Cybersecurity
Built to institutional standards. Delivered to independent advisors.
The same controls global wirehouses run on, scoped and deployed for the way an independent practice actually runs: endpoint protection, access governance, encryption, and continuous SEC-aligned compliance monitoring, operating quietly in the background.
The threat landscape
Institutional-grade threats. Consumer-grade tools.
That gap is the whole problem, and closing it is the whole job. Alphaeus deploys the security framework global wirehouses rely on, sized for a practice instead of a trading floor.
Supply chain
Your biggest exposure isn't your practice. It's everyone connected to it: custodians, CRMs, planning platforms, e-signature, video tools, marketing systems. A breach anywhere in that stack lands in your data.
Vendor monitoring
Alphaeus continuously monitors your third-party vendors, validates their security posture, and isolates exposure before it reaches you.
The framework
Six layers. One posture.
Defense in depth: each layer works on its own and reinforces the rest. Expand a layer to see its controls.
01Perimeter & network defenseHostile traffic stopped before it reaches your applications.
- Web Application Firewall (WAF): blocks injection attacks, XSS, and malicious traffic before it reaches your applications
- DDoS protection: reroutes volumetric attack traffic in real time, keeping your client-facing platforms online
- Network segmentation: isolates critical systems to limit lateral movement if a breach occurs
02Identity & access controlEvery login verified. Every permission scoped.
- Identity & Access Management (IAM): enforces role-based permissions across your entire environment
- Multi-factor authentication (MFA): required for all administrative and client-data access
- Privileged access controls: limit exposure of your most sensitive systems to only those who require it
03Threat detection & responseAnomalies detected and contained in real time.
- Advanced Threat Protection (ATP): covers endpoint, network, email, and cloud vectors simultaneously
- Anti-fraud analytics: machine learning models that detect behavioral anomalies in real time
- Vulnerability assessment & penetration testing (VAPT): proactive identification of weaknesses before attackers find them
04Data protectionClient data encrypted, watched, and recoverable.
- Data Loss Prevention (DLP) & monitoring: detects and prevents unauthorized data movement or exfiltration
- Encryption in transit and at rest: all client data protected at every stage
- Secure backup & recovery architecture: business continuity even in a worst-case scenario
05Human defenseYour team turned from the biggest vulnerability into an asset.
- Security awareness training: your team is your biggest vulnerability and your strongest potential asset. We fix that.
- Phishing simulation campaigns: test and reinforce staff resilience against real-world attack techniques
- Incident response planning: documented, rehearsed protocols for the moment something goes wrong
06Compliance & governanceControls mapped to SEC, FINRA, and state requirements.
- Cyber risk analytics & reporting: board-level visibility into your security posture at all times
- SEC-compliant frameworks: tailored for RIAs and independent advisors
- Compliance audit preparation: documentation, evidence collection, and readiness support
- Regulatory mapping: controls aligned to SEC, FINRA, SOX, PCI-DSS, and applicable state requirements
The record
Evidence, not assurances.
Measured across advisory client engagements.
Continuous verification
Ready before anyone asks.
Compliance evidence is collected while the controls run, not reconstructed the week before an exam. When the request letter arrives, the documentation already exists.
All controls current
Start with an assessment.
We map your practice against all six layers, show you what's covered and what's exposed, and put the findings in plain English. Response within one business day. Usually faster.