Wealth management and RIA IT in Dallas-Fort Worth
We test that your approved channels capture business texts and that you can get them back, working directly with your archive vendor.
We test that your approved channels capture texts, and that you can get them back.
When the archive vendor says texts were never in scope, we call them.
Server down? Locked out? Call (817) 265-5000.
Or ask Billy a question
Trevor, your BDunn tech, pulling a test text back out of the archive
The application is one part of the setup. We look after the computers, connections, access and recovery it depends on. When a problem crosses into the application, we work with its vendor to get the right people involved.
An email archive can be current and still miss texts, WhatsApp and personal email. In one 2024 SEC action, adviser firms admitted staff sent off-channel messages about advice. We test each channel you capture by pulling a record back out.
Redtail is part of Orion. Tamarac and MoneyGuide are part of Envestnet. One parent, separate logins. When someone leaves, we check access in each one.
Some admin accounts belong to the custodian, the broker-dealer or a vendor. Know which are yours before you need one.
A restore can finish before anyone can sign in to the CRM or custodian portal. We write down the recovery path and vendor contact first.
Which rule applies depends on where your firm registers. Either way, the incident plan needs vendor contacts who answer.
We handle the IT safeguards. Your firm owns its policies and the call on who gets notified.
Three rules, one by one
Regulation S-P, as amended in 2024: a written incident response program and vendor oversight. When clients have to be told, they hear as soon as practicable, inside 30 days of you learning of actual or likely unauthorized access. We keep the vendor list and test the runbook.
Smaller advisers generally register with the state and fall under the FTC Safeguards Rule: a written security program, multi-factor sign-in and encryption. Texas adds one thing: if an incident that does or may affect Texas clients means you owe anyone a notice, the Securities Commissioner gets one too, at the same time (7 TAC 116.23).
The Safeguards Rule wants one named person in charge of security. You name them and we back them, or we take the role under a written agreement with a senior person of yours overseeing it.
About $42,000 overbilled and about $17,000 underbilled, found and corrected.
An independent advisory firm ran hundreds of accounts across several custodians, and fee schedules varied by household, asset tier, account type and whatever had been negotiated. Billing that by hand is where mistakes hide. We connected authorized billing records with the firm’s advisory contracts, account relationships and custodian data. The system recalculated fees independently, and AI read the agreement language and flagged anything a person needed to review. The historical review confirmed about $42,000 in overbilling and about $17,000 in underbilling. The firm corrected all of it under compliance supervision, with client refunds where they applied, and now runs recurring fee checks.
I love B Dunn. They have been my IT company for many years and have always taken really good care of our company. Billy is very knowledgeable and is able to quickly fix issues. I highly recommend this company. Five Stars!
Every review on Google: five stars.
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