Call now for cybersecurity help: 888-646-1616

Get Ready for your 
SEC Cybersecurity Audit

We'll help you build all of the processes and documentation you need to pass your SEC audit with flying colors.  
We focus on firms with 1 - 200 employees.
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What's Included

Gap Assessment to see how you measure up to the SEC's cybersecurity guidelines
Pass/Fail assessment on each SEC requirement, including periodic Risk Alerts about cybersecurity
​​Detailed recommendations on how other firms have met the gap requirements
Detailed project plan to help you and your I.T. team work through the recommendations
SEC Audit Ready for Wealth Management Firms
SEC Audit Ready by Adelia Risk
Quarterly cybersecurity reports to prove that everything is working properly
Quarterly security governance meetings with an analyst to review your progress against your plan
Annual cybersecurity risk assessment meetings with an analyst and our CISO
Semi-annual end user tests to confirm that your security controls are working as they should

SEC Audit Ready - Optional Add-Ons

For clients who need it, we can also help with some additional compliance needs...

Vendor Risk Assessment

We'll review each of your vendors to make sure their security is up to snuff.  

Penetration Testing

An automated test to make sure your antivirus, email, and firewall are working as they should.  

Advanced Pen Tests

Hire a hacker to try to break in to your firm, to find where your weakest links are.  

What our clients say about working with Adelia...

"Working with Adelia Risk provides peace of mind. I sleep better at night knowing that our client data is being protected. Josh and his team are responsive, highly knowledgeable and helpful. They take complicated topics and make them understandable. We love working with Adelia Risk!"

Stacey Sternberg
Parsons Capital Management

"Like most investment advisors, I wanted to worry less and prepare for our next audit. Other vendors offered confusing "one size fits all" solutions. Since working with Adelia, we've built a policy that we understand and can achieve! We passed our most recent audit with flying colors."

Charlie Jackson
Jackson Money Management

"Before we hired Adelia, I thought our IT people (me) had the cybersecurity thing covered. 'We' were wrong. Josh and his team helped us find the gaps, close the gaps and document everything so we're as buttoned up as we need to be for our clients and the SEC."

W. Ben Utley
Physician Family Financial Advisors, Inc.

"I chose Adelia Risk because I understood that they would guide me through a process, not simply provide tools for me to learn and use.

I was not disappointed!"

Seth Jentner
Jentner Wealth Management


Due to overwhelming demand, we have implemented a waiting list for new AUDIT READY clients. 
We expect to have new openings available in early 2023.  
Please sign up for our waiting list below to be notified about new openings.

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Listed/included on Schwab OpenView MarketSquare®.

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FINRA Compliance Vendor Directory

Adelia Risk is listed in the FINRA Compliance Vendor Directory.

Do you think we might be a
good match?

We help over 100 of the best financial services, healthcare, and manufacturing companies across the U.S. with their cybersecurity.
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