RIAs
IT and security for advisors under Reg S-P.
The amended Regulation S-P now applies to smaller advisers too: their compliance date was 3 June 2026. The amended rule asks for an incident-response program, oversight of service providers that handle customer information, and notice from those providers within 72 hours of certain breaches.
Your IT provider is the service provider with the most access and the least paperwork. We fix that.
- Fast notice: our incident plan commits us to tell you within 1 hour of a severe incident and within 4 hours of a significant one.
- 24/7 threat detection by a staffed security operations center, and identity monitoring on Microsoft 365.
- Evidence on request: MFA coverage, device encryption, patch status and backup tests, as reports you can share with your compliance team.
- Microsoft 365, done properly: phishing-resistant sign-in for administrators, DMARC enforced, devices managed.
Built for DFW advisors with 10–50 people.