CyberSecureRIA designs, implements, and supports Registered Investment Advisor security programs end to end. Since 2010, our local team of certified technicians (Microsoft, CompTIA, GIAC) has helped advisory firms protect client data, satisfy exam expectations, and keep operations running. We blend practical security controls with clear documentation, so your cybersecurity solutions for registered advisors work day to day and stand up in an exam.

Why RIA Firms Require Specialized Cybersecurity

RIAs carry a unique risk profile: high-value client information, authority to move money, cloud-first toolsets, and a vendor-heavy ecosystem—under SEC oversight and state privacy/breach rules. A breach can spiral into wire fraud, account takeover, and reputational harm, with findings tied to SEC Rule 206(4)-7 cyber requirements and related safeguards expectations. Specialized cybersecurity services for RIA firms address the realities of advisor workflows, client communications, and third-party dependencies—reducing both operational and regulatory exposure.

Meet CyberSecureRIA – Your Local Cybersecurity Ally

We’re close to the firms we serve—on the ground with your staff, your custodians, and your vendors. Our RIA-focused engineers bring real experience with Microsoft 365/Entra, Google Workspace, advisor CRMs, e-signature, and custodial portals. That proximity and expertise let us deliver right-sized outcomes quickly: fewer buzzwords, more measurable protection, and fast support when you need it.

Core Cybersecurity Services We Offer

Every engagement is tailored to your size, risk, and technology stack, with a focus on evidence you can show examiners.

  • Risk assessment services for RIAs and cybersecurity reviews for advisory firms
  • Policy and procedure development mapped to SEC expectations
  • Incident response RIA firm support, including playbooks and on-call guidance
  • Cybersecurity awareness training and phishing simulations with tracked results
  • Continuous monitoring and compliance monitoring for RIA firms with clear reporting

 

RIA-Focused Risk Assessment & Gap Analysis

We start by mapping where your risk concentrates—client NPI/PII, custodial links, money movement, and vendor access—then prioritize fixes that change outcomes fast. You’ll receive a concise gap analysis, a remediation plan with owners and timelines, and metrics to show progress quarter over quarter. This is the foundation for Registered Investment Advisor security programs that are practical and defensible.

Cybersecurity services for RIA firms

Customized Policy & Procedure Creation

We write policies that fit your firm’s structure, tools, and regulatory obligations—clear, concise, and executable. Each document maps to what exam teams expect to see, from safeguards and access control to vendor oversight and incident handling. Policies tie directly to settings in your environment, aligning daily practice with compliance mandates.

Cybersecurity Awareness Training for RIA Teams

People catch most attacks. We deliver short, role-specific training and optional simulated phishing, then track completion and improvement over time. Advisors, client service, operations, and leadership learn how to spot social engineering, verify money movement, handle client data, and report issues without delay. Results roll into your evidence pack.

Incident Response Planning & Simulation

We develop an RIA incident response plan you can run under pressure: who leads, who approves, who communicates, and how to coordinate with custodians and vendors. Tabletops rehearse realistic scenarios—compromised mailbox, misdirected data, suspicious wire—so you can refine procedures and tighten response times. When something happens, you’ll move fast and document every step.

Continuous Monitoring & Compliance Oversight

Compliance doesn’t live in a binder. We set up lightweight monitoring, routine checks, and evidence collection that scale with your firm. You’ll see MFA coverage, access reviews, patch and backup status, and policy acknowledgments in one place—aligning operations with compliance monitoring for RIA firms and the spirit of SEC Rule 206(4)-7 cyber requirements.

Technology Integration & Security Tools

Our services mesh with what you already use, turning policy into enforcement and visibility into action.

  • Client data encryption strategies across email, endpoints, and cloud storage
  • MFA and conditional access tuned to risk, with clean offboarding workflows
  • Endpoint protection/EDR, device encryption, and auto-patching baselines
  • Email security, DLP, and safe-sharing controls mapped to policy
  • Centralized logging for faster investigations and simpler reporting

 

Local RIA Success Stories

A 17-person hybrid RIA cut phishing click-through from 12% to 1.8% in 90 days and passed its next exam with no cybersecurity findings after we aligned policies, trained staff, and enforced MFA/conditional access.
A 9-person boutique firm blocked a fraudulent wire attempt after deploying mailbox anomaly alerts and a quick-verify process; incident time-to-contain dropped from hours to under 20 minutes.
A 30-person multi-office RIA reduced audit prep time by 60% with a consolidated evidence pack—policies mapped to obligations, access reviews, backup tests, and training logs—streamlining examiner requests.

If you want a partner who understands advisors and delivers results you can measure—strong protection, smoother exams, and responsive support—let’s talk. CyberSecureRIA can help you design the most detailed secure plan, integrate it with your technology, and support your team day to day through our help desk.

Get support and start building your plan: https://www.cybersecureria.com/help-desk/