The regulatory backdrop has sharpened. Amended Regulation S-P requirements now require investment advisors to maintain a written incident response program, notify affected clients within 30 days of a breach, and retain related records for five years.¹ The SEC has made clear it will enforce. Smaller RIAs often carry the same compliance obligations as large firms with considerably fewer internal resources to meet them.

The average cost of a data breach in financial services reached $5.56 million in 2025, the second-highest of any industry.² For a smaller practice, the client relationship damage from a disclosed breach can exceed the direct financial cost.

We work with wealth managers and RIAs on two things.

Understanding where your firm is exposed. We assess your email security, client communication workflows, staff access to account platforms, and where your vendor and custodian relationships create risk. The output is a plain-English findings report with prioritised actions. This is our Security Posture & Risk Review, bookable directly.

Turning security into a client-facing asset. For firms where security affects client conversations, prospect trust, or the ability to demonstrate compliance readiness, we help you convert what is typically an internal concern into something you can articulate clearly to clients and prospects. This is our Sales, Compliance & Trust Readiness service.

For ongoing advisory access — a knowledgeable person available for a monthly conversation and questions as they arise between sessions — our SMB Advisory Retainer is available at $750 per month.

Many of the individuals whose portfolios you manage are clients we also serve through our residential practice. If that cross-referral conversation is of interest, we're happy to discuss it.