Cybersecurity for Financial Advisors and Wealth Management Firms
Registered investment advisers and broker-dealers now field cybersecurity questions from examiners, custodians and clients in the same month. cAIberOps runs managed email, endpoint and AI security that supports the safeguards in SEC Regulation S-P, and documents it monthly for a firm with no security staff. Nationwide, including Washington DC, Northern Virginia, and Maryland.
What Regulation S-P and your clients ask about
The amended rule's safeguards and incident-response expectations map to controls a managed service runs; your CCO decides how they apply to your firm.
Safeguards on customer information
Email protection with account takeover detection, endpoint protection on each advisor's laptop, and the posture report on your tenant's MFA, forwarding rules and app permissions are the practical safeguards.
Incident response and notification
When something gets through we investigate with no time cap and write it up, which is the record your incident response program and any notification decision rest on.
Service-provider oversight and AI use
Examiners ask about the vendors with access to client data and about AI acceptable-use policies. We are one vendor with a clear agreement; AI security enforces the AI usage policy you set.
We run controls that support these frameworks and document what we did. We do not certify, audit, write your policies or guarantee compliance; that is your assessor's or counsel's role.
Financial firms we protect
Registered investment advisers (RIAs)
Small teams with custodian portals, client statements and wire requests in the inbox. Click-time link checks and account takeover detection protect the mailbox that moves money.
Broker-dealers and registered representatives
Representatives on their own devices and shared mailboxes with the home office. Endpoint protection per device; email protection per user.
Wealth management and family offices
Highly personal client data and a small staff that attackers research by name. Email protection plus awareness training and dark web monitoring for leaked credentials.
Independent and solo advisors
One person, one laptop, one mailbox, the same obligations. Managed email and endpoint protection priced per user and per endpoint, no minimum.
How cAIberOps (SY-ber-ops) protects you
Three managed services, priced per user or per endpoint, the same in each sector.
Managed Email Security
Zero-day sandboxing, attachment cleaning, click-time link checks and account takeover detection on Microsoft 365 or Google Workspace, with the quarantine reviewed seven days a week and whatever gets through investigated with no time cap. Starts at $6.40 per user per month.
Managed Email SecurityManaged Endpoint Protection
Anti-ransomware with file rollback, behavioral analysis, sandboxing for downloads and USB control on each device, with alerts investigated by us. Starts at $8 per endpoint per month.
Managed Endpoint ProtectionManaged AI Security
Discovery of the AI tools your staff use, data loss prevention for prompts and uploads, and policy enforcement, so client data stays out of personal AI accounts. Starts with a free Shadow AI Discovery.
Managed AI SecurityOptions such as Security Awareness Training and Dark Web Monitoring are added to a managed service and quoted on the call. See the full list of options on the Services page.
Starts-at prices: the email figure reflects the current offer, with terms on the Managed Email Security page; endpoint and bundle coverage is scoped on the call. Monthly prices, billed yearly.
Why financial advisors & wealth management choose cAIberOps
- Price-beat guarantee on licenses: send the written quote you hold and we beat it, like for like
- No onboarding fee, no multi-year contract, simple yearly subscription
- Human review of the quarantine seven days a week, with no time cap on investigations
- SaaS security posture report of your Microsoft 365 or Google Workspace tenant in the first 90 days, no charge
- One monthly report written for your insurer, your clients' questionnaires and your board
- Plain-English answers from the people who run your tools, 24/7 support
Start with a 15-minute call
Tell us how many people and devices you have, what you run today and what your clients or insurer have asked for. We come back with a scope and a price, or a beaten quote if you only need the license.
Talk to us about Reg S-P safeguards
Nationwide, remote delivery. McLean, VA.
Questions from financial advisors & wealth management
What size businesses do you work with?
Small and medium businesses and nonprofits, typically 10 to 500 employees, nationwide. Pricing is per user or per endpoint, so a 12-person firm and a 300-person firm pay the same rate.
Can you write our cybersecurity policies or WISP?
No. We do not write compliance policies, WISPs or System Security Plans. The one policy we do write with you is the AI acceptable-use policy, as part of Managed AI Security, because we enforce it. Compliance consulting is your CCO's or counsel's work; the monthly report gives them evidence to cite.
Do you require long-term contracts?
No. A simple yearly subscription with no onboarding fee and no multi-year contract.
Do you handle AI acceptable-use questions from examiners?
Managed AI Security enforces the AI usage policy you set and reports monthly on what was caught; that is the answer in writing.
Talk to us about security for financial advisors & wealth management.
One call, 15 minutes, no slides. Managed services priced per user or per endpoint, or a beaten quote on the license alone.