Examination-ready recordkeeping
SEC and FINRA rules require communications and records to be retained, searchable, and protected for defined periods.
Financial Advisory IT
IT Built for the Trust Your Clients Place in You
Registered investment advisors and wealth management practices rely on ECS to protect client portfolios, support regulatory recordkeeping, and keep systems available when markets move.
Spend Time on What Matters.
Why Financial Advisory Firms organizations in the Omaha metro choose ECS
- 20+Years supporting Omaha-area businesses
- 300+Small and mid-sized businesses supported
- 4.9★Google rating, 200+ reviews
- 5 yearsBest of B2B — IT Services, B2B Omaha Magazine
Best of B2B (IT Services), from B2B Omaha Magazine, and Best of Omaha (Computer Repair), from Omaha Magazine, are community-voted awards won 5 consecutive years, 2022–2026. See our awards and story
We Know This World
In advisory practices, an outage costs more than time.
When markets move, clients call — and a system that will not load at that moment is not just an inconvenience, it is a trust problem. Add SEC and FINRA recordkeeping obligations, and the margin for a "we'll get to it" IT posture disappears.
ECS supports RIAs, wealth managers, and financial planning practices across the Omaha metro and Nebraska, with the security and documentation this sector is examined on.
Advisory IT Challenges
What makes advisory IT genuinely harder
A deliberate fraud target
Client portfolios and wire authority make advisory firms a preferred target for impersonation and account-takeover attempts.
Availability during volatility
The moments clients need you most are exactly when systems are under the most load.
Confidential portfolio data
Client financial detail carries an obligation that goes beyond generic data protection.
Could you produce every required record today?
For most advisory practices the honest answer takes too long to arrive at — that delay is the finding.
What ECS Does
IT built for regulated advisory practices
Layered security controls
MFA, endpoint protection, encryption, and continuous monitoring across client-facing and back-office systems.
Impersonation and wire-fraud defense
Email filtering tuned to account-takeover and client-impersonation attempts.
SEC/FINRA-aware documentation
Evidence of controls and recordkeeping practices, current rather than reconstructed for an exam.
Retention-aligned backup and archive
Communications and records kept exactly as long as the rule requires.
Access control and offboarding
Reviewed access, removed promptly when someone leaves the firm.
Staff security training
Training aimed at the people fielding the fraudulent transfer request.
What Changes
Business outcomes
Shorter, calmer exams
Evidence exists before an examiner asks for it.
Reduced fraud exposure
The most common impersonation and takeover paths closed.
Reliable access when it matters
Systems that hold up when clients are calling.
Client confidence you can demonstrate
A clear, specific answer when a client asks how their data is protected.
Ready When You Are
Let’s review the controls protecting your clients’ portfolios.
An honest read on what is genuinely covered, and what only looks covered.
Spend Time on What Matters.
Financial Advisory IT Review
See what an examiner would see.
A review gives you a written picture of your security controls, recordkeeping practices, and the gaps most likely to surface during an examination.
Spend Time on What Matters.
Evidence-focused
We look at what you can prove, not just what is installed.
A plan, not a sales pitch
Honest recommendations mapped to your firm and budget.
Real people, fast
Talk to a team in Omaha that actually picks up.
Request a financial advisory IT review
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