Achieving Compliance and Cybersecurity Excellence Isn’t Magic—It’s just the Power of Our Expertise

We provide custom audits and real-time vulnerability management to keep investment advisors and securities industry firms ahead of cyber threats while reducing overhead. Our proactive approach ensures compliance, safeguards sensitive data, and minimizes risk—delivering the security and peace of mind your firm requires.

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Digital Transformation

Comprehensive IT Management and Cybersecurity Solutions to Ensure Compliance, Protect Sensitive Data, and Minimize Security Risks

Advisor Guard provides advanced technical services designed to strengthen cybersecurity and ensure seamless compliance with industry regulations.

Cyber Auditing

Advisor Guard’s Cyber Auditing services are designed to identify and address gaps in your firm’s current cybersecurity policies, procedures, and technology, ensuring a stronger, more secure infrastructure. By aligning your firm with the NIST Cybersecurity Framework (CSF) adaptive tier, we not only bolster your security defenses but also ensure full regulatory compliance. Our thorough assessment covers every aspect of your operations, delivering a detailed analysis of critical areas for improvement, ultimately enhancing your firm’s overall cybersecurity posture and reducing the risk of potential breaches.

Integrated IT Management

Advisor Guard’s Integrated IT Management services are designed to enhance both the security and operational efficiency of your firm’s IT infrastructure. Whether upgrading existing systems (brownfield deployments) or building new, secure infrastructures from the ground up (greenfield deployments), we ensure your firm remains compliant with FINRA and SEC regulations. Our approach includes regular vulnerability scanning, timely security updates, and proactive monitoring to detect and address threats before they impact your business. By seamlessly integrating robust security measures into everyday IT operations, we ensure your firm experiences continuous, secure performance without costly service disruptions, ultimately reducing risk and improving overall productivity.

Endpoint Security & Reporting

Advisor Guard’s Endpoint Security and Reporting service employs the stringent DISA STIG (Defense Information Systems Agency Security Technical Implementation Guide) standards to safeguard every device across your firm’s network. With continuous vulnerability management, your endpoints are constantly monitored and shielded from emerging threats, minimizing the risk of security breaches. Regular group policy updates ensure your systems stay compliant with security protocols, while automated compliance reports offer real-time insights into your firm’s security status. These reports ensure that your firm consistently meets FINRA and SEC regulatory standards, ultimately reducing operational risk, strengthening data protection, and enhancing overall security confidence.

vCISO Services

Advisor Guard’s virtual CISO (vCISO) services deliver top-tier cybersecurity leadership without the cost of a full-time, in-house Chief Information Security Officer. Our vCISO works closely with your firm’s Chief Compliance Officer (CCO) to ensure that cybersecurity strategies are not only robust but fully aligned with regulatory standards such as FINRA and SEC. By overseeing comprehensive risk management, policy development, and incident response planning, the vCISO ensures your firm is well-prepared to mitigate cyber threats. Continuous monitoring and integration of security protocols into daily operations provide real-time protection, while ensuring regulatory compliance. The result is enhanced security, reduced operational risks, and peace of mind, knowing your firm’s cybersecurity posture is consistently optimized and up-to-date.

01

Personalized Incident Response Plans

Tailored strategies that ensure your firm is fully prepared to handle cybersecurity incidents efficiently, minimizing downtime, protecting sensitive data, and reducing potential financial and reputational damage.

02

Regular Security Audits

Ongoing security audits provide continuous monitoring and detailed reports on your firm’s cybersecurity posture, helping to quickly identify vulnerabilities, ensure compliance, and strengthen defenses to prevent potential breaches before they occur.

03

Expert Guidance

Gain access to top-tier cybersecurity expertise without the cost of a full-time CISO, ensuring your firm benefits from strategic planning, enhanced security measures, and regulatory compliance while reducing overhead and operational risks.

04

Synergy with Compliance

Seamless collaboration with your Chief Compliance Officer (CCO) ensures cybersecurity policies are fully aligned with FINRA, SEC, and other regulatory requirements, resulting in streamlined audits, reduced risk of fines, and stronger overall compliance.

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Trusted Professionals

Our Proven Formula for Cybersecurity Success

If you’ve struggled to stay ahead of evolving cyber threats or maintain compliance with FINRA and SEC cyber rules…

And you’re tired of cybersecurity service providers that overpromise and underdeliver.
Then this is for you.

Before we ever take you on as a client, Advisor Guard conducts a comprehensive cybersecurity audit tailored to investment advisors and securities industry firms. We assess every aspect of your cybersecurity environment—your IT infrastructure, endpoint security, and policies. No stone is left unturned.

