Question 1

What does an MSP do for a financial advisor?

Accepted Answer

An MSP handles all of a financial advisor's technology, IT infrastructure, cybersecurity, compliance archiving, and productivity tools, so the advisor can focus on serving clients instead of managing systems. ARCH is built exclusively for RIAs and delivers all four layers as a single managed service.

Question 2

Do RIAs need compliance archiving?

Accepted Answer

Yes. The SEC requires registered investment advisors to retain business communications under Rule 204-2. This includes email, text messages, social media, and messaging platforms. ARCH includes compliance archiving as part of every managed technology engagement, configured to SEC requirements with retention policies and regulatory monitoring built in.

Question 3

What cybersecurity does an RIA need?

Accepted Answer

RIAs need layered cybersecurity including antivirus, email filtering, dark web monitoring, multi-factor authentication, encrypted backups, and security awareness training, deployed across every device and user account. ARCH manages all of these 24/7 as part of its managed technology service.

Question 4

What is a technology advisory for wealth management?

Accepted Answer

Technology advisory helps RIAs select, integrate, and optimize their tech stack, from CRM and financial planning tools to portfolio management and reporting. ARCH evaluates tools in an RIA context, handles procurement and deployment, and builds integrations and automations so your systems work together.

Question 5

Can an MSP help an RIA with AI tools?

Accepted Answer

Yes. ARCH evaluates AI tools like meeting summarizers, research assistants, and client communication platforms specifically for RIA compliance and workflow fit. Every AI tool goes through a regulatory review before deployment, and ARCH provides ongoing updates as the AI landscape evolves.

Question 6

How to add AI to my RIA?

Accepted Answer

Start by identifying the workflows where AI can save the most time, meeting notes, client communication drafts, and research are common starting points. ARCH evaluates AI tools specifically for RIA compliance and workflow fit, deploys them into your existing tech stack, and trains your team so adoption is practical, not theoretical.

Question 7

How to use AI in wealth management?

Accepted Answer

AI in wealth management can automate meeting summarization, draft client emails, accelerate investment research, and streamline compliance documentation. ARCH helps RIAs implement AI tools that integrate with their existing systems, CRM, financial planning, and portfolio management, while maintaining SEC compliance.

Question 8

How to automate wealth management?

Accepted Answer

Wealth management automation starts with mapping your firm's workflows, from prospect engagement to client onboarding to ongoing service. ARCH identifies manual steps that can be eliminated, designs automations across your CRM, custodian, and planning tools, and builds them so your team spends less time on process and more time with clients.

Question 9

What cybersecurity do I need for my RIA?

Accepted Answer

Your RIA needs endpoint protection, email security, multi-factor authentication on every account, encrypted backups, dark web monitoring, and ongoing security awareness training for your team. ARCH deploys and manages all of these layers across every device and user in your firm as part of a single managed service.

Question 10

Best IT for RIA?

Accepted Answer

The best IT for an RIA is purpose-built for the advisory industry, it understands SEC compliance requirements, integrates with wealth management platforms, and includes compliance archiving alongside standard IT infrastructure. ARCH delivers managed IT exclusively for RIAs with 24/7 support, cybersecurity, and every license included in one monthly bill.

Question 11

What are IT requirements for RIAs?

Accepted Answer

RIAs need secure, compliant technology infrastructure that meets SEC regulatory standards. This includes managed devices and networking, cybersecurity across all endpoints, compliance archiving for all business communications, encrypted backups, and productivity tools that keep teams connected. ARCH provides all of these as a fully managed service designed specifically for registered investment advisors.

Question 12

How do I choose the right tech stack for my RIA?

Accepted Answer

Start by mapping your firm's workflows across client engagement, financial planning, portfolio management, and reporting. Then evaluate tools based on integration capability, compliance compatibility, and total cost, not just features. ARCH advises RIAs through this entire process, scoring tools on fit, cost, and how they connect to your existing systems, so you make an informed decision instead of guessing.

Question 13

How do I keep my RIA compliant with SEC technology requirements?

Accepted Answer

SEC compliance requires proper archiving of all business communications (email, text, social media, messaging), cybersecurity safeguards, and documented policies. Your technology needs to support retention rules under Rule 204-2 and demonstrate adequate data protection. ARCH builds compliance archiving and cybersecurity into every engagement so your firm stays audit-ready.

Question 14

How do I switch IT providers for my RIA?

Accepted Answer

Switching IT providers starts with a full audit of your current systems, licenses, and contracts. A good provider will build a transition plan that works around your existing agreements so you never pay double or face penalties. ARCH handles the entire migration, devices, accounts, security, and archiving, with no disruption to your team.

Question 15

How do I protect client data at my RIA?

Accepted Answer

Protecting client data requires encryption at rest and in transit, multi-factor authentication on every account, endpoint protection on every device, secure backups, and access controls that limit who can see sensitive information. ARCH deploys all of these layers and monitors them 24/7 so your client data stays protected and your firm meets regulatory expectations.

