8 min read
You Didn't Choose This Tech Stack. It Chose Itself
Nobody designs a sprawling tech stack. It just accumulates. Here's what that's costing you and what getting back in...
California, Oregon, & Washington
Managed IT and Cybersecurity for Financial Services Firms
Financial data doesn't just need to be secure. It needs to be secure in a way you can prove, to regulators, to clients, and to yourself. Reactive IT isn't a viable posture in this regulatory environment.
California: 408-533-8890 | Oregon: 503-766-5985 |
Washington: 206-312-6540
4 days
SEC window to disclose a material cybersecurity incident
SEC Cybersecurity Rules 2023
$5.9M
Average cost of a financial services data breach
IBM Cost of a Data Breach 2024
$2.9B
Lost to business email compromise in financial services
FBI IC3 Report 2023
74%
Financial firms experienced a cyberattack in the past year
Sophos Financial Services Threat Report
We Work With
RIAs | Financial Advisors | Accounting Firms | Family Offices | Wealth Management Firms
The Challenge
Why Financial Services Firms Face a Different Kind of IT Risk
Financial firms aren't just targeted more frequently than the average business. They're targeted more deliberately. Threat actors research their victims, understand the value of the data, and time attacks for maximum leverage. Wire fraud, business email compromise, and ransomware targeting client records are well-documented and recurring patterns in the sector.
At the same time, the compliance picture keeps expanding. The SEC's Cybersecurity Risk Management Rules require material incident disclosure within four business days. FINRA examinations increasingly include technology infrastructure reviews. State privacy laws in California and beyond are creating documentation requirements most firms have not fully mapped yet.
What this looks like in most financial services firms:
× Complex software ecosystem: portfolio management, CRM, compliance platforms, and document management that need to connect without creating security gaps with them
× Remote work has permanently expanded the attack surface for firms that have not adjusted their security architecture to match
× Staff turnover created data exposure risks that access management and offboarding processes need to address before an incident, not after
× Business continuity expectations from enterprise client are higher than most internal IT setups can be sustainable
× No documented incident response procedure that satisfies the SEC's four-day reporting window
Engagement Options
Three Ways to Work With Heroic
Not every financial services firm needs the same level of engagement. Three models, built for different levels of internal IT capability.
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Fully Managed - The Hero
We own your technology environment completely: helpdesk, infrastructure, security, compliance documentation, and vendor management. One flat monthly fee, full accountability. Best for firms without internal IT staff who need everything handled.
Full Infrastructure | Compliance Docs | Vendor Mgmt | Security | Audit Readiness
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Co-Managed - Sidekick
Your team handles day-to-day operations; we provide advanced security, FINRA examination documentation, and the compliance depth your internal resource doesn't have bandwidth for. Works well for firms with a part-time or fractional IT function.
FINRA Prep | Security Layer | Compliance Docs | Incident Response
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Strategic Consulting - Guide
Project and retainer engagements: compliance readiness assessments, SEC cybersecurity framework reviews, AI governance documentation, and incident response planning. No ongoing managed services required.
SEC Readiness | Risk Assessment | AI Governance | IR Planning
Services Built for Financial Services
Technology and Security Built for Regulated Environments
Specific capabilities for the compliance requirements, client data obligations, and operational demands that financial services firms navigate every day.
SEC/FINRA Compliance Support
Technical controls and documentation for Regulation S-P, Regulation S-ID, and FINRA cybersecurity guidance. Written information security program (WISP) development and ongoing maintenance.
MFA for Financial Systems
Multi-factor authentication enforced across trading platforms, CRM, portfolio management tools, and client portals. Credential compromise becomes significantly less damaging with MFA properly deployed.
Encrypted Client Communications
Email and messaging encryption for advisor-client communications involving sensitive financial information, account data, and investment recommendations.
Cybersecurity Risk Management
Risk assessments, vendor due diligence, and third-party risk management built for regulatory expectations. Documentation your examiners can review with confidence.
Business Continuity Planning
Recovery time and recovery point objectives aligned to FINRA and SEC expectations. Tested recovery procedures, not just documented ones, for financial continuity under regulatory scrutiny.
CRM & Portfolio Management Support
Helpdesk and administration for Salesforce Financial Services Cloud, Orion, Redtail, Wealthbox, and similar platforms your practice depends on to serve clients.
Emerging Priority
AI Adoption in Financial Services: Infrastructure Before Deployment
AI tools are entering the financial services workflow in areas from client communications to portfolio analysis to compliance documentation. The efficiency gains are real, and so are the governance risks. Client data privacy, model explainability, and the regulatory uncertainty around AI-assisted financial advice are all active issues without settled answers.
