The June 2026 SEC deadline is passing. Find out if your firm is exposed.
New SEC Regulation S-P requirements take effect June 3, 2026. Every registered investment advisor must have documented cybersecurity policies, incident response programs, and vendor oversight in place.
But SEC examiners don’t just want to see your Written Information Security Policy. They want evidence that the controls actually work. Login logs showing MFA was enforced. Encryption certificates. Incident detection records.
Your compliance officer can write the WISP. We’re the ones who actually turn on the MFA, encrypt the laptops, monitor the logs, and generate the audit trail that proves your policy is real.
Most RIAs we audit have policies on paper but can’t produce the technical evidence SEC examiners want to see. A free 30-minute review shows you exactly what’s missing.
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Years Driving Business Growth Through Strategic IT
Breach notification already standard
Managed Service Provider in Virginia
Your compliance consultant wrote the policies. But can you prove the controls actually work?
✅ A compliance consultant who wrote policies
✅ Microsoft 365 subscriptions
✅ An MSP who “handles IT”
Sound about right? That’s what most firms tell us.
❌ MFA enabled for some users, not others
❌ Client data across personal OneDrives and local drives
❌ No centralized logging or monitoring
❌ No tested incident response plan
❌ No evidence trail for SEC examination
❌ No exportable evidence package ready for an examiner request
We don’t just manage IT. We deliver audit-ready compliance infrastructure.
We already do this for defense contractors under DFARS. We have the monitoring infrastructure, incident response protocols, and reporting systems built into how we operate. We can sign your Reg S-P service provider agreement without hesitation.
Most of our advisory clients manage $200M–$800M in assets with teams of 5–50 people. Large firms treat small RIAs like an afterthought. We specialize in firms exactly your size.
Cyber insurers are tightening requirements for RIAs every renewal cycle. MFA enforcement, endpoint detection, access logging, and incident response plans are increasingly non-negotiable for maintaining coverage. These controls are already part of our standard implementation, so your firm stays insurable without scrambling before each renewal.
We specialize in CMMC compliance for defense contractors under NIST SP 800-171 — one of the most rigorous cybersecurity frameworks in existence. The technical controls for SEC compliance are nearly identical.
Most RIAs are already paying for Microsoft 365 but only using email and file storage. Instead of selling you a separate security stack, we activate the compliance and security tools already included in your subscription — so implementation costs less than you’d expect.
Microsoft Purview for data classification. Defender for endpoint protection. Sentinel for threat monitoring. Conditional Access for enforcing MFA. Secure Score for tracking your security posture over time. These tools are already in your subscription — they just need to be configured and monitored.
We’re taking our proven approach to protecting defense secrets and applying it to financial privacy.
| Defense Contractor Requirement | Investment Advisor Equivalent |
|---|---|
| CUI data scoping | Reg S-P data mapping — we identify where client SSNs and account data actually live |
| FIPS 140-2 encryption | Reg S-P technical safeguards — same encryption standard SEC examiners check |
| System Security Plan | Reg S-P written policy implementation — proof your WISP reflects what your systems actually do |
| 72-hour DoD breach reporting | 72-hour service provider notification — already built into our operations |
| Incident response plan (DFARS) | 30-day SEC notification readiness — incident timeline documentation ready on demand |
From data mapping through five-year record retention — we handle the full technical lifecycle
We identify where your non-public information actually lives using Microsoft Purview for automated classification. Most firms discover client data in places they didn’t expect — old laptops, personal OneDrive accounts, archived PST files. Purview generates the data inventory report SEC examiners request, so you’re not building it from scratch when an examination notice arrives.
We build and test your IR plan, deploy Defender and Sentinel for 24/7 monitoring, and handle detection, forensics, containment, and evidence collection. You get a complete incident timeline — the documentation SEC examiners require to verify you met the 30-day notification requirement for affected individuals.
We baseline your security posture with Microsoft Secure Score, then implement MFA with conditional access, DLP rules, encryption standards, and access control hierarchies. We produce the configuration exports that show examiners your policy isn’t just on paper — every control your WISP describes is reflected in your actual system settings.
Real-time monitoring with contractual 72-hour notification. Automated five-year record retention with the first two years immediately accessible for SEC examinations. When an examiner requests records, we can produce them the same day. Documentation stays available for the full retention window, then is securely purged.
We implement the technical controls your compliance policies require. You maintain the regulatory relationships and business policies.
CASE STUDY
When a new partner stepped into a leadership role at a Northern Virginia wealth management firm, he assessed the IT environment and found serious gaps. Every business document was stored in the founding partner’s personal OneDrive — and the firm had already lost files when a previous partner departed. There was no centralized device management, no multi-factor authentication, and computers running Windows 10 were approaching end-of-life.
Being affiliated with LPL Financial added a compliance wrinkle. The firm’s email had to be archived through Smarsh for broker-dealer requirements, which split control of the email system. Key security features only worked on the Microsoft 365 side, leaving gaps the firm couldn’t easily fix.
Over two months, E-N Computers built a compliance-ready foundation using Microsoft 365 Business Premium: identity management through Entra ID, zero-touch device provisioning with Autopilot and Intune, endpoint protection with Defender, and centralized file storage in SharePoint with proper retention policies. To keep costs down, the firm handled physical equipment deployment themselves — made possible by the Autopilot configuration we’d set up.
The project came in under the original $6,500 budget. The firm now has audit-ready infrastructure, centralized file continuity that survives staff transitions, and E-N Computers as an ongoing managed IT provider and virtual CIO.
Nearly 30 years in business means we’ve helped companies through multiple technology transformations and regulatory changes.
CMMC compliance expertise applied to financial services. The same controls that protect military secrets now protect your clients’ data.
We generate the technical proof SEC examiners want to see — not checkbox theater, but live configuration reports and access logs.
Total implementation: 3–4 months.
Data mapping & scoping
Technical implementation
Testing & documentation
Policy refinement
Regulation S-P requires RIAs to implement documented cybersecurity policies, incident response programs, and vendor oversight. Firms under $1.5B AUM must comply by June 3, 2026.
Your compliance consultant writes the policies. We implement the technical controls those policies require and generate the audit-ready evidence that proves they work during SEC examinations.
Most MSPs won’t contractually commit to 72-hour breach notification. We already meet this standard for defense contractors and have the monitoring infrastructure built into our operations.
Managed IT starts at $125/user/month. Full SEC compliance implementation takes 3–4 months. Use our pricing calculator for a detailed estimate based on your team size.
Yes. We maximize the compliance and security tools already included in your M365 subscription — Purview, Defender, Sentinel, Conditional Access — instead of selling you a separate security stack.
Live configuration reports from Microsoft 365 showing MFA enforcement, access logs, encryption certificates, DLP policy status, Secure Score history, and incident detection records — all exportable on demand.
Yes. Cyber insurers are requiring more from RIAs every year — MFA on all accounts, endpoint detection and response, access logging, tested incident response plans, and employee security training. These are the same controls we implement for SEC compliance readiness, so you don’t need a separate project to satisfy your insurer. We can also generate the documentation insurers request during applications and renewals, including proof of MFA enforcement, encryption status, and monitoring coverage.
/user/month for growth-focused managed IT — no long contracts, 30-day notice
Ready to transform technology from a cost center into a competitive weapon?
No sales pressure. Walk away knowing exactly where you stand — and what an examiner would find today.
How can we help?
