Industries we serve.
KNX builds IT and cybersecurity for the financial advisory world. RIAs, hybrid RIA / Broker-Dealer firms, and independent advisors all face the same client expectation — privacy and trust — and most of the same regulators behind it. We anchor every control to the rule that matters for your registration.
Free Compliance Assessment Free AssessmentReputation rests on trust. Regulators want the proof.
Clients expect their financial data to stay private. Regulators expect you to demonstrate it. Generic IT shops handle the technology but leave the audit trail to you. We bundle proactive IT, layered cybersecurity, and continuous compliance documentation so the controls work day-to-day and the evidence is ready when an examiner asks.
What we provide
- 24/7 monitoring, patch management, and Microsoft 365 / SharePoint administration
- Endpoint detection and response (EDR) and MFA on every account that touches client data
- Email security: anti-phishing, encryption, and archive aligned to Books & Records retention
- SIEM threat detection with monthly reporting your CCO can put in the file
- IT policy templates aligned to your WISP, plus staff training and phishing simulations
- Quarterly access reviews, vendor due-diligence packets, and audit prep documentation
Rules we anchor to
- SEC 206(4)-7Compliance Program — written policies + annual review
- SEC 204-2Books & Records — 5-year retention, first 2 readily accessible
- Reg S-PPrivacy & Safeguarding — smaller-firm deadline June 3, 2026
- Reg S-IDIdentity Theft Red Flags — written program, named reviewer
- SEC 206(4)-1Marketing Rule — testimonials, endorsements, performance claims
Outcome A documented IT program your CCO can defend in an exam, with the controls and the evidence sitting in the same file.Free Compliance Assessment Free Assessment
Two regulators. One configured stack.
Dual-registered firms answer to two regulators with overlapping expectations — the Investment Advisers Act on the RIA side, FINRA on the broker-dealer side, plus the off-channel-communications sweep dominating recent enforcement. We configure one stack to meet the longer of two retention windows, the stricter of two supervision policies, and the more granular of two recordkeeping rules — so the firm doesn't pay twice for parallel controls.
What we provide
- Day-to-day IT across BD and RIA workstations with consolidated reporting
- Cybersecurity that satisfies SEC expectations and FINRA supervisory requirements at the same time
- Off-channel communications capture, journaling, and supervisory review
- Compliance & training: IT policy templates, phishing simulations, audit prep for SEC + FINRA
- Disaster recovery sized to the longer of two retention rules — one evidence pack answers either examiner
- Virtual CIO planning that tracks both the SEC and FINRA roadmap so neither side surprises you
Rules we anchor to
- SEC 206(4)-7Compliance Program (RIA side)
- SEC 204-2Books & Records — 5-year, RIA side
- FINRA 4511Books & Records — 6-year, BD side
- FINRA 3110Supervision — off-channel comms, supervisory review
- FINRA 4512 / 4513Customer accounts and written-complaint logs
- FINRA 4370Business Continuity Plans — written, annually reviewed
- Reg S-P + S-IDPrivacy, safeguarding, identity-theft red flags
Outcome A single configured stack that answers an SEC examiner and a FINRA examiner without rebuilding evidence twice.Free Compliance Assessment Free Assessment
Enterprise-grade discipline. Solo-practice scale.
Independent advisors — IARs working under a corporate RIA, fee-only planners, and one-person shops — need the same client-data protection and audit posture as larger firms, without enterprise IT pricing or a full compliance department. We size the same controls down to a solo or small practice and make sure they fit cleanly inside your umbrella firm's WISP and policies.
What we provide
- Workstation hardening, EDR, and MFA sized for a 1–3 person practice
- Secure email and client document portal — not enterprise-priced, but enterprise-grade
- WISP language aligned to your umbrella firm's policy so audits don't surface a gap
- Backup and recovery built for portable practices — laptop-first, immutable cloud backup
- Annual cybersecurity training that satisfies your firm's recordkeeping requirement
- IT-side help with custodian changes, firm transitions, or moving to your own RIA
Rules we anchor to
- Reg S-PPrivacy & Safeguarding — every advisor handling client info
- Reg S-IDIdentity Theft Red Flags — most advisors require a written program
- SEC 206(4)-1Marketing Rule — testimonials, endorsements, performance claims
- Umbrella WISPYour firm's written information security plan — you have to fit inside
Outcome A small-practice IT setup that holds up to your firm's annual review and stays portable when your situation changes.Free Compliance Assessment Free Assessment
Not sure which side you sit on?
Free assessment. We'll walk your registration, your tools, and your existing controls in one sitting and tell you which rules apply, which gaps need closing first, and what the IT side of the work looks like for a firm your size.
Free Compliance Assessment Free Assessment