Heroic doesn't sell AI tools. We help financial firms build the data governance, access controls, and infrastructure architecture that makes responsible AI adoption possible, so when you're ready to deploy, the foundation is already in place and the documentation already exists.
"By 2028, the firms using AI well and the firms still struggling with it will have made very different decisions today. The infrastructure and security choices you make now are critical."
What Heroic Puts in Place Before You Deploy:
AI acceptable use policies for client-facing and internal tools
Data classification controls before AI tools touch client information
Vendor review for AI tools processing account or financial data
AI governance documentation for regulatory examinations and enterprise clients
Switching Providers
Considering a Provider Switch Without Disrupting Client Operations?
Financial services firms often stay with underperforming IT providers for the same reason law firms do: transition risk. Fear of a gap in security coverage, lost configuration documentation, or system downtime during a cutover keeps organizations in relationships that stopped working.
The Clean Break™
For businesses that want a new IT provider but keep putting it off because the transition feels too disruptive. We handle the hard parts, so you don't have to.
| ν ETF credit up to $1,000 | ν No setup fees | ν After-hours cutover (around active matters) |
| ν 30-day hypercare support | ν Documentation recovery | ν Provider coordination handled by us |
Start with a conversation,
not a contract
From The Blog
Related Reading for Financial Services Leaders
Nick Stevens writes about the technology decisions that shape where organizations end up in two to three years, not just today’s fixes.
10 min read
It's Not Your Breach. It's Still Your Problem
Nick Stevens: Jul 14, 2026
Your IT provider's vendor relationships are part of your attack surface. Here's how to close the blind spots before...
5 min read
Your Legal Case Called. Your Tech Stack Needs Work.
Nick Stevens: May 21, 2026
Managing complex litigation without the right tools is like trying to win a trial with a yellow legal pad and a prayer....
Is Heroic The Right Fit?
Strong signals we're what you're looking for
You're an RIA, financial advisor, accounting firm, or financial services organization on the West Coast
A FINRA examination or SEC review has surfaced IT infrastructure question your current provider could not answer
You're not confident your incident response procedures satisfy the SEC's four-day disclosure window
Client data lives across multiple systems and you have not fully mapped which ones have access controls and which don't
Remote work has expanded your attack surface and your security architecture has not caught up
Enterprise clients or institutional partners have asked about your cybersecurity posture and the answer was uncertain
Get In Touch
Ready to talk about what compliance-aligned IT looks like for your firm?
Most financial services firms that reach out have simply reached a point where the gap between their IT infrastructure and their compliance obligations is no longer comfortable. We start with a conversation, not a sales pitch.
FAQs
Common Questions from Financial Services Organizations
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How do you help with FINRA examination readiness?
We build the security controls, access logging, and documentation that FINRA examiners look for during technology reviews: multi-factor authentication, encrypted communications, access audit trails, incident response procedures, and evidence of regular security assessments. We also help you prepare the specific documentation packages that examiners request before and during an examination.
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Do you help with SEC cybersecurity disclosure requirements?
Yes. The SEC's 2023 rules created real infrastructure requirements, not just reporting obligations. We help firms build the detection capabilities, incident classification procedures, and documentation systems needed to identify and assess material incidents within the four-day reporting window. We also help you understand what constitutes a reportable incident under the rules so you're not making that judgment under pressure.
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How do you address wire fraud and business email compromise risk?
Wire fraud and BEC attacks in financial services typically exploit weak email authentication, inadequate verification procedures, and over-permissioned accounts. We implement email security controls including DMARC, DKIM, and anti-phishing protection, along with the access management and verification procedures that prevent impersonation attacks from succeeding even when they reach a user's inbox.
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Can you help us manage IT for remote and hybrid teams?
Yes. Remote work has permanently expanded the attack surface for financial services firms. We implement the endpoint management, VPN, identity verification, and access controls that secure a distributed workforce without creating friction that drives employees toward workarounds.
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What does the transition process look like from our current provider?The Clean Break handles the transition. We coordinate with your outgoing provider, recover documentation, schedule the cutover after market hours to minimize disruption, and provide 30-day hypercare support. If your current contract has an ETF of $1,000 or less, we may credit that toward your first three months.
Let's Talk About What's Next
Whether you're dealing with day-to-day IT frustrations, a compliance deadline, or a provider that no longer fits where your organization is going, we're ready to help.