IT Services for RIAs | Ace Tech Systems LLC

One Exam Finding Can Follow Your Firm For Years...

An SEC exam deficiency does not disappear once it gets fixed. It becomes part of your firm’s regulatory history, something you may need to disclose, and something a prospective client’s due diligence could easily turn up during the exact conversation where they are deciding whether to trust you with their assets.

We track your Safeguards Rule compliance continuously, secure the client portals and communication channels where account data actually moves, and keep documentation ready for an exam instead of assembling it the week one gets scheduled.

What Our Advisory Firm IT Services Do For You

Secure the client portal where account data actually lives day to day.
Retain books and records for exactly as long as the SEC requires.
Encrypt every client statement, tax document, and account file.
Verify custodian integrations stay secure as platforms get updated.
Prepare documentation an SEC examiner will actually ask to see.

Amazing job! 10/10 would recommend! Very responsive and professional! Helped resolve all my issues very quickly and efficiently!

LEIDY LOPEZ

Florida

Our company needed a reliable and professional IT service provider, and Ace Tech Systems exceeded all our expectations. Their team helped us with IT security, network maintenance, and set up a HIPAA-compliant data backup system that protects all our sensitive patient information. We recommend Ace Tech Systems to any clinic, medical office, or healthcare facility looking for a reliable IT service provider in Florida. They're the best!

LIUDY ACEVEDO

Healthcare facility - Florida

I highly recommend Ace Tech Systems. Daniel is very knowledgeable and explains in a way one can understand. He saved me money and my network is working without any problems. Hard to find people who care, if I have any problems I will be using your services once again.

LEO AGUILAR

Florida

How We Protect Client Account Data

Client trust in an advisory firm rests on the assumption that their account data stays private and their assets stay safe. We build our work around protecting exactly that, in a way that also satisfies what the SEC expects to see.

Safeguards Rule Tracking

We track your Safeguards Rule compliance continuously through Cynomi vCISO, flagging a gap the week it appears instead of the week before an exam, with no time to fix it.

Secure Client Portals

Your client portal is secured with strong authentication and monitored access, so pages showing account balances and personal information get the same attention as internal systems.

Secure Custodian Links

We verify that connections between your systems and custodian platforms stay secure through every update, so an integration built years ago never becomes the weakest point in your environment.

Books And Records Retention

Required books and records get retained for as long as the SEC actually mandates, organized so producing them during an exam is a quick task, not a stressful last-minute search.

SEC Safeguards Rule Compliance

Meeting The Standard Your Custodian Already Expects

The Safeguards Rule is not satisfied by a policy document sitting in a drawer. It shows up in whether your client portal actually requires strong authentication, whether the data feed from your custodian is encrypted end to end, and whether an examiner reviewing your systems finds the same protections your written policy claims to describe. We keep the technical reality and the paperwork matching each other.

An examiner does not just read your policy, they test whether your systems actually do what the policy claims. We keep those two things aligned continuously, whether you manage twenty client accounts or two thousand, so a review of your systems and a review of your paperwork tell the same story.

We require strong authentication on every client-facing login and portal.
Custodian data feeds stay encrypted from their system into yours.
Your written policy gets tested against what your systems actually do.

Client Portal & Communication Security

Protecting The Login Clients Trust With Their Money

Your client portal is the one part of your practice a client interacts with directly and unsupervised, checking a balance at eleven at night from their phone. We configure multi-factor authentication, session timeouts, and active monitoring on that portal and on the email and messaging systems your advisers use with clients every day, so the channel clients trust most is also the one held to the highest standard.

A client’s relationship with your firm often runs almost entirely through a screen, so that screen needs to earn the same trust a handshake used to. We secure every point where a client actually interacts with their account information, not just the systems your staff sees internally.

We require multi-factor authentication on every single client portal login.
Session timeouts log clients out automatically when they step away.
Adviser email and messaging get monitored the same way portals do.

Books & Records Retention

Keeping Every Required Record Ready For An Exam

SEC record-keeping rules require retaining specific categories of communications, transaction records, and advisory documents for defined periods, in a format that can actually be searched and produced quickly, not just stored somewhere. We set up retention policies that match those requirements automatically, so nothing gets deleted too early and nothing important gets buried in years of accumulated files nobody has organized.

A records request during an exam is not the moment to discover your retention policy has gaps or your archive is not actually searchable. We build that system before you need it, so producing years of client correspondence or transaction records becomes a quick export instead of a manual search through old email accounts.

We retain client communications for exactly the period the SEC requires.
Every record stays searchable, not just stored somewhere on a drive.
Your archive gets organized so an export takes minutes, not days.

Why Advisory Firms Work With Us

Advisory firms work with us because protecting client account data is not a side effect of good IT, it is the entire point, and every service we deliver gets measured against that standard first, before anything else on the list.

ADV-Ready Documents

The cybersecurity practices your Form ADV disclosures describe need to match what your systems actually do, and we help keep that description accurate, since a mismatch discovered during an exam raises more questions than it answers.

Our Founder Saw This Gap

Daniel Aguilar started this company after watching advisory firms get audited by regulators who expected real technical safeguards, while their IT support had never read a single word of the rule they were meant to satisfy.

We Know Your Custodian

We already understand how most custodian platforms typically integrate with advisory software, so setting up or securing that connection does not start with a learning curve at your firm’s own expense and on your firm’s timeline.

Exam-Ready, Not Scared

An exam notice does not trigger a scramble here, because your Safeguards Rule compliance and your documentation are already current on the actual day the letter finally arrives, not assembled hastily in response to a deadline.

FAQs About Our IT Services for Financial Advisers & RIAs

Will This Brand New Integration Actually Work With Our Existing Custodian Platform?

Yes. We work with whatever custodian platform your firm already uses, connecting to it securely rather than asking you to switch platforms to fit our process.

How Do You Actually Handle An Actual SEC Examination Request For Records?

We pull the specific records requested from your retention system, verify they cover the exact period asked for, and hand them over in the format your examiner requires, without a scramble through old email accounts.

Can Our Clients Actually Access Their Portal Securely From A Personal Phone?

Yes, and it should be. Multi-factor authentication and encryption protect that connection whether a client checks their balance from an office computer or a personal phone.

Do You Actually Help Us Prepare For A Surprise SEC Exam Today?

Yes. Because your Safeguards Rule compliance and documentation stay current continuously, preparing for a surprise exam mostly means confirming nothing has changed, not building a program from scratch under a deadline.

IT Services for Financial Advisers & RIAs