Financial Services

Wealth Management Firm Strengthens Security Posture

LocationNew York, NY

Team Size45 financial advisors and staff

Timeline4 months

Security incidents since deployment

Zero breaches or data exposures

SOC 2

Type II certification achieved

Clean audit report on first attempt

99.9%

System uptime maintained

Exceeding industry benchmarks

45%

Faster client onboarding

Streamlined secure document exchange

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 weeks

Gap analysis against SEC requirements and SOC 2 framework, penetration testing, risk assessment.

Phase 2: Security Infrastructure

6 weeks

Deployed EDR, implemented email archiving, established secure client portal, MFA everywhere.

Phase 3: Compliance Framework

8 weeks

Policy development, vendor management program, employee training, SOC 2 readiness preparation.

Phase 4: SOC 2 Certification

12 weeks

SOC 2 Type II audit preparation and successful completion with clean report.

Technologies Implemented:

Microsoft 365 E5CrowdStrike EDRProofpointKnowBe4Smarsh Archiving

“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.”

Managing Partner

Signature Wealth Partners

Services Provided

CybersecuritySOC 2 ComplianceCloud MigrationManaged IT

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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 weeks

Gap analysis against SEC requirements and SOC 2 framework, penetration testing, risk assessment.

Phase 2: Security Infrastructure

6 weeks

Deployed EDR, implemented email archiving, established secure client portal, MFA everywhere.

Phase 3: Compliance Framework

8 weeks

Policy development, vendor management program, employee training, SOC 2 readiness preparation.

Phase 4: SOC 2 Certification

12 weeks

SOC 2 Type II audit preparation and successful completion with clean report.

Technologies Implemented:

Microsoft 365 E5CrowdStrike EDRProofpointKnowBe4Smarsh Archiving

Wealth Management Firm Strengthens Security Posture

The Challenge

Key Issues Identified:

Our Solution

Phase 1: Security Assessment

Phase 2: Security Infrastructure

Phase 3: Compliance Framework

Phase 4: SOC 2 Certification

Technologies Implemented:

Services Provided

Related Case Studies

Trading Firm Achieves Zero-Downtime Operations

Multi-Location Healthcare Practice Achieves HIPAA Compliance

Ready to Achieve Similar Results?

Techvera Support

Wealth Management Firm Strengthens Security Posture

The Challenge

Key Issues Identified:

Our Solution

Phase 1: Security Assessment

Phase 2: Security Infrastructure

Phase 3: Compliance Framework

Phase 4: SOC 2 Certification

Technologies Implemented:

Services Provided

Related Case Studies

Trading Firm Achieves Zero-Downtime Operations

Multi-Location Healthcare Practice Achieves HIPAA Compliance

Ready to Achieve Similar Results?