IT & Cybersecurity for Wealth Management Firms
Protect client trust, satisfy the SEC, and give your advisors technology that keeps up.
Book an RIA Security ReviewOverview
Registered investment advisers and wealth managers hold some of the most sensitive data there is: account numbers, tax returns, estate documents, and the personal details of high-net-worth families. Attackers know it, and so does the SEC.
DeBerry Contracts builds secure, examination-ready technology for advisory firms. We harden Microsoft 365, lock down client communications, and document the incident response and vendor oversight programs that the amended Regulation S-P requires.
Challenges We Solve
- Amended Regulation S-P requires a written incident response program and customer notification within 30 days of a breach.
- Wire fraud and impersonation attempts target advisors and their clients through compromised email.
- Custodians, CRMs, planning tools, and portals each hold client data and must be overseen as service providers.
- Advisors work remotely and on mobile devices that need to be secured without slowing them down.
What We Do
Regulation S-P Program Build-Out
Written incident response program, customer notification templates, and service provider oversight with 72-hour breach notice terms.
Wire Fraud & Email Compromise Defense
Microsoft Defender, phishing-resistant MFA, and verified call-back procedures for every money movement request.
Secure Client Communication
Encrypted email, sensitivity labels, and secure file sharing for statements, tax documents, and estate files.
Vendor & Custodian Oversight
Inventory every system that touches client data, collect security reports, and track due diligence annually.
Advisor Device Management
Entra ID and Intune policies that secure laptops and phones, with remote wipe when a device is lost.
Microsoft Copilot for Advisors
Meeting summaries, client follow-ups, and research with Copilot, configured so client data stays protected.
Who We Serve
Registered Investment Advisers
SEC and state-registered RIAs of every size
Family Offices
Single and multi-family offices protecting family wealth
Financial Planners
Independent planners and planning practices
Hybrid Advisory Firms
Firms working with independent broker-dealers
Frequently Asked Questions
Let's Connect
Talk with a specialist about your wealth management & rias needs.
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What the SEC Expects From Advisory Firms
Every requirement, what it means for your systems, and the quick win that gets you there faster. Open any section to see the details.
SEC Cybersecurity Disclosure Rules & Regulation S-P
The SEC expects firms to detect incidents fast, decide materiality without delay, and prove that cybersecurity is governed from the board down. We build the playbooks, controls, and evidence that make those deadlines achievable.
- Determine whether an incident is material without unreasonable delay after discovery.
- File an 8-K within four business days of a materiality determination.
- Describe the nature, scope, and timing of the incident and its material or reasonably likely impact.
- Amend the filing as information that was unavailable at the time becomes known.
Stand up a disclosure committee and a pre-approved materiality worksheet so the four-day clock never starts from zero.
- Describe processes for assessing, identifying, and managing material cybersecurity risks.
- Disclose whether third-party assessors, consultants, or auditors are engaged.
- Explain how risks from third-party service providers are overseen.
- Describe board oversight and the expertise of management responsible for cybersecurity.
Map your security program to NIST CSF 2.0 and document board briefings quarterly so the annual narrative writes itself.
- Maintain a written incident response program to detect, respond to, and recover from unauthorized access to customer information.
- Notify affected individuals as soon as practicable, and no later than 30 days after becoming aware of a breach of sensitive customer information.
- Oversee service providers, including requiring them to notify you within 72 hours of a breach.
- Keep records demonstrating compliance with safeguards and disposal requirements.
Add a 72-hour breach notice clause to every vendor contract and keep a ready-to-send customer notification template.
Ready to Get Started?
Protect client trust, satisfy the SEC, and give your advisors technology that keeps up.