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Our Process

Step One
Step Two
Step 3


Step One

Understand Your Business (Discover)

To design and help implement your “right-sized” security plan we have to identify the threats you face, your specific policy requirements and any protections you currently have in place.  We also need to uncover any security blind spots and areas of uncertainty.


During the initial discovery phase, answers like, “I’m not sure how we do that.”, “I don’t know what that is.”, “Why is that important?”, “I don’t think we do that.” are to be expected and are the right answers at this stage.


To make this factfinding efficient, we have an on-line security profiler for you to complete.  The profiler typically takes around ten minutes to complete.


Step Two

Benchmark your current security practices to industry best practices. (Orient)

Using the data gathered in step 1 we identify the things you are doing well, things you could be doing better and, often, things you should be doing that you are not.


Step Three

Design a security plan specifically for your business. (Decide)

We will discuss where you are currently and what risks your existing security plan may not fully address.  These may be risks you knew about and made a conscious decision to accept or they may be security blind spots.  Your plan will take into consideration your specific Broker Dealer’s requirements, any existing IT support organizations you work with and both your time and monetary budget constraints. 


In working with thousands of Financial Professionals, we have developed a range of products and services designed to help them address their unique security requirements taking into consideration:

  • SEC and FINRA regulatory requirements as well as those of your Broker Dealer.

  • The unusual nature of the relationship you have as an independent financial professional to the requirements set forth by your Broker Dealer.

  • The threat landscape facing someone that is trusted by their clients and who also has the ability to put large amounts of money into motion.

While working with our team of professionals, we will recommend solutions specifically tailored to fit your needs and priorities.


Step Four

Implementation   (Act)

We develop and help you implement your specific security action plan.  We are not just another software company looking to give you yet another “dashboard” to watch. Our team of on-shore professionals work with you to make sure the protections and processes you want get put in place.

Step 4
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