Call Today (913) 396-4600
IT Support Services
View All
Obsessive Support®

The hallmark of the Visory experience, our dedicated team of professionals provides a high degree of support for all your IT needs

Managed Infrastructure

Leading edge solutions that are always working to maintain the integrity of your firm’s IT backbone

Managed Security

Best in class security to protect your firm’s data and technology

We’re here to help. Contact us for a consultation.
Application Hosting
View All

Take your business to new heights with Visory’s flexible QuickBooks hosting solutions


The same Sage you work in every day, only better


An affordable CRM for small- and medium-sized businesses, built to support your sales, marketing and customer service needs


Revolutionize your next tax season with added efficiency and mobility

3rd Party Applications

Access critical applications that are integrated seamlessly into your workflow, conveniently hosted on the same server

Cloud Platforms

Access affordable enterprise-grade hosting solutions with none of the IT burden

Watch your firm grow with the ultimate ease of access, security and flexibility.
Managed Services
View All
Managed Security

We’ll help you develop and implement the right cybersecurity policies and protocols to keep your firm secure and in compliance with regulatory guidance

Managed Infrastructure

We’re here to manage your firm’s IT activity, safeguarding the integrity of your infrastructure and devices, so you don’t have to

Let’s talk about keeping your business and your data secure.
View All
Managed Security

We’ll help you develop and implement the right cybersecurity policies and protocols to keep your firm secure and in compliance with regulatory guidance

Zero Trust

Security that ensures everyone granted access is who they claim to be

Awareness Training & Testing

Educate and train your most important last line of defense – your people with Visory and industry-leading KnowBe4.

End Device Protection

Protection where people and their machines intersect

Multifactor Authentication

Secure access to your data with multiple verification checks on identity, reduce the risk of compromise, prevent cyberthreats

No firm is too big or too small for a data breach or a cyberattack. Let’s talk about your security.
View All
Tax & Accounting

IRS 4557

Other Businesses

Complying with state and federal privacy regulations and more

Contact us to learn more about how we keep your business safe and in compliance
QB Desktop, QBO

Lorem ipsum dolor sit amet, consetetur sadipscing elitr, sed diam nonumy


Lorem ipsum dolor sit amet, consetetur sadipscing elitr, sed diam nonumy


Lorem ipsum dolor sit amet, consetetur sadipscing elitr, sed diam nonumy


Lorem ipsum dolor sit amet, consetetur sadipscing elitr, sed diam nonumy

Sentinel One

Lorem ipsum dolor sit amet, consetetur sadipscing elitr, sed diam nonumy

Lorem Ispum Dolor Software CTA

Many registered investment advisors (RIAs) are now on the hook for assuring clients that their systems will run at all times, regardless of circumstances.

The North American Securities Administrators Association (NASAA) adopted its Model Rule 203(a)-1A or 2002 Rule 411(c)-1A, requiring state-registered RIAs to develop business continuity and succession plans that detail how operations will “minimiz[e] service disruptions and client harm” in the event of a disruption – such as natural disasters, equipment or system failures and records destruction, terrorist acts, unexpected loss of a market or service provider, unexpected loss of key technology providers, death, or any event that materially impacts the normal functions of the advisor. The Securities Exchange Commission is also expected to pass a similar rule for larger RIAs.

The charge may seem daunting, but advisors can collaborate with their technology service providers to develop plans that account for the myriad of front- and back-office systems running their businesses. Whether going it alone or with the help of outside experts, the end goals are the same for every RIA: compliance with the new rule, and having a Plan B protocol can be executed flawlessly when it matters most.

To get started, RIAs should ensure their business continuity and succession plans address the following five areas of concern:

• Control. Start by documenting who is authorized to have control of, and access to, the firm’s information and systems when it is not business-as-usual to ensure that services are not disrupted. RIAs can follow the model of A.L. Rhodes, an advisor in Mukilteo, Washington, which designated by name the individuals who will have access to what files and systems in the event of a disruption.

