Who we work withInvestment advisers
Engineering for investment advisers
We build the portals, data platforms and controls that SEC-registered advisers and wealth managers rely on, with the records and evidence your CCO needs for the annual review and an SEC examination.
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Who we work with
- SEC-registered investment advisers and wealth managers
- Firms consolidating custodian, portfolio and CRM data into one reliable source
- Chief compliance officers who want evidence produced by systems, not spreadsheets
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What your systems have to meet
The SEC and FINRA rules we design around. We build systems that support these obligations; meeting them remains your firm’s responsibility.
- Advisers Act Rule 204-2
- Books and records, including electronic communications, kept for the required periods.
- Advisers Act Rule 206(4)-7
- Written compliance policies and an annual review, supported by evidence the systems produce.
- SEC Marketing Rule · Rule 206(4)-1
- Advertisements and performance presentations, including content drafted with AI.
- Advisers Act Rule 206(4)-2
- Records and reconciliations where the adviser has custody of client assets.
- Regulation S-P · Regulation S-ID
- Protecting client information, incident response, service-provider oversight and identity-theft red flags.
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Typical projects
- Client and adviser portals
Secure portals for clients and advisers on one permissions model, with every action recorded.
- Portfolio and client data
Custodian feeds, portfolio and CRM systems brought together into one reconciled source of truth.
- Records and retention
Communications and records kept for the required periods and searchable when an examination request arrives.
- Cloud foundations
AWS environments with controls enforced in code, so audit evidence comes from normal engineering work.
- AI usage policy and approved tools
A usage policy, a model inventory and an approved assistant that keeps client information inside your tenant.
- Examination readiness
Evidence packs and data exports for the annual compliance review and SEC examination requests.
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How we work with your compliance team
We are engineers, not a law firm, compliance consultancy or auditor. We don’t give legal or compliance advice or certify your firm; we work with the people who do.
- Alongside your compliance team
- We engineer the controls, records and evidence. Your CCO and advisers interpret the rules and own the compliance programme.
- Evidence from the system
- Records, review history and deployment logs come from the systems themselves, so requests are answered with data, not reconstructions.
- Ready for your vendor review
- Our practices, security documentation and questionnaire answers are prepared for your due diligence before we start.
Next step
Tell us about the system and the rules it has to meet.
An engineer will reply with how we'd approach it, or who would be a better fit.