RIAs, broker-dealers, wealth managers, and lenders trust us with the cybersecurity, archival, and audit-trail evidence regulators expect to see.
Challenges
The day-to-day friction we hear about most from financial services like yours.
SEC, FINRA, and state regulators show up asking for technical evidence — and 'we'll get back to you' isn't an answer.
Trading workstations and data feeds going down at 9:31am ET is not a recoverable mistake.
One PII breach destroys the client referrals you spent a decade building.
Texts, WhatsApp, and Teams chats all have to be captured and reviewable on demand.
Bridging Bloomberg terminals, custodian platforms, and Microsoft 365 in one coherent environment.
Onboarding a new advisor team means safely merging two technology stacks fast.
Cybersecurity Risks
Cybercriminals don't pick targets at random. Here's what they're aiming at in your industry.
Threat actors hijack email threads with clients and reroute outgoing wires — losses routinely run into the millions.
Compromised advisor credentials lead directly to fraudulent custodian transactions.
Books of business walking out the door — sometimes with client lists and performance data attached.
Your portfolio-management vendor, your CRM, your custodian — any of them getting breached can compromise you.
Attackers know an RIA facing an exam can't afford to lose access to client files.
Synthetic-audio impersonations of clients (and partners) authorizing transactions are now an active threat.
Software We Support
We speak the language of your software stack — no learning curve required.
Deployment, security configuration, and integrations with custodian and portfolio platforms.
Day-to-day administration, automation, and integration with email and document management.
Portfolio reporting platform support, data feeds, and reconciliation workflows.
Financial-planning platform configuration and secure client-portal management.
Workstation and browser-config support for Schwab Advisor Center, Wealthscape, NetX360, and similar.
Terminal connectivity, license management, and dual-monitor / multi-screen setups.
eComms archival across email, text, social, and chat — fully searchable for compliance review.
Mortgage and lending platform support for loan officers and processors.
Advanced eDiscovery, retention policies, and information protection for regulated firms.
Compliance
We align your IT controls with the frameworks that govern your industry — and document everything so auditors don't have to guess.
Safeguards rule and disposal rule compliance for any RIA with custody or access to client NPI.
WORM-compliant archival, retention, and prompt-production capability for broker-dealer records.
Supervision, books-and-records, and written supervisory procedures supported by documented technical controls.
Safeguards Rule program with risk assessment, designated qualified individual, and annual reporting.
Mandatory MFA, encryption, monitoring, and IR plans — we implement and document every required element.
IT general controls (ITGC) evidence for access management, change management, and backup operations.
Cross-state notification timelines and, for firms with NY clients, full NYDFS Part 500 alignment.
Our Solutions
Purpose-built IT and cybersecurity engagements that map directly to your operational realities.
A documented, examiner-ready cybersecurity program that maps directly to SEC and FINRA expectations.
Email, SMS, WhatsApp, Teams, and social-media archival with role-based review and lexicon flagging.
Conditional access, anti-impersonation, attachment sandboxing, and DLP tuned for wire-fraud defense.
Multi-monitor builds with sub-second platform launches, custodian-tool optimization, and 24/7 support.
We assess and document your third-party vendors so your DDQ responses hold up under examination.
Quarterly IR drills with your leadership team — the kind regulators want to see in your written program.
FAQs
Client Reviews
All 5-star reviews from real clients across the Valley. See why businesses choose Liquid IT.
"Liquid IT changed how our law firm runs. Fifty years in business, multiple offices, a huge database — and response times that beat anything we've had before. The communication and expectation management are unlike any other provider we've worked with. If you're choosing between firms, pick this one."
"We were facing a critical six-month system breakdown that multiple companies had tried—and failed—to fix. Josh and the team jumped in immediately, worked outside business hours, resolved the issue overnight, and delivered a scalable solution within 48 hours. Their integrity, speed, and technical expertise are unmatched."
"Liquid IT has been an incredible resource helping to navigate a few extremely stressful situations. From the onset, they were professional, calm and friendly. Thank you for being great at your work but also being genuinely nice people. I wish I could leave more than 5 stars!"
"Meghan does an exceptional job of understanding your needs and making the most of your budget to effectively reduce your cybersecurity risk. She's skilled at identifying priorities and delivering smart, impactful solutions. I would highly recommend reaching out to her and her team."
"Josh and his team are excellent! Tickets are always addressed quickly and accurately. And the patience they display with our more technology challenged staff is above and beyond!"
"Liquid IT is incredibly knowledgeable. Our church had been trying to get Cox to resolve a problem for nearly two years. We hired Liquid IT and they fixed the problem in a matter of days. They have great business connections and are very responsive. We are highly satisfied!"
"Josh and the team at Liquid IT are absolutely amazing at taking care of my IT needs. Their active monitoring of my network and systems makes sure that we stay up and running all the time. Their proactive approach has proven to be very helpful. They are true IT professionals!"
"Their expertise and quick response time have made a huge difference for our business. Whether it's technical issues or implementing new systems, they handle everything with professionalism and efficiency. I highly recommend Liquid IT for anyone looking for reliable and knowledgeable IT services!"
"Liquid IT is one of the smartest business decisions we have made. They have helped us navigate unfamiliar territories where we most likely would have failed without their expertise. We 1,000% recommend Liquid IT to anyone needing a miracle worker in IT!"
"After slow response times from our previous MSP we switched to Liquid IT. The ticket speed response is fast and better quality. Josh knows every team member by name. He also meets with us to discuss our IT plan on a regular basis. Our firm is running better as a result."
"Our company benefits daily from Josh and his amazing team - keeping our files and client data protected. Highly recommend!!"
"Not only does he always immediately identify problems and solve them, but he is the most pleasant provider that we have had. I consider him a great friend. When he left the company that previously did computer tech for our firm, I was lost. With his new firm now in place, we are in much better shape."
"Their team was quick to respond, helped me with all my IT issues and went above and beyond to help me with a few other issues I didn't even know were present. Highly recommend!"
"I appreciate Liquid IT's proactive approach to managing the changing IT landscape. No problem is too small or too big. Liquid IT is always there ready to help with real solutions."
"The team at Liquid IT has been fantastic. Quick to respond and to resolve the issues. As someone who admittedly has limited IT knowledge, I come to depend on Liquid IT to help me through issues as they occur. They never let me down."
"Good work, good communication. More importantly addresses challenges quickly."
Join other Arizona businesses that trust Liquid IT.
Related Cities
City-specific SEC, FINRA, and FTC Safeguards–aligned managed IT and cybersecurity pages for Arizona RIAs, broker-dealers, wealth managers, and lenders.
