Is Your RIA Ready for June 3rd? Or Just "Paper Compliant"?

The SEC’s 2026 Reg S-P amendments have turned the "72-Hour Rule" into a mission-critical mandate. Don't find your gaps during a surprise examination. Get a CISA-led forensic gap assessment—at no cost.

The SEC has Shifted the Burden of Proof.

In 2026, "having a policy" isn't enough. If a vendor is breached, the SEC now expects you to have a documented, tested, and verified Evidence Vault showing your response.

For RIAs between $500M and $1.5B AUM, the risk is highest:

The 72-Hour Trap: Do your vendor contracts legally require them to notify you in time?
The Presumption of Breach: If you can’t prove data wasn't accessed, you must notify every client.
The AI Oversight Gap: Is your firm "AI Washing" or actually governing how advisors use LLMs?

For RIAs above $1.5B AUM, the deadline was December 3, 2025.

A 30-Minute Forensic Deep Dive. No Fluff. Just Facts.

This isn’t a sales call. It’s a technical audit of your 2026 readiness. We’ll look under the hood of your Microsoft 365 tenant and your vendor list to identify:

1. Technical Blind Spots: Where your current controls fail to meet the "Evidence" standard.
2. Contractual Gaps: Which of your "Critical Service Providers" haven't updated their notification SLAs.
3. AI Exposure: A quick scan for "Shadow AI" usage that violates your Fiduciary duty.

Three Steps to Peace of Mind.

1. The Discovery: A 30-minute call to review your compliance needs and cybersecurity program.
2. The Live Scan: A 20-minute screen-share session to review your M365 Audit Logs and Vendor Oversight folder.
3. The Roadmap: You receive a Fortify Gap Report—a traffic-light summary of exactly what to fix before the June 3rd deadline.

Why Fortify?

Because your "IT Guy" isn't a Fiduciary, and your Compliance Consultant isn't a Forensic Auditor.

Fortify Compliance Partners bridges the gap. Led by Stephen Jennings, we specialize in the technical evidence that RIAs need to survive the 2026 SEC landscape.

If You’re Not Ready by June 3, You’re Already At Risk

The SEC isn’t reviewing policies anymore. They’re evaluating whether your compliance actually works.

Most RIAs have documentation.

Far fewer have operational readiness.

Ask Yourself:

✅ Has your incident response plan been tested in real conditions?
✅ Can your vendors meet new breach notification requirements?
✅ Could you demonstrate compliance to an examiner today?

If not, you don’t have a complete program. You have gaps.

👉 Run a Free Gap Assessment and see exactly where you stand before it's too late

The IT Armor Advantage

Why Financial Advisors Trust Our Security

Talk to IT Experts Who Know Financial Services

Schedule a complimentary consultation with specialists who understand FINRA, SEC compliance, and the unique technology needs of RIAs and Broker Dealers.

Built on Industry Standards

IT Armor follows CIS Critical Security Controls mapped to NIST Cybersecurity Framework, the gold standard recognized by businesses and governments worldwide.

SEC-Focused Compliance

We understand SEC Cybersecurity Rules and help you implement required controls, policies, and documentation that satisfy regulatory expectations.

Proactive Protection, Not Just Response

We hunt for threats before they find you. Continuous monitoring, vulnerability scanning, and threat intelligence keep you ahead of attackers.

Enterprise Security, Small Firm Budget

Get Fortune 500-level security expertise and tools designed for advisory firms your size. Protect client trust without breaking the bank.

STILL NOT SURE?

Frequently Asked Questions

We understand choosing the right IT partner is a big decision. Here are answers to some of the most common questions about Fortify Compliance Partners and our services.

How do I get started with Fortify Compliance Partners?

Getting started is easy! Simply contact us through our website or give us a call. Our team will walk you through the first steps and help you choose a service plan that fits your needs.

What services does Fortify Compliance Partners offer?

Fortify Compliance Partners offers a range of financial services, including financial planning, investment management, tax optimization, retirement planning, and estate planning. Check out our services page for more details.

Is there a contract for your services?

No, we believe in flexibility. All our plans are available on a month-to-month basis with no long-term contracts. You can cancel at any time if you’re not satisfied.

What if I have questions after signing up?

We’re here to support you! Our team is available to answer any questions you have. You’ll also have access to your dedicated financial advisor for guidance whenever you need it.

844-465-8324