Skip to main content

SEC examiners will ask about your cybersecurity controls.
Will your answers hold up?

Cybersecurity assessments and disaster recovery verification for RIAs. Examination-ready in 10 business days.

Book a 30-Minute Intro Call Or send us a message

Regulation S-P compliance deadline: June 3, 2026. Is your firm ready?

The blind spots examiners find most often

Untested disaster recovery

Most firms have backups. Few have actually tested a full restore. When an examiner asks "when did you last verify your recovery works?" the answer needs to be specific, with documentation.

Vendor blind spots

Your custodian, CRM, and cloud providers all touch client data. Reg S-P now requires expanded oversight of service providers, including breach notification within 72 hours. Can your vendors actually deliver that?

Documentation gaps

Having a WISP is one thing. Having one that reflects what your firm actually does, and would hold up during an examination, is something else entirely.

Incident response that's never been tested

A plan on paper is not the same as a plan that works. If your team has never rehearsed a breach scenario, the first real incident will expose every gap at once.

10-Day Compliance Readiness Assessment

Fixed scope. Fixed fee. Minimal disruption.

SEC Cybersecurity Exam Priorities Regulation S-P Colorado DORA NIST CSF

What we do

  • ✓ Gap analysis mapped to what SEC and state securities examiners actually look for
  • ✓ Real disaster recovery test. We restore your data and prove it works
  • ✓ Vendor risk review with Reg S-P service provider requirements
  • ✓ Prioritized readiness roadmap you can actually execute

What you get

  • • Gap analysis with regulatory mapping
  • • Risk register: prioritized, evidence-backed
  • • 90-day readiness roadmap with owners and deadlines
  • • Readiness maturity scorecard
  • • Disaster recovery report and restore runbook

Your team's time commitment: approximately 3-4 hours over the 10 business days. We handle the rest.

We fill the gap

Your Compliance Consultant

Regulatory strategy, exam prep, Form ADV

Solanasis

Cybersecurity verification, DR testing, vendor risk, remediation

Your IT Provider / MSP

Daily operations, help desk, infrastructure

We coordinate with everyone. We replace no one.

Questions RIAs Ask Us

What is Regulation S-P and why does the June 2026 deadline matter?
The SEC's updated Regulation S-P requires a written incident response program, expanded oversight of service providers handling customer data (including a 72-hour breach notification requirement from service providers to your firm), and notification to 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.
Do you work with our existing compliance consultant?
Absolutely. 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.
What makes this different from a typical IT security review?
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.
How long does the assessment take?
10 business days from kickoff to readout. Your team's time commitment is approximately 3-4 hours total (one intro call, one kickoff meeting, access provisioning, and a readout session). We handle the rest.
Do you work with state-registered advisors?
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.
What does it cost?
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.

Let's see where your firm stands.

Book a 30-minute intro call or send us a message. We'll be straight with you about whether the assessment makes sense for your firm.

By submitting, you agree to our Privacy Policy.

Prefer to talk?

Book a 30-Minute Intro Call

No pitch deck, no pressure. Just a conversation about where you stand.