CyberProtection: RIA Cybersecurity Services
CyberProtection:
RIA Cybersecurity Services
Cyber Protection: RIA Cybersecurity Services
Managed Security
& Compliance
Managed Cybersecurity & Compliance
Managed Cybersecurity
& Compliance
Secure your RIA's future and stay current with regulatory mandates by leveraging our comprehensive RIA cybersecurity services. Leverage a cybersecurity solution carefully crafted to address the many rules, requirements, and threats your firm faces.
We provide the necessary managed security, essential compliance support, and the deep industry expertise you need to stop worrying about threats and start managing risk with confidence. We don’t take a generic, multi-industry approach. Instead, we’re proud to provide compliance and cybersecurity for RIA firms.
Our base cybersecurity and compliance for RIAs service is engineered to maintain a robust and compliant RIA environment through continuous System Security Monitoring (checking patches, antivirus, and encryption daily), Managed Anti-Virus with centralized reporting across all endpoints, and Endpoint Detection and Response (EDR) for continuous surveillance and proactive threat hunting to meet local logging requirements.
Let our team of experienced, skilled, and knowledgeable specialists manage state and SEC cybersecurity and compliance obligations, while you and your team focus on the core needs of your business and your clients.
Secure your RIA's future and stay current with regulatory mandates by leveraging our comprehensive RIA cybersecurity services. Leverage a cybersecurity solution carefully crafted to address the many rules, requirements, and threats your firm faces.
We provide the necessary managed security, essential compliance support, and the deep industry expertise you need to stop worrying about threats and start managing risk with confidence. We don’t take a generic, multi-industry approach. Instead, we’re proud to provide compliance and cybersecurity for RIA firms.
Our base cybersecurity and compliance for RIAs service is engineered to maintain a robust and compliant RIA environment through continuous System Security Monitoring (checking patches, antivirus, and encryption daily), Managed Anti-Virus with centralized reporting across all endpoints, and Endpoint Detection and Response (EDR) for continuous surveillance and proactive threat hunting to meet local logging requirements.
Let our team of experienced, skilled, and knowledgeable specialists manage state and SEC cybersecurity and compliance obligations, while you and your team focus on the core needs of your business and your clients.
What Our Clients Say
What Our
Clients Say
What Our
Clients Say
"Best Decision Ever! My choice to hire AdvisorLaw was, without a doubt, the best career choice that I have ever made. The team is stacked with powerful, relentless, intelligent, and compassionate professionals. Thank you, AdvisorLaw, for giving my career the turbocharge that I never knew it could get!!"
- Bruce Kriens⭐⭐⭐⭐⭐
"AdvisorLaw has been diligent in helping us through our compliance. They have a good process and they follow up regularly. Our entire team is very much in tune with the compliance requirements. I recommend them highly to fellow RIAs."
- Raj Rajendran ⭐⭐⭐⭐⭐
"Have worked in detail with the team of Erika and Wren to create and file ADVs. Doc Kennedy has supported along the way on legal issues. Great firm to work with, would highly recommend them for any advisor drafting documents or needing ongoing compliance support."
- Shane Farina ⭐⭐⭐⭐⭐
"Michelle Atlas-Quinn at Advisor Law is an extremely talented Attorney. I consider her my "Corporate Guardian Angel"
- Brad Tiche⭐⭐⭐⭐⭐
"Advisor Law knew exactly what needed to be done...I've recommended the firm to several former colleagues... and wd do so again...many thanks to you all."
- John Brewer⭐⭐⭐⭐⭐
"Advisor Law has been a great resource and advocate for me as a professional. Through countless conversations and a successful engagement, they have acted as true professionals delivering perfect results along the way. Thank you!"
- Travis Jeffrey⭐⭐⭐⭐⭐
"Very professional. Everyone called when they said they would call. There was plently of follow up and follow through. Effective communication made this very easy for me! Thank you!"
- Lisa Murray⭐⭐⭐⭐⭐
"The team at Advisor Law is great!"
- Kevin Pentz⭐⭐⭐⭐⭐
What Our Clients Say
What Our
Clients Say
What Our
Clients Say
"Best Decision Ever! My choice to hire AdvisorLaw was, without a doubt, the best career choice that I have ever made. The team is stacked with powerful, relentless, intelligent, and compassionate professionals. Thank you, AdvisorLaw, for giving my career the turbocharge that I never knew it could get!!"
- Bruce Kriens⭐⭐⭐⭐⭐
"AdvisorLaw has been diligent in helping us through our compliance. They have a good process and they follow up regularly. Our entire team is very much in tune with the compliance requirements. I recommend them highly to fellow RIAs."
- Raj Rajendran ⭐⭐⭐⭐⭐
"Have worked in detail with the team of Erika and Wren to create and file ADVs. Doc Kennedy has supported along the way on legal issues. Great firm to work with, would highly recommend them for any advisor drafting documents or needing ongoing compliance support."