We then provide a detailed roadmap, showing you exactly how we’ll strengthen your defenses, ensure compliance, and protect your firm before we even shake hands.

Complete Ownership of Your Cybersecurity

  • Full Cybersecurity Oversight: We manage every aspect of your firm’s cybersecurity, ensuring continuous monitoring, management, and compliance with FINRA, SEC, and federal guidelines.
  • Guaranteed Compliance: Our team aligns your policies and systems with regulatory requirements, ensuring your firm is always audit-ready and compliant with industry standards.
  • Proactive Problem Solving: If any issues arise, we take full responsibility and fix them promptly, from policy gaps to vulnerability management, so you can focus on your business without worry.

Unrivaled Expertise

Our team brings over 10 years of experience from the Department of Defense, where we secured SOCOM Enterprise Networks, Mission Partner Coalition Networks, and advised various intelligence agencies. We’ve provided critical support to assessment and authorization teams, ensuring compliance with NIST Federal Standards, giving us unparalleled insight into top-tier cybersecurity practices.

We leverage this expertise to create tailored execution plans that include comprehensive security audits, phishing tests, vulnerability scans, and more—all designed to fortify your firm’s defenses and ensure compliance with FINRA, SEC, and federal regulations. Every member of our team is a cybersecurity compliance specialist, delivering flawless execution of your security strategy for maximum protection.

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Typical Client Experience With Advisor Guard
as your Virtual CISO

At Advisor Guard, we guide clients through a structured, phased approach to cybersecurity and regulatory compliance, ensuring that every step is tailored to meet your organization’s unique needs. Our services are designed to evolve with your business, offering both immediate solutions and ongoing protection. Below is a typical journey with us, broken down into three key phases.

Starters – Phase 1

Free Initial Consultation

We begin with a Free Initial Consultation to assess your organization’s cybersecurity posture. During this session, we gather vital information about your current systems and compliance challenges. This initial step helps you understand the broad scope of potential vulnerabilities and aligns with FINRA Rule 4370 (Business Continuity Plans) by laying the groundwork for a comprehensive business continuity strategy. The result? A clear understanding of where your organization stands and the steps required to strengthen your security framework.

Cyber Audit

Next, we conduct a Cyber Audit to thoroughly evaluate your existing cybersecurity infrastructure. This audit focuses on identifying vulnerabilities in your systems and reviewing oversight practices, ensuring compliance with FINRA Rule 3110 (Supervision). The outcome is a detailed report that not only highlights areas of concern but also provides actionable insights to improve your overall cybersecurity posture and protect sensitive data from cyber threats.

Gap Assessment

Our Gap Assessment follows the Cyber Audit, where we analyze discrepancies between your current practices and the standards required by regulations like FINRA Rule 4370 (Business Continuity Plans). This phase offers a clear roadmap to bridge the identified gaps, helping you address both immediate weaknesses and long-term security objectives. You’ll gain a strategic understanding of what’s missing and what actions are necessary to elevate your cybersecurity resilience.

Main Services – Phase 2

Cyber & Compliance Roadmap

In Phase 2, our Cyber & Compliance Roadmap provides a clear, strategic plan to integrate best cybersecurity practices with regulatory compliance. This roadmap includes a specific focus on identity theft prevention, in alignment with Regulation S-ID (Identity Theft Red Flags Rule), which requires firms to develop identity theft prevention programs. By complying with FINRA Rule 3110 (Supervision), this roadmap ensures that supervisory systems are in place to detect and mitigate identity theft risks, providing your organization with the tools it needs to maintain compliance and mitigate threats.

Policy & Procedure Review

We conduct a thorough Policy & Procedure Review in Phase 2 to ensure that your cybersecurity policies align with both FINRA Rule 4511 (Books and Records) and Regulation S-P requirements. This review ensures that your organization’s internal policies are current, compliant with industry regulations, and documented accurately. By keeping your policies up to date, you not only reduce regulatory risk but also enhance your organization’s capacity to protect customer data and remain compliant with regulatory changes.

Data Protection Planning

As part of Phase 2, we implement a Data Protection Plan designed to safeguard sensitive customer information through encryption, access controls, and secure storage solutions. This service complies with FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade) by ensuring the protection of customer information, while also fulfilling the requirements of Regulation S-P, which mandates that firms protect customer financial information. By implementing these protections early, we reduce your organization’s exposure to breaches and unauthorized access, ensuring that client trust and privacy are maintained throughout the customer lifecycle.

