Financial Services IT in Dallas Built for Compliance
Financial services IT in Dallas covers managed infrastructure, cybersecurity, and regulatory compliance support for firms regulated by FINRA, SEC, and SOX. Uprite delivers SOC 2-certified IT services to RIAs, broker-dealers, CPA firms, and wealth managers from our Dallas office at 5757 Alpha Rd, with published pricing starting at $138 per user per month.
SOC 2 Type 1 certified managed IT for Dallas RIAs, broker-dealers, CPA firms, and wealth managers. FINRA, SEC, SOX, and GLBA compliance built in, backed by a 120-day guarantee.
Get a Free Compliance AssessmentNo obligation. We’ll document your compliance gaps first.25+ Years | MSP 501 6x Consecutive | SOC 2 Type 1 Certified | 120-Day Satisfaction Guarantee
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Recognized and Trusted Across Texas Financial Services and Business IT
The Regulatory Reality
Why Dallas Financial Firms Can’t Treat IT as an Afterthought
When did your last FINRA audit feel routine?
For most firms, it didn’t. The operations director pulled together documentation from three different systems. Someone scrambled to prove MFA was enforced across every device. The compliance officer spent two days verifying audit trails that should have been automated. We show what closing that gap looks like in practice in our FTC Safeguards Rule compliance case study.
Dallas is now the second-largest financial services hub in the U.S. by employment concentration. The Federal Reserve Bank of Dallas reports the region’s financial services cluster grew 22% between 2016 and 2023, and that growth hasn’t slowed. The Texas Stock Exchange launched full operations in early 2026. Goldman Sachs is building a $500 million campus downtown. Nearly 390,000 people work in financial activities across DFW according to Bureau of Labor Statistics data.
That growth is good for Dallas. It’s also good for attackers.
More financial firms means more targets. More client data moving through more systems, more endpoints, more people with access to wire instructions and portfolio platforms. And every single one of those firms answers to the same regulators.
If your managed IT services in Dallas provider can’t explain how their controls map to FINRA Rule 3110 or SEC Reg S-P, you don’t have an IT partner.
You have a help desk with a contract.
Compliance Depth
Compliance That Doesn’t Depend on One Person
Here’s a pattern we see across financial firms in North Texas.
One person owns compliance. Sometimes it’s the CCO. Sometimes it’s an operations director who inherited the responsibility. Either way, the firm’s entire regulatory posture depends on someone who also manages vendor relationships, client onboarding, and a dozen other things that have nothing to do with cybersecurity.
That’s not a criticism. It’s the reality of running a 30-person RIA or a mid-market broker-dealer.
Financial services IT for firms regulated by FINRA, SEC, SOX, and GLBA means your technology environment produces the documentation, access controls, and audit trails those regulators expect. Not as an afterthought. As a default.
FINRA’s 2026 Regulatory Oversight Report specifically flagged third-party vendor risk as a growing concern. The regulator observed an increase in cyberattacks and outages at firms’ third-party providers, and noted that a single vendor failure could impact a large number of member firms.
Translation: your IT provider is now part of your compliance surface. Regulators are paying attention to who you’ve outsourced to, not just what you’ve outsourced.
Uprite is SOC 2 Type 1 certified. That’s not a marketing line. It means our controls have been independently audited against the Trust Services Criteria for security, availability, and confidentiality. When your examiner asks about your IT vendor’s security posture, there’s a report to hand them. Not a conversation to have.
What That Looks Like in Practice
Role-Mapped Access Controls
Access controls mapped to your firm’s role hierarchy, not generic admin and user buckets.
MFA Everywhere
Multi-factor authentication enforced across every endpoint, every cloud application, and every remote session.
Audit Trail Logging
Logging that captures who accessed what, when, and from where, retained and reviewable on demand.
Encryption at Rest and in Transit
Client PII, financial records, and portfolio data encrypted across every system in your environment.
Documented Change Management
Every system modification has a paper trail, so your compliance file stays clean between exams.
Quarterly Access Reviews
Reviews that actually happen on schedule, not the week before an examiner arrives.
One thing we notice. Most firms think they’re compliant because they check the boxes during audit season. Real compliance runs year-round. The difference shows up in the six weeks before your FINRA exam, when either everything is already documented or your team is pulling all-nighters.
The Risk
Cybersecurity for a $5.56 Million Risk
The numbers aren’t theoretical.