• Mission-critical instant access. RIAs need to think carefully about the data that are most important in an emergency, and ensure that these files are assembled “to go,” up to date, and can be restored quickly in any scenario. This is the firm’s survival kit, and the RIA needs to show that there is a plan to get access to it in the event of a crisis. Indeed, the National Archives & Records Administration in Washington, DC, has reported that 93 percent of companies that lose their data center for at least 10 days due to a disaster filed for bankruptcy within one year of that disaster.

Each RIA will have its own definition of what constitutes mission-critical data, but to start consider: client and employee contact details; the business continuity plan; access information for core systems; technology vendor information; as well as custodian and other trade-related information.

• Information sharing and access. With key data identified and ready to go, the plan should include the process for information sharing across all platforms integral to the RIA’s business. This could include custody, clearing, trade-execution, CRM, and record-keeping, to name a few. This information should only be made available when necessary, and it should otherwise remain secure in the encrypted folder that is part of the firm’s emergency kit.

• Communications. RIAs should map out a communications strategy for reaching clients, employees, vendors, regulators and other key constituents in a crisis. For example, the firm that wants to send out a mass notification email at the time of a disruption will need a plan for communicating with clients when key systems go down and contact information is not readily available.

• Long-term operations. Advisors need to be able to show how they will stabilize the firm for the first hours and days following a disruption, and for keeping it running for the duration. This means addressing data migration, cybersecurity issues, relocation, and other technology-related matters in the business continuity plan.

Advisors should identify possible outage scenarios, examining their potential impact and develop plans accordingly. An office move or overnight snowstorm need not disrupt operations if the advisor has previously made remote work arrangements; however, other circumstances call for a different type of plans. After Hurricane Sandy hit in 2012, RIAs in and around Hartford, CT, and New York, NY, worked securely and without interruption at a local fast food restaurants offering free Wi-Fi. While setting up shop at the nearest McDonald’s or Starbucks is not a long-term plan, it can be a stopgap solution for firms with their data securely stored and ready for retrieval.

A business continuity plan no longer just good business sense, it is now required for state-registered RIAs. To do it right, advisors should call on their technology service providers for input and expertise on how to make their firm function anytime, anywhere, under any circumstance. This will not only make the plan development process more palatable, but it will also give the advisor peace of mind knowing that client data and firm operations are protected in the event of an emergency.

Wes Stillman is the founder and president of RightSize Solutions www.rightsize-solutions.com, a provider of intelligent cloud technology and business management solutions for RIAs. He can be reached at wnstillman@rightsize-solutions.com.

What We’re Saying
Sep 25th, 2023
Navigating the Future: our Guide to Upcoming SEC Cybersecurity Rules
In our increasingly digital world, cybersecurity has become a top priority for Registered Investment Advisors (RIAs) and financial professionals. As we prepare for the forthcoming
Aug 22nd, 2023
Securing Tomorrow: Embracing Zero Trust in Financial Advisory Cybersecurity
In an age defined by technological progress, the financial industry has embraced digital tools and platforms like never before. This transition, while empowering, has also
Jul 20th, 2023
Beyond Compliance: Unlocking the Benefits of Robust Cybersecurity for RIAs
Undoubtedly, you’ve heard about the new SEC Cybersecurity rules. While being compliant is essential to avoid penalties, regulatory actions, or reputational damage, there are other
Jul 13th, 2023
AI Will Heighten Cybersecurity Risks for RIAs
As technology advances, so do the threats posed by cybercriminals. The wealth management industry in particular is facing amplified risks due to the introduction of
Jun 22nd, 2023
Establishing a Robust Cybersecurity Policy for RIAs
In today’s digital age, Registered Investment Advisors (RIAs) face an ever-increasing risk of cyber threats. As the financial industry becomes more reliant on technology, it
May 31st, 2023
A Functioning Cybersecurity Stack: Ensuring Firm Security and Regulatory Compliance for RIAs
In the realm of investment advisory firms (RIAs), the significance of robust cybersecurity measures cannot be overstated. As businesses navigate the digital landscape, protecting sensitive
Copyright ©2023 Visory. All rights reserved.