- Shane Farina ⭐⭐⭐⭐⭐
"Michelle Atlas-Quinn at Advisor Law is an extremely talented Attorney. I consider her my "Corporate Guardian Angel"
- Brad Tiche⭐⭐⭐⭐⭐
"Advisor Law knew exactly what needed to be done...I've recommended the firm to several former colleagues... and wd do so again...many thanks to you all."
- John Brewer⭐⭐⭐⭐⭐
"Advisor Law has been a great resource and advocate for me as a professional. Through countless conversations and a successful engagement, they have acted as true professionals delivering perfect results along the way. Thank you!"
- Travis Jeffrey⭐⭐⭐⭐⭐
"Very professional. Everyone called when they said they would call. There was plently of follow up and follow through. Effective communication made this very easy for me! Thank you!"
- Lisa Murray⭐⭐⭐⭐⭐
"The team at Advisor Law is great!"
- Kevin Pentz⭐⭐⭐⭐⭐
Documentation, Training,
& Regulatory Support
Documentation, Training,
& Regulatory Support
Documentation, Training, & Regulatory Support
AdvisorLaw offers tailored ongoing regulatory compliance solutions for both SEC and state-registered RIAs. Our seasoned team of attorneys and specialists navigates the complex regulatory landscape for you, providing proactive strategies to minimize business risk and maintain optimal compliance.
Whether you need fundamental support or extensive compliance management, we tailor our services to your firm's unique demands. Enhance your operations with AdvisorLaw's Nexus Enterprise Platform, which centralizes crucial compliance tasks into one streamlined system. Nexus automates workflows and furnishes vital insights, enabling RIAs to concentrate on delivering top-tier client service while adhering to regulatory standards.
AdvisorLaw offers tailored ongoing regulatory compliance solutions for both SEC and state-registered RIAs. Our seasoned team of attorneys and specialists navigates the complex regulatory landscape for you, providing proactive strategies to minimize business risk and maintain optimal compliance.
Whether you need fundamental support or extensive compliance management, we tailor our services to your firm's unique demands. Enhance your operations with AdvisorLaw's Nexus Enterprise Platform, which centralizes crucial compliance tasks into one streamlined system. Nexus automates workflows and furnishes vital insights, enabling RIAs to concentrate on delivering top-tier client service while adhering to regulatory standards.
Our services extend beyond technology so that your documentation and personnel are fully prepared. We assist in preparing essential documents to demonstrate due care and due diligence, including updating your Written Information Security Program (WISP), verifying "no open port" requirements, and creating both Hardware and PII Inventories. We also conduct reviews of user access/MFA status, network architecture, and data back-up strategies. Crucially, we deliver continuous Security Awareness Training via interactive modules and periodic phishing campaigns to minimize human error. Finally, we provide Annual Regulatory Review Assistance and ongoing access to our full policy library, helping you satisfy cybersecurity requirements and maintain a right-sized, compliant security posture.
AdvisorLaw offers tailored, flat-rate, ongoing regulatory compliance solutions for both SEC and state-registered RIAs.
Our seasoned team of attorneys and specialists navigates the complex regulatory landscape for you, providing proactive strategies to minimize business risk and maintain optimal compliance. With a trusted partner handling complex compliance requirements, it’s easier for you to serve as an effective RIA.
Enhance your operations with AdvisorLaw's Nexus enterprise platform, which centralizes crucial compliance tasks into one streamlined system. Nexus automates workflows and furnishes vital insights, enabling RIAs to concentrate on delivering top-tier client service while adhering to regulatory standards.
AdvisorLaw offers tailored, flat-rate, ongoing regulatory compliance solutions for both SEC and state-registered RIAs.
Our seasoned team of attorneys and specialists navigates the complex regulatory landscape for you, providing proactive strategies to minimize business risk and maintain optimal compliance. With a trusted partner handling complex compliance requirements, it’s easier for you to serve as an effective RIA.
Enhance your operations with AdvisorLaw's Nexus enterprise platform, which centralizes crucial compliance tasks into one streamlined system. Nexus automates workflows and furnishes vital insights, enabling RIAs to concentrate on delivering top-tier client service while adhering to regulatory standards.
AdvisorLaw offers tailored, flat-rate, ongoing regulatory compliance solutions for both SEC and state-registered RIAs. Our seasoned team of attorneys and specialists navigates the complex regulatory landscape for you, providing proactive strategies to minimize business risk and maintain optimal compliance.
Our services extend beyond technology so that your documentation and personnel are fully prepared. We assist in preparing essential documents to demonstrate due care and due diligence, including updating your Written Information Security Program (WISP), verifying "no open port" requirements, and creating both Hardware and PII Inventories. We also conduct reviews of user access/MFA status, network architecture, and data back-up strategies. Crucially, we deliver continuous Security Awareness Training via interactive modules and periodic phishing campaigns to minimize human error. Finally, we provide Annual Regulatory Review Assistance and ongoing access to our full policy library, helping you satisfy cybersecurity requirements and maintain a right-sized, compliant security posture.