IBM’s Cost of a Data Breach Report 2025 put the average financial services breach at $5.56 million. Second only to healthcare. And that’s the average. Firms with slower detection, weaker controls, or poor incident response plans pay considerably more.
Separately, Sophos found that 65% of financial services organizations were hit by ransomware in the prior year, with mean recovery costs of $2.58 million.
A single spoofed email. A reused advisor password. A wire instruction forwarded without a callback. Inside a financial firm, those small lapses compound fast.
We build our security stack around what actually happens at financial firms, not a generic checklist applied to every industry. That means:
Phishing and Email Compromise Defense
Wire fraud starts in the inbox. Advanced email filtering, SPF/DKIM/DMARC enforcement, and simulated phishing exercises for staff.
Endpoint Detection and Response
On every device that touches client data. Not just antivirus. Real-time behavioral monitoring that flags unusual access patterns before damage spreads.
Dark Web Monitoring
Monitoring for client credentials and firm email addresses. If an advisor’s login appears in a credential dump, we know before the attacker tries it.
Encrypted Backup and Tested Recovery
Backups refresh continuously. We test restores monthly. If ransomware hits, the firm recovers portfolio data, email, and critical shares without paying a ransom or losing a week.
Operational Uptime
IT That Doesn’t Go Down During Quarter-End
Quarter-end at a financial firm is a different animal than quarter-end at a marketing agency. Reports are running. Custodian portals are pulling data. Advisors are in back-to-back client reviews. The compliance team is documenting trades and checking disclosures.
If the network goes down at 2 PM on the last day of the quarter, every minute matters.
Our monitoring runs 24/7. Not business-hours monitoring with after-hours alerts that go to a voicemail box. Actual 24/7 coverage with response protocols built around financial services urgency.
What We Support for Dallas Financial Firms
Portfolio Management Platforms
Orion, Black Diamond, Tamarac, and Morningstar, configured for uptime and the specific network demands these systems create.
Custodian Portal Connectivity
Schwab, Fidelity, Pershing, and firms navigating TD Ameritrade platform transitions.
Encrypted Client Portals
Secure document exchange and e-signature workflows for client-facing paperwork.
Microsoft 365 and Azure
Environments configured with financial-grade security baselines, not consumer defaults.
VoIP and Unified Communications
Uptime requirements that match trading hours, not general business hours.
Multi-Office Connectivity
Across DFW locations, satellite offices, and remote advisors working from home.
So what does that look like in practice?
An advisor’s laptop dies 30 minutes before a client review. Our helpdesk remotes into a loaner, restores their profile, and they’re presenting on time. A custodian portal stops syncing during rebalancing. We troubleshoot the connection, coordinate with the custodian’s tech team, and document the resolution for the compliance file.
Those aren’t hypothetical scenarios. They’re Tuesday.
By the Numbers
The Numbers
Financial services is the second most expensive industry in the world to suffer a data breach. Here’s where the industry benchmarks sit, and where Uprite stands against them.
$5.56M
Average cost of a financial services data breach in 2025 (IBM). Second only to healthcare across all 17 industries surveyed.
65%
Of financial services organizations were hit by ransomware in the prior year, with mean recovery costs of $2.58 million (Sophos).
390K
People work in financial activities across Dallas-Fort Worth, the second-largest financial services hub in the country (BLS).
25+ yrs
Serving Texas businesses. MSP 501 winner six consecutive years, ranked #227. SOC 2 Type 1 certified.
$138
Per user per month starting price for fully managed financial services IT in Dallas. Published. Transparent. No custom-quote games.
| Metric | Data Point | Source |
|---|---|---|
| Average financial services breach cost | $5.56 million | IBM Cost of a Data Breach Report, 2025 |
| Financial firms hit by ransomware | 65% | Sophos State of Ransomware in Financial Services, 2024 |
| Financial activities jobs in DFW | ~390,000 | U.S. Bureau of Labor Statistics, 2026 |
| Uprite years in business | 25+ | Uprite Services |
| MSP 501 consecutive rankings | 6 years running, #227 | Channel Futures MSP 501, 2024 |
| Satisfaction guarantee | 120 days | Uprite Services |
| Published starting price | $138/user/month | Uprite Services |
Tell us which regulators you answer to.
We’ll document your compliance gaps before your next exam.
Get a Free Compliance AssessmentGetting Started
How We Onboard a Financial Services Firm
Not every firm onboards the same way. But the structure stays consistent because regulators expect it to.
