Wealth Management Firm Strengthens Security Posture
The Challenge
A growing RIA with $2B AUM needed to upgrade their cybersecurity to meet SEC requirements and protect sensitive client financial data from increasingly sophisticated threats.
Key Issues Identified:
- SEC examination revealed security gaps requiring immediate attention
- No formal incident response plan or business continuity strategy
- Client data spread across multiple unsecured systems
- Employees using personal email for client communications
- No vendor risk management program
- Unable to demonstrate security controls to institutional clients
Our Solution
Deployed enterprise-grade security stack including EDR, email security, MFA across all systems, and achieved SOC 2 Type II certification with ongoing compliance monitoring.
Phase 1: Security Assessment
3 weeksGap analysis against SEC requirements and SOC 2 framework, penetration testing, risk assessment.
Phase 2: Security Infrastructure
6 weeksDeployed EDR, implemented email archiving, established secure client portal, MFA everywhere.
Phase 3: Compliance Framework
8 weeksPolicy development, vendor management program, employee training, SOC 2 readiness preparation.
Phase 4: SOC 2 Certification
12 weeksSOC 2 Type II audit preparation and successful completion with clean report.
Technologies Implemented:
“Our clients trust us with their life savings. Techvera gives us the security infrastructure to honor that trust. The SOC 2 certification has actually become a competitive advantage - institutional clients specifically ask about it.”
Services Provided
Related Case Studies
Trading Firm Achieves Zero-Downtime Operations
A high-frequency trading operation needed bulletproof infrastructure where every second of downtime meant significant financial losses.
HealthcareMulti-Location Healthcare Practice Achieves HIPAA Compliance
A 12-location specialty medical practice was struggling with inconsistent IT support, compliance gaps, and security vulnerabilities that put patient data at risk.