Your clients trust you with generational wealth.
We make sure your systems deserve that trust.

The SEC's updated Regulation S-P raises the bar on how you protect client data. Three requirements matter most:

• Incident response program: a written, tested plan for handling breaches
• 72-hour vendor notification: service providers must notify your firm within 72 hours of a breach
• 30-day client notification: you must notify affected clients within 30 days of discovering unauthorized access

The compliance date is June 3, 2026 for smaller entities. Your compliance consultant can advise on the regulatory requirements; we handle the technical implementation: making sure your incident response actually works, your breach detection is in place, and your security controls meet the standard.

We map your technical controls to what regulators actually examine. That includes:

• SEC WISP requirements
• Regulation S-P incident response and vendor oversight
• State securities regulator examination priorities
• FINRA requirements (if your firm is also a broker-dealer)
• ABA Rule 1.6 and state data protection requirements (for estate attorneys)

Yes, and most small advisory firms are state-registered. We work with firms regulated by any state securities authority, including Colorado's Division of Securities under DORA. The cybersecurity expectations are similar regardless of your regulator: protect client data, test your recovery, document your controls. We handle that technical piece.

Very much so. Estate attorneys handle some of the most sensitive documents in financial services: wills, trusts, powers of attorney, beneficiary designations. ABA Model Rules 1.1 (competence) and 1.6 (confidentiality) require you to make reasonable efforts to protect that data.

Most estate practices have the same gaps we see in RIAs:

• Untested backups
• Shared credentials
• Unmanaged vendor access

We handle the technical verification; your compliance counsel handles the legal interpretation.

We run a real disaster recovery restore test, not just a checkbox that says "backups exist." You get proof that your recovery actually works, a risk register mapped to your specific regulatory requirements, and a 90-day roadmap you can actually use. Not a 60-page PDF that collects dust.

10 business days from kickoff to readout. Most firms we talk to have been quoted 6-12 months by other providers. Our tight scope and AI-native workflow let us move faster without cutting corners; we just don't waste time on things that don't matter.

Minimal. We use read-only access where possible, schedule any hands-on steps during off-hours, and design the whole process to stay out of your team's way. Your advisors shouldn't even notice we're there.

Absolutely. In fact, that's how we're designed to work. Your compliance consultant handles regulatory strategy and exam prep. Your MSP or IT provider handles day-to-day operations. We fill the gap between them: the cybersecurity assessments, disaster recovery testing, and technical remediation that neither typically covers. We coordinate with everyone and replace no one.

Of course. Many firms take the roadmap and run with it themselves. We hand off cleanly, no lock-in, no guilt trip. If the assessment is all you need, that's a great outcome.

RIAs, estate planning practices, family offices, and impact investing firms with 5 to 150 team members, whether you're SEC-registered or state-registered, typically on Microsoft 365 or Google Workspace. Basically, if you're too small for a full-time CISO but too regulated to wing it, that's exactly who we built this for.

The assessment itself includes a gap analysis against WISP requirements. We show you exactly where you stand. If you engage us for remediation after that, we help build or update your WISP to meet SEC exam expectations: policies, procedures, incident response plans, vendor management docs, the works.

Monthly cadence, month-to-month commitment. Here's what that includes:

• Security posture monitoring
• Vendor technical assessments
• Incident response and recovery verification
• Security control updates

Think of it as having a CISO on retainer without the $200K+ salary.

Depends on firm size and what you're dealing with. Book an intro call and we'll give you a straight number. No runaround, no 'it depends on synergies.' We price fairly and we're transparent about it.