Step 1. Compliance Assessment
We audit your current environment against FINRA, SEC, SOX, and GLBA requirements. Not a sales pitch disguised as an assessment. An actual gap analysis that documents where you stand today, what’s missing, and what’s at risk. You get the report whether you hire us or not.
Step 2. Risk and Gap Analysis
Based on the assessment, we map every finding to a remediation plan. Prioritized by regulatory risk, not by what’s easiest to fix. If MFA isn’t enforced everywhere, that’s week one. If your backup hasn’t been tested in six months, that’s week one too.
Step 3. Security Stack Deployment
We install and configure endpoint detection, email security, dark web monitoring, backup systems, and monitoring agents. Everything is documented. Every change goes through our change management process so your compliance file stays clean.
Step 4. Onboarding and Migration
Your team gets set up on our helpdesk, monitoring, and communication channels. If you’re migrating from another provider, we handle the transition directly. Our 120-day satisfaction guarantee covers this period. If it’s not working, you can walk away.
Step 5. Ongoing Monitoring and Audit Prep
24/7 monitoring. Helpdesk support. Quarterly access reviews. Semi-annual backup testing. And when audit season comes around, the documentation is already there.
The whole process typically takes 3 to 6 weeks depending on the size of the firm and the complexity of the environment. A 20-person RIA with a straightforward Microsoft 365 setup moves faster than a 120-person broker-dealer with on-premise servers, three office locations, and a legacy trading platform.
Honest Fit Check
Who This Is Built For
| Right fit | Not the right fit |
|---|---|
| RIAs and wealth management firms in the DFW metro with 15 to 150 users | Large banks and wirehouses with 500+ employees and a fully staffed internal IT security team. They have the budget and headcount to run their own SOC. |
| Broker-dealers regulated by FINRA needing compliance-aligned IT infrastructure | Crypto-native firms building custom blockchain infrastructure. That’s a different kind of IT. |
| CPA and accounting firms handling sensitive client financial data | Pre-revenue startups with no compliance obligations yet. They need a shared Google Workspace account and a good password manager, not $138/user/month managed IT. |
| Private equity and venture capital operations managing confidential deal flow | |
| Insurance agencies and financial planning firms with multi-location teams | |
| Any Dallas-area financial firm where the person responsible for IT also has three other jobs |
We’d rather be honest about fit than spend three months trying to make it work for the wrong firm.
Before You Switch
What Keeps Financial Firms From Making a Change
At this stage the managing partner usually asks the same questions.
“We already have IT support.”
Maybe. But is your current provider SOC 2 certified? Can they explain how their controls map to FINRA Rule 3110 supervisory requirements? Do they understand the difference between Reg S-P and Reg S-ID? If the answer to any of those is no, or “I’m not sure,” you don’t have financial services IT. You have general IT support applied to a regulated firm.
“Managed IT is expensive.”
Our published pricing starts at $138 per user per month. For a 30-person firm, that’s roughly $4,140 monthly. Compare that to $5.56 million. The IBM breach cost figure isn’t ours to spin. It’s the industry average across 600 organizations. One incident erases years of IT budget savings.
“Switching providers is too disruptive.”
Understood. That’s why we offer a 120-day satisfaction guarantee with a year-one rate lock. If the transition isn’t working, you walk away. No penalty. The guarantee exists because most firms’ fear of switching is bigger than the actual disruption.
“Our firm is too small to be a target.”
65% of financial services organizations were hit by ransomware last year. Attackers don’t care if you manage $50 million or $5 billion. They care whether your advisor clicked the link.
Definition
Financial Services IT in Dallas, Defined
Three Things That Set Uprite Apart for Financial Firms
SOC 2 Type 1 Certified
Our controls are independently audited. When your FINRA examiner asks about your IT vendor’s security posture, you hand them a report. Not a promise. Backed by our cybersecurity solutions.
Published Pricing, No Guessing
$138 per user per month for fully managed IT. Year-one rate lock. No hidden fees discovered six months in. Every other financial IT provider in Dallas makes you request a quote. We just tell you.
Dallas Office With Real People
5757 Alpha Rd, Suite 530. When a server issue can’t be fixed remotely or an examiner wants to walk through your infrastructure with someone present, we’re 20 minutes away. Not routing from a call center in another state.
