Blogs

Cybersecurity Framework 2.0 works best as a structured way to assign ownership, assess gaps, and build evidence that a firm actually manages its cybersecurity risks rather than just claiming to.

Microsoft 365 and Google Workspace can both support an RIA's SEC obligations, but neither platform makes your firm compliant on its own.

A solid business continuity plan template for RIAs gives you a fill-in-the-blanks document that names who acts, what recovers first, and how clients stay informed, built around your firm's actual size and operations rather than a generic checklist.

A cyberattack at a small advisory firm rarely starts with a dramatic breach. It usually starts with one employee clicking a link, one vendor losing a password, or one laptop left unlocked. FINRA has spent years documenting these patterns, and its Small Firm Cybersecurity .

Strong email security for RIA firms means locking down Microsoft 365, verifying every payment request, and keeping proof of your controls for regulators — not just installing spam filters and hoping for the best.

A vulnerability assessment scans your systems for known weaknesses and hands you a prioritized list. A penetration test goes further: a skilled tester tries to actually break in, using those weaknesses to see how far an attacker could get.

A well-run cybersecurity risk assessment for RIAs gives you a ranked, documented picture of your firm's real exposure, so decisions about budget, staffing, and policy are based on evidence instead of guesswork.

Every RIA examiner request starts the same way: produce the emails. Choosing between Smarsh, Global Relay, and Microsoft for compliance email archiving comes down to how much retrieval, supervision, and eDiscovery work you want your archive to handle on its own versus how much your compliance team will manage manually.

you manage technology decisions for a Registered Investment Advisor, you've likely had this conversation more than once: which video platform actually keeps client conversations safest, Zoom, Microsoft Teams, or Cisco Webex?