IT Support for RIAs and Wealth Managers in Chicago
Client data protection, custodian due diligence and written plans, handled on the IT side.
Since 2012, CIO Landing has supported financial firms across Chicagoland, including RIAs and wealth managers. Your clients trust you with account numbers, tax documents and family details, and your custodians, clients and regulators expect you to protect them. This page explains what that asks of your IT and where we help. It is not legal advice.
- RIAs fall under SEC Regulation S-P, which now expects a written incident response program and client notice within 30 days of becoming aware of unauthorized access to sensitive customer information.
- We handle the IT side: multi-factor authentication, encryption, logging and monitoring, patching, access control and endpoint protection.
- We supply a firm-specific Written Information Security Plan (WISP) and a written incident response plan.
- We help you answer client security questionnaires and custodian due-diligence requests with accurate IT evidence.
- Your counsel or compliance officer decides which rules apply to your firm.
What RIAs and wealth managers need from IT
- Client data kept private: encrypted laptops and phones, protected email, and controlled access to files, portals and your CRM.
- Protection against impersonation and fraud: multi-factor authentication, email filtering and security awareness training, because wire and account-change requests are a common target.
- Evidence you can show: clear answers for client questionnaires and custodian due-diligence requests, backed by what is actually in place.
- Dependable day-to-day support: a help desk that gets advisors and assistants working again quickly, with monitoring running 24/7.
SEC Regulation S-P in plain language
The amended Regulation S-P covers registered investment advisers, broker-dealers, investment companies and transfer agents. It expects a written incident response program, notice to affected individuals as soon as practicable and no later than 30 days after you become aware of unauthorized access to sensitive customer information (with limited exceptions), and oversight of the service providers that touch client data. Larger firms had to comply by December 3, 2025 and smaller firms by June 3, 2026. Read the full breakdown on our FTC Safeguards and SEC Regulation S-P page, or see the SEC fact sheet.
Where CIO Landing helps
- Technical controls: we configure and manage multi-factor authentication, encryption, logging and monitoring, patching, access control and endpoint protection.
- Written plans: we supply a firm-specific WISP and a written incident response plan. Your firm designates the person responsible for the program.
- Client and custodian requests: we help you complete security questionnaires and due-diligence requests and gather evidence from your environment.
- Annual risk assessment and security audit: we support the process on the IT side and help you act on what it finds. See our cybersecurity audits guide.
- Everyday protection: AI-based antivirus with managed detection and response, email protection, security awareness training, and backups kept off-site for 90 days in U.S. data centers with a 24-hour restore target.
Monitoring runs 24/7; the help desk is Monday to Friday, 7am to 7pm CT. Our financial services page covers mortgage, lending and insurance firms as well.
What we do not do
We do not give legal advice or decide which rules apply to your firm. This page does not describe penetration testing, board reporting, contract review or regulatory exam representation as part of our service. We can work alongside the specialists you use.
How we work with you
Your Client Success Manager is your account manager, your Technology Alignment Manager (TAM) keeps the roadmap aligned with your growth, and a Fractional CIO (vCIO) is available when you need strategic guidance. Our published range is $150 to $225 per user per month; see Pricing and Service Levels. Onboarding takes about one month, and projects are quoted separately. If you already have your own IT staff, see co-managed IT, or read how it works.
Our office is in Northfield, IL, and we meet clients downtown Chicago by appointment. We serve firms within about a two-hour drive of Northfield.
Frequently asked questions
Does SEC Regulation S-P apply to my RIA?
Yes, the amended rule covers registered investment advisers, along with broker-dealers, investment companies and transfer agents. Your counsel or compliance officer decides how it applies to your firm.
Can CIO Landing write our WISP and incident response plan?
Yes. We supply a firm-specific Written Information Security Plan and a written incident response plan. Your firm designates the person responsible for the program.
Can you help with custodian due-diligence requests?
Yes. We help you answer the IT questions accurately and gather evidence from your environment.
Can you help with client security questionnaires?
Yes. We help you complete them with answers that match what is in place, so the responses hold up if a client follows up.
What technical controls do you manage?
Multi-factor authentication, encryption, logging and monitoring, patching, access control and endpoint protection.
How fast do I have to notify clients after a breach?
Under Regulation S-P, as soon as practicable and no later than 30 days after you become aware that sensitive customer information was, or is reasonably likely to have been, accessed or used without authorization, with limited exceptions.
Do you support the annual risk assessment?
Yes, on the IT side. We support the process and help you act on the findings.
Do you give legal or compliance advice?
No. Your counsel or compliance officer decides which rules apply to your firm.
What does it cost?
Our published range is $150 to $225 per user per month; see Pricing. Projects are quoted separately.
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