Question 16

How do I set up technology for a new RIA?

Accepted Answer

A new RIA needs IT infrastructure (devices, networking, cloud storage), cybersecurity from day one, compliance archiving configured to SEC requirements, and productivity tools for email, phone, video, and collaboration. ARCH delivers all four layers as a single managed service, so you launch with enterprise-grade technology without needing an internal IT team.

Question 17

How do I integrate my CRM with the rest of my tech stack?

Accepted Answer

CRM integration connects your client data to financial planning, portfolio management, reporting, and communication tools, eliminating double entry and keeping one source of truth. ARCH builds integrations using native connectors where possible and custom API work where necessary, then monitors them ongoing so you know the moment a sync breaks.

Question 18

Do I need an internal IT person or an MSP for my RIA?

Accepted Answer

Most RIAs under 50 employees are better served by an MSP than a full-time IT hire. An MSP gives you an entire team, helpdesk, cybersecurity, compliance, and strategic advisory, for less than the cost of one internal employee. ARCH provides 24/7 support with a 90-second response time and a team that already understands RIA-specific technology and compliance needs.

Question 19

How do I onboard new employees at my RIA?

Accepted Answer

Employee onboarding should include device setup, account provisioning, security configuration (MFA, endpoint protection), compliance archiving enrollment, and access to all productivity and wealth management tools. ARCH handles the entire process, a new hire gets a fully configured device, all accounts, and security in place before their first day.

Question 20

What is the best way to manage a hybrid or remote RIA?

Accepted Answer

Managing a hybrid or remote RIA requires cloud-native infrastructure, secure remote access, unified communication tools (video, phone, messaging), and cybersecurity that covers every device regardless of location. ARCH is built for any workplace model, in-office, hybrid, or fully remote, with a platform that keeps your team connected to each other and to your clients.

24/7/365 Helpdesk	Tech support via phone, email, ticket, and chat with a 90-second response time or acknowledgment, around the clock, every day of the year.
Software Management	Installation, updates, licensing, and patch management across all workstations and cloud services, your software stays current without your team lifting a finger.
Device Management	Remote enrollment, configuration, and management of every firm device, lost or stolen hardware wiped instantly before client data is at risk.
Network Protection	Firewall configuration, network monitoring, and perimeter protection with real-time anomaly alerts, threats stopped before they reach your systems.
Uptime Monitoring	Continuous monitoring of your website, client portal, and critical SaaS platforms, if something goes down, we know and act before your clients notice.
Domain & DNS	Domain registration, custom domain management, and email authentication to prevent impersonation, a common attack targeting advisory firms.
Hardware Procurement	Sourcing, configuration, and deployment of all firm hardware with full asset tracking from purchase to retirement, one call, done.

Malware Protection & Antivirus	Detection and response across every firm device, threats detected, contained, and remediated in real time.
Dark Web Monitoring	Continuous scanning for compromised firm credentials on the dark web, immediate alerts and guided remediation before damage is done.
Backup & Recovery	Automated encrypted backups with daily, weekly, and monthly retention, full restoration when you need it, not eventually.
Email Security	Advanced email filtering and phishing protection, threats blocked before they reach your team.
MFA & SSO	Multi-factor authentication and single sign-on enforced across all firm systems, one secure credential set, provisioned in minutes for new hires.
Secure Browsing	Malicious websites and risky domains blocked at the network level, an invisible layer of protection your team never has to think about.

Email Archiving	All firm email archived via Smarsh or Global Relay per SEC Rule 204-2, searchable, audit-ready, and retained for the required 7-year minimum.
Social & Mobile Archiving	SMS, WhatsApp, LinkedIn, and every other client communication channel captured and archived automatically, wherever the conversation happens.
Security Training	Ongoing phishing simulations and security awareness training for all staff, reduces human error and documents your program for examiners.
Data Retention	Retention schedules configured and enforced to meet SEC and state requirements, records kept exactly as long as required, then purged automatically.
Incident Response	Documented, tested procedures for security incidents and data breaches, maintained to satisfy SEC Regulation S-P.
Regulatory Monitoring	Continuous monitoring of SEC, FINRA, and state regulatory changes, translated into actionable configuration updates so your firm stays ahead.

Email	Microsoft 365 or Google Workspace, fully configured with security policies, spam filtering, and compliant archiving so your team is productive from day one.
Productivity Suite	The full Microsoft 365 or Google Workspace suite, licensed, deployed, and always up to date with optional ShareFile integration. Nothing for your team to install or manage.
File Storage	Encrypted, permission-controlled cloud storage via SharePoint or Google Drive, the right people access the right files, every time.
Video Conferencing	Microsoft Teams, Zoom, or Google Meet configured for client and internal meetings with compliant recording where required.
VoIP, Text & Internal Messaging	Zoom Phone, Teams Phone, RingCentral, or Google Voice for business calls and texts, plus Teams, Google Chat, or Slack for internal collaboration, all with compliant archiving built in.

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Cybersecurity for RIAs

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