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Sole Secure

Secure for Solo Advisors

 Independent and solo RIAs face unique cybersecurity challenges. With limited staff and resources, a single cyber incident can disrupt operations, damage client trust, and trigger regulatory scrutiny. That’s why state regulators expect even one‑person advisory firms to maintain a structured cybersecurity program designed to protect client data. 

Why It Matters

What Regulators Expect

What Regulators Expect

 

  • Solo firms are prime targets for phishing and credential attacks


  • Client financial data is highly valuable to cybercriminals


  • Regulators hold small firms to the same fiduciary duty standards


  • A single incident can halt business operations

What Regulators Expect

What Regulators Expect

What Regulators Expect

 

  • Documented cybersecurity policies


  • Annual risk assessments


  • Multi‑Factor Authentication everywhere possible


  • Vendor oversight and due diligence


  • Security awareness training

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The Good News

What Regulators Expect

The Good News

 

  • You do NOT need enterprise security tools


  • Compliance can be affordable and manageable


  • A small, well‑structured program meets regulatory expectations


  • Most requirements focus on documentation and basic safeguards

Downloads

Palisade State-Regulated RIA Cybersecurity Checklist (pdf)Download

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Palisade Cybersecurity

Novi, MI, USA

248-912-6160

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