Who We Serve
RIAs
Your practice stays compliant. Your advisors stay focused. Your next exam stays calm.
FCI extends cybersecurity controls to every affiliated advisor — regardless of location, device ownership, or technical expertise — and produces the SEC-aligned documentation that examiners and cyber insurers require, continuously and automatically.
Many RIAs operate through a model where advisors work from their own offices, using their own devices, on networks the firm does not manage. The SEC’s cybersecurity rules require written policies, periodic risk assessments, and documented evidence upon examination — across every advisor, regardless of where they work. FCI enforces controls across the full advisor network and assembles that evidence continuously, so your team is never rebuilding documentation under deadline pressure.
What Changes for You
Find your role. See what FCI means for your day.
Owner / Managing Partner
The client trust you spent decades building is protected by controls that run across every advisor, every device, every location — without asking you to build a security team. When the SEC examiner or cyber insurer asks, the evidence is already assembled. You made the decision. The service runs itself.
CCO / Compliance Lead
The gap between your written policies and what you can prove to an examiner closes on day one. FCI enforces controls across every advisor endpoint and produces SEC-aligned documentation continuously. You stop rebuilding evidence every exam cycle and start showing a living compliance record.
Field Compliance Officer
You no longer verify controls advisor by advisor or chase down documentation from remote offices. FCI enforces the firm’s security requirements across every location automatically — and the FCI Portal shows real-time enforcement status across your entire advisor network.
IT Manager
FCI works alongside your existing setup — it handles the compliance and regulatory documentation layer while deploying endpoint protection, patching, and monitoring to advisor devices you may have never managed directly. Your workload goes down. Your coverage goes up.
The Problem
Your advisors work from places your IT team has never seen.
Many RIAs operate through a model where advisors work from their own offices, using their own devices, on networks the firm does not manage. Client data flows through personal laptops, email accounts, and cloud applications that may or may not meet regulatory standards. The firm has no visibility into those devices — and no mechanism to enforce the security controls it has written into policy.
SEC examination priorities increasingly include cybersecurity — specifically evidence of controls rather than descriptions of policies. The SEC’s cybersecurity rules require written policies, periodic risk assessments, and documentation upon examination. Cyber insurers require proof of specific controls — MFA, endpoint protection, access controls, incident response plans — before renewing policies.
A smaller RIA faces the same documentation requirements as a larger one. The SEC and the cyber insurer ask the same questions regardless of firm size. For most RIAs, the honest answer is: the evidence is not fully there. Not because no one cared — but because building it manually across every advisor location is a full-time job, and no one has the time.
FCI CEO Brian Edelman is one of the few real cybersecurity experts who understand compliance — a true thought leader.
What Changes With FCI
Controls enforced across every advisor. Evidence assembled without your team lifting a finger.
FCI takes a complete inventory of every device associated with the firm. Leadership receives a clear view of the full cybersecurity posture — often for the first time. Most RIAs discover endpoints and access paths they did not know existed. From that point, controls deploy automatically: MFA on every device, Always-On VPN for every advisor session, endpoint protection running silently in the background. The FCI Portal begins producing documentation aligned to SEC and FINRA requirements from that moment forward.
Every Advisor Covered
Controls reach every affiliated advisor — including remote, home-based, and BYOD — without disrupting how they work or requiring your IT team to manage each device individually.
Continuous Compliance Evidence
SEC and FINRA exam documentation assembles continuously — no manual prep, no last-minute scramble. Your CCO opens the FCI Portal instead of rebuilding evidence every exam cycle.
Zero Trust Access
Zero Trust access controls prevent a single compromised advisor device from reaching firm systems or client data — regardless of where the advisor is working.
24×7 SOC Monitoring
Every alert across the full advisor network is reviewed by trained analysts around the clock — and your cyber insurer sees documented evidence of controls at renewal.
The Evidence Package
When the SEC or FINRA notice arrives, you open the FCI Portal.
The complete evidence package is already assembled. Not a folder of screenshots. Not a spreadsheet rebuilt under deadline pressure. A structured, timestamped compliance record mapped to the specific questions examiners ask.
Device inventory with control verification for every advisor endpoint
Regulation S-P and FINRA Rule 4370 cybersecurity program documentation
MFA, VPN, and endpoint encryption enforcement records — advisor by advisor
Written Information Security Policy aligned to current SEC and FINRA expectations
Vendor due diligence file for FCI (SOC 2 Type 1 Attestation, SecurityScorecard, NIST CSF mapping)
Incident log and response documentation
Access control and user provisioning records
Next Step
Request a 30-minute Gap Analysis
See your advisor network exposure and exam readiness today.