Cybersecurity Consulting for RIAs and BDs
Cybersecurity Consulting Services for SEC & FINRA-Regulated Firms
Our Purpose-Built Solution for Investment Advisers, Broker-Dealers, and Financial Institutions
Our Cybersecurity Consulting Services provides senior-level cybersecurity leadership on a ongoing advisory basis—without the cost of a full-time executive.
For Registered Investment Advisers (RIAs) and Broker-Dealers (BDs), our services ensure your cybersecurity program is regulator-aligned, risk-based, and properly governed, providing you with cybersecurity leadership.
Our Cybersecurity Consulting Service is specifically designed for SEC and FINRA-regulated firms, providing independent, conflict-free guidance tailored to your business model, size, and technology stack.
Who Our Cybersecurity Consulting Services Are Designed For
The ideal fit for:
✔ RIAs without an internal cybersecurity leader
✔ Broker-Dealers needing formal oversight and governance
✔ Firm with complex vendor and custodian relationships
✔ Firms preparing for or who have recently undergone an SEC or FINRA exam
✔ Firms lacking time to oversee MSP/IT provider activities
✔ Firms expanding operations or opening new offices
✔ Firms that need strategic cyber leadership
We oversee your cybersecurity framework, which may often be fragmented and time consuming for management to oversee, ensuring you meet regulatory expectations and deliver structured, defensible cybersecurity controls.
WHAT YOU RECEIVE WITH OUR CYBERSECURITY CONSULTING
✔ Ongoing Cyber Leadership
✔ Annual Cybersecurity Program Review
✔ Full Cyber Governance Documentation
✔ Vendor Oversight & MSP Coordination
✔ Continuous Risk Monitoring
✔ Prioritized Remediation Roadmap
IDEAL FOR FIRMS WHO WANT TO:
- Strengthen cybersecurity maturity
- Reduce regulatory & operational risk
- Prepare for SEC or FINRA exams
- Demonstrate oversight to clients, investors, and custodians
- Add cybersecurity leadership without hiring full-time
- Improve coordination between compliance, IT, and operations
WHY CHOOSE US?
- Investment Industry Expertise
- Independent & Conflict-Free
- Regulator-Aligned
- Clear, Practical, Business-Friendly Guidance
- Right-Sized for Firms of All Sizes