Endpoint Security

Our Endpoint Security service protects all devices within your network by ensuring they are secure from unauthorized access, malware, and external threats. This service directly supports FINRA Rule 3110 (Supervision) by providing oversight across all endpoints. It also complies with Regulation S-P, ensuring that devices handling sensitive customer information remain secure, and supports Regulation S-ID by enabling early detection of identity theft red flags through endpoint monitoring. As part of the phased timeline, this service strengthens your overall network security, ensuring compliance while minimizing risks of breaches.

Business Continuity Planning

As Phase 2 continues, we focus on developing a robust Business Continuity Plan that ensures your critical business functions remain operational during a cyber incident. This plan aligns with FINRA Rule 4370 (Business Continuity Plans), which mandates that firms prepare for and recover from emergencies. In addition, the plan satisfies the system integrity requirements of Regulation SCI by ensuring that critical systems continue to operate smoothly during disruptions. Our phased approach enables you to establish, test, and refine your continuity strategies, protecting both operational capabilities and customer data in the event of a crisis.


Ongoing Services – Phase 3

NIST CSF Implementation Tier Development

In Phase 3, we focus on continuous improvement through services like NIST CSF Implementation Tier Development. By aligning your cybersecurity framework with the NIST Cybersecurity Framework, you build maturity over time, ensuring compliance with FINRA Rule 4370 (Business Continuity Plans). This phased, ongoing development ensures that your cybersecurity strategies evolve with emerging threats, keeping your business resilient and responsive.

Risk Management & Mitigation

Our Risk Management & Mitigation service provides ongoing identification and reduction of cybersecurity risks in line with FINRA Rule 3110 (Supervision). This service also supports compliance with Regulation SCI by proactively managing risks to your technology systems, ensuring their ongoing integrity. Through a phased and continuous approach, we work with your organization to regularly assess risks, ensuring that your risk management strategies evolve as your organization grows and the threat landscape changes.

Monitoring & Reporting Planning

Phase 3 also includes our Monitoring & Reporting Planning service, which establishes a system to detect cybersecurity threats in real-time and ensures compliance with both FINRA Rule 4511 (Books and Records) and Regulation SCI. By continuously monitoring your systems, this service helps maintain the integrity of your technology infrastructure, ensuring that any incidents are swiftly detected and reported to regulatory authorities. This proactive approach not only protects critical systems from potential threats but also ensures transparency and regulatory compliance.

Incident Response & Crisis Management

In Phase 3, our Incident Response & Crisis Management service ensures that your organization is prepared to handle and recover from cybersecurity incidents. This service complies with FINRA Rule 4370 (Business Continuity Plans) and supports Regulation SCI by providing a structured, phased approach to managing and recovering from incidents while maintaining the integrity of critical systems. As part of your phased cybersecurity journey, we develop and refine incident response plans to ensure that your organization can respond quickly to minimize the damage caused by cyberattacks, helping to restore normal operations swiftly.

Vendor Security Management

We assess and monitor the security practices of your third-party vendors through our Vendor Security Management service. This ensures compliance with FINRA Rule 3110 (Supervision), extending oversight to all external partners. We continuously evaluate vendors’ cybersecurity measures, ensuring they do not introduce additional risks to your business.

Security Policy Updates

In phase 3, we provide regular Security Policy Updates in compliance with FINRA Rule 4511 (Books and Records). As cyber threats evolve, so must your policies. This service ensures that your documentation and practices remain compliant with regulatory requirements, keeping your organization agile and responsive to new challenges.

Training & Awareness Programs

As we move into Phase 3, Training & Awareness Programs become a key component of maintaining a strong cybersecurity posture. These programs align with FINRA Rule 3110 (Supervision) by ensuring your staff is continuously educated on their role in recognizing and responding to cyber threats. In addition, they help you comply with Regulation S-ID by training employees to detect identity theft red flags, and with Regulation S-P by reinforcing the importance of protecting sensitive customer information. This ongoing education ensures that your team stays vigilant, reducing the risk of human error and building a culture of security within your organization.

Regulatory Compliance Monitoring

Lastly, in Phase 3, our Regulatory Compliance Monitoring ensures that your cybersecurity practices are continuously monitored to comply with both FINRA Rule 3110 (Supervision) and Regulation SCI. This ongoing service tracks your organization’s compliance status, ensuring that your cybersecurity measures remain aligned with current regulations and industry standards. By continuously monitoring for changes and risks, this service helps you stay ahead of potential compliance issues, ensuring that your organization is protected and prepared for regulatory audits.

Timelines and order of operation may vary based on your firms unique needs.

We design compliance ready cybersecurity ecosystems
that create more safety for your firm.

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