What does the RIA cybersecurity assessment cover?

We evaluate your SEC Regulation S-P readiness, custodian integration security, MFA coverage, endpoint protection, email security, books and records retention, incident response planning, vendor oversight, and overall audit readiness. You receive a prioritized gap analysis with specific remediation steps.

Is the assessment really free?

Yes. There is no cost and no obligation. You will receive an honest evaluation of your cybersecurity posture and compliance gaps — not a sales pitch.

How long does the assessment take?

The initial meeting is 30 minutes. We focus on your highest-priority compliance and security concerns. If deeper technical discovery is needed, we schedule a follow-up at no additional cost.

Do you work with RIAs of all sizes?

Yes. We serve SMB advisory firms (5-25 employees) with fully outsourced IT and mid-market firms (25-100+) with co-managed IT, vCISO services, and SOC 2 readiness programs.

Will you review our custodian integration security?

Yes. We evaluate how your firm connects to custodian platforms (Schwab, Fidelity, Pershing, etc.), including MFA coverage, conditional access, endpoint security, and session logging on custodian-facing systems.

No obligation — 30 minutes

Free RIA Cybersecurity
Assessment

In 30 minutes, we'll evaluate your firm's cybersecurity posture against SEC, FINRA, and custodian requirements — and give you a prioritized action plan.

What we'll evaluate:

SEC Regulation S-P Readiness

Are your WISP, incident response plan, and breach notification procedures compliant with the 2024 amendments? Can you demonstrate safeguards to an examiner?

Custodian Integration Security

Is MFA enforced on all Schwab, Fidelity, Pershing, and other custodian connections? Are legacy protocols disabled? Are sessions logged?

Identity & Access Controls

Who has access to client data, trading systems, and custodian portals? Is access role-based, reviewed regularly, and revoked promptly at offboarding?

Endpoint & Email Protection

Do all advisor workstations have EDR and disk encryption? Is email protected with DMARC/SPF/DKIM and anti-phishing quarantine?

Books & Records Compliance

Are emails and client communications archived in compliant, tamper-proof formats per SEC Rule 204-2? Can you produce records on demand?

Backup & Incident Response

Are backups encrypted, immutable, and tested? Does your incident response plan include the 30-day client notification required by Reg S-P?

Vendor Risk Posture

Do you inventory vendors, assess their security, and include cybersecurity clauses in contracts? FINRA and SEC examiners check vendor oversight.

Prioritized Gap Analysis

You'll leave with a clear, ranked list of gaps and remediation steps — so you know exactly what to fix first, whether or not you engage Katalism.

Schedule Your RIA Assessment

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No credit card required. 30-minute meeting. No obligation.

Free RIA Cybersecurity Assessment