What Clients Say
Trusted by Texas Organizations That Cannot Afford Downtime
FAQ
What Dallas Financial Firms Ask First
FINRA, SEC (including Reg S-P and Reg S-ID), SOX Sections 302 and 404, GLBA Safeguards Rule, and PCI DSS for firms processing card payments. Our SOC 2 Type 1 certification covers security, availability, and confidentiality controls. We map your IT environment to the specific regulations that apply to your firm type, not a generic checklist.
$138 per user per month for our fully managed tier, with a year-one rate lock. A 25-person RIA would run roughly $3,450 monthly. A 75-person broker-dealer closer to $10,350. We publish our pricing because financial firms budget carefully and shouldn’t have to sit through a sales call to get a number. The 120-day satisfaction guarantee means you’re not locked in if it isn’t the right fit.
We support Orion, Black Diamond, Tamarac, Morningstar Direct, and most major portfolio management systems. On the custodian side, we work with Schwab, Fidelity, Pershing, and firms navigating TD Ameritrade platform transitions. If your firm uses a specialized platform we haven’t listed, ask. We probably support it or can tell you quickly whether we’re the right fit.
Short answer, we contain first, communicate second, document third. Our incident response protocol isolates affected systems immediately, notifies your designated contacts within a defined timeframe, and begins forensic documentation that aligns with SEC Reg S-P amended notification requirements. We also coordinate with your compliance counsel and, if needed, your custodian. Every step is documented for your regulatory file.
Three things that most competitors can’t match simultaneously. First, SOC 2 Type 1 certification. Ask your current provider if they have one. Second, published pricing starting at $138/user/month. Every other financial IT provider in the DFW market makes you request a quote. Third, a 120-day satisfaction guarantee with a year-one rate lock. We’ve been in business 25+ years with six consecutive MSP 501 rankings because firms stay.
Most firms transition in 3 to 6 weeks, and we handle the coordination with your current provider directly. You don’t need to rip everything out on day one. We typically start with the compliance assessment and security stack, then migrate helpdesk, monitoring, and day-to-day support on a timeline that works for your team. The 120-day guarantee covers the full transition period.
Start Here
Every Week Without Compliant IT Is Another Week of Exposure
FINRA penalties can start at $2,500 per day for ongoing violations. The average financial services breach costs $5.56 million. And the SEC’s amended Reg S-P notification timelines mean firms need incident response plans that are tested and documented before something goes wrong. Not after.
If your firm is operating in the second-largest financial services market in the country without SOC 2-certified IT support, published SLA commitments, and a compliance-mapped technology stack, the risk isn’t theoretical.
It’s a calendar problem.
The question is when, not if.
Or call our Dallas office directly at (469) 699-8766.
What Texas Clients Say About Uprite
Hector and Kareem are super helpful! They are always willing to take on my computer problems even if its small. I had my mouse disappear off my screen, it was an user issue but Hector didn't make me feel small or "dumb" for this error. We love uprite!
I’ve been extremely satisfied with Uprite Services and would recommend them without hesitation. They consistently deliver reliable, high-quality work and truly feel like a true partner rather than just another vendor. A special thank you goes to Arvin Ebueng, he is always quick to respond to our needs and incredibly easy to communicate with. No matter how busy things get, Arvin makes sure we’re taken care of promptly and with a smile. His responsiveness and clear communication have made every interaction smooth and stress-free. Thank you, Arvin and the entire Uprite team, Peerless Equipment is a customer for life!
I'm am not a "tech" person, however the team at Uprite gets me through the technological side of computers and software so that I can function on a daily basis... but the most enduring quality is that they care. Special shoot out to Mary, Sergio, Eufemio, Hector, and Jeff just to name a few... I appreciate each of you and the help you give me.
Gerardo Sanchez was very helpful & professional. Uprite Services has great customer service and outstanding technicians. We have used them for several years and will continue our business with them.
I highly recommend Uprite Services for any business in need of reliable IT support in the Houston area. Their team is incredibly knowledgeable, responsive, and always goes above and beyond to ensure everything runs smoothly. From network management to cybersecurity solutions, they've helped us streamline our operations and avoid potential IT issues before they arise. They are professional, trustworthy, and always ready to provide personalized support. If you're looking for a dependable IT partner for your business, Uprite Services is the way to go!
Great service by Juan and Jacob. Always helping us out at Alamo City Trailer Sales. We have been using this company for over 10 years and always happy with the work they do.
