With the increasing frequency and sophistication of cyber threats, regulatory bodies like the U.S. Securities and Exchange Commission (SEC) and state financial authorities have imposed stringent cybersecurity compliance requirements on Registered Investment Advisors (RIAs). Small RIA firms, often operating with…
As a Registered Investment Advisor (RIA), protecting sensitive client data is a top priority. Weak password practices can expose your firm to cyber threats, regulatory fines, and reputational damage. To keep your business secure, avoid these five common password mistakes.…
As a small RIA with just 1–3 employees, you wear many hats—managing portfolios, serving clients, and ensuring compliance. But cybersecurity often takes a backseat, especially when budgets and technical expertise are limited. Unfortunately, cybercriminals don’t overlook small firms. In fact,…
In the financial advisory world, trust and confidentiality are paramount. Clients rely on Registered Investment Advisors (RIAs) to safeguard their sensitive financial information while providing sound investment advice. However, the digital age has introduced new security challenges, especially for small…
In today’s digital-first world, small Registered Investment Advisors (RIAs) are increasingly targeted by cybercriminals. Despite their size, RIAs manage sensitive client data, making them a lucrative target for cyberattacks. This blog explores the top five cybersecurity threats facing RIAs and…
Cybersecurity is crucial for everyone, and two-factor authentication (2FA) is one of the simplest ways to secure your online accounts. 2FA adds an extra layer of security by requiring not just a password but also a second verification step, such…
