rule 4370 (Business Continuity Plan), the 2018 Cybersecurity Report Card, and the 2024 Cybersecurity Advisory each impose expectations on member firms. We align cybersecurity programs to FINRA's published expectations — incident response, vendor management, branch office reviews, and the supervisory controls FINRA examiners look for during a cycle exam.
Examiner-ready, custodian-integrated.
A 15-minute discovery call to map your custodian footprint, your archiving stack, and whether we're the right fit.