Enhance your operations with AdvisorLaw's Nexus enterprise platform, which centralizes crucial compliance tasks into one streamlined system. Nexus automates workflows and furnishes vital insights, enabling RIAs to concentrate on delivering top-tier client service while adhering to regulatory standards.
Stay Ahead Of The Curve
Stay Ahead Of
The Curve
FINRA Panel Grants Expungements Of Groundless Forgery Allegation
5 Areas Regulators Are Scrutinizing This ADV Season
FINRA Panel Awards Expungement, Erasing Meritless Complaint Over Unsolicited Outside Investment
Key Takeaways From SEC 2026 Examination Priorities
Fidelity Manager Challenges “Misleading” U5 Disclosure Over System Credential Sharing
Stay Ahead Of
The Curve
FINRA Panel Grants Expungements Of Groundless Forgery Allegation
5 Areas Regulators Are Scrutinizing This ADV Season
FINRA Panel Awards Expungement, Erasing Meritless Complaint Over Unsolicited Outside Investment
Key Takeaways From SEC 2026 Examination Priorities
Fidelity Manager Challenges “Misleading” U5 Disclosure Over System Credential Sharing
Stay Ahead Of
The Curve
Stay Ahead Of The Curve
FINRA Panel Grants Expungements Of Groundless Forgery Allegation
5 Areas Regulators Are Scrutinizing This ADV Season
FINRA Panel Awards Expungement, Erasing Meritless Complaint Over Unsolicited Outside Investment
Key Takeaways From SEC 2026 Examination Priorities
Fidelity Manager Challenges “Misleading” U5 Disclosure Over System Credential Sharing
Meet Your Experts
Meet Your Experts
Noah Baum
Executive Assistant
Cody Branson
Compliance Analyst
Sara Bries
Compliance Analyst
Lindsay Fields
Compliance Analyst
Samantha Fow, J.D.
Associate Attorney
Shannon Hemphill
Compliance Analyst
Jake Jacobsen, J.D.
Senior Associate
Samira Kadam
Compliance Analyst
Joseph Keep
Compliance Analyst
Jason Kirkland
Executive Director
Taylor Lowery
Compliance Analyst
Amy Luna
Account Development
Representative
Samuel Lyman
Compliance Analyst
Liz Manteau
Senior Compliance Analyst
Janet Messer
Senior Compliance Analyst & Senior Nexus Specialist
Kelly Myers
Compliance Analyst
Tim Monaco
Compliance Analyst
Ainsley Norman
Nexus Specialist
Courtney Raymond
Director of RIA Development
Dave Reichert
Senior Compliance Analyst
Ruth Thortvedt
Senior Compliance Analyst
Matt Tuerk, J.D.
Contract & Client Services
Specialist Associate
Molly Wheeler
Compliance Analyst
Petra Zunt
Compliance Consultant
Meet Your Experts
Meet Your Experts
Noah Baum
Executive Assistant
Cody Branson
Compliance Analyst
Sara Bries
Compliance Analyst
Lindsay Fields
Compliance Analyst
Samantha Fow, J.D.
Associate Attorney
Shannon Hemphill
Compliance Analyst
Jake Jacobsen, J.D.
Senior Associate
Samira Kadam
Compliance Analyst
Joseph Keep
Compliance Analyst
Jason Kirkland
Executive Director
Taylor Lowery
Account
Development
Representative
Amy Luna
Account
Development
Representative
Samuel Lyman
Compliance Analyst
Liz Manteau
Senior Compliance Analyst
Janet Messer
Senior Compliance Analyst & Senior Nexus Specialist
Kelly Myers
Compliance Analyst
Tim Monaco
Compliance Analyst
Ainsley Norman
Nexus Specialist
Courtney Raymond
Director of
RIA Development
Dave Reichert
Senior Compliance Analyst
Ruth Thortvedt
Compliance Analyst
Matt Tuerk, J.D.
Contract & Client Services Specialist Associate
Molly Wheeler
Compliance Analyst
Petra Zunt
Compliance Consultant
Frequently Asked Questions
Frequently Asked Questions
The SEC now mandates that RIAs maintain written incident response programs and oversee service provider security. Our CyberProtection service builds this foundation for you. We provide the required documentation, incident response templates, and vendor oversight protocols. By utilizing our Nexus platform, you can centralize these compliance tasks, so that you meet the 30-day client notification and 72-hour vendor breach reporting requirements.
If a threat is detected, our EDR system triggers an immediate response to contain the incident. Beyond the technical fix, our team of attorneys and specialists steps in to navigate the "regulatory headache." We help you execute your Incident Response Plan, determine if the breach meets the "materiality" threshold for reporting, and guide you through the mandatory client notification process to minimize reputational and legal risk.
Request a Private Consultation
Request a Private Consultation