A registered investment advisor managing $150M in client assets received an SEC examination notice with no documented cybersecurity policies, no email archiving, and outdated client portal security. Zevonix implemented a complete compliance infrastructure in 6 weeks, and the firm passed their SEC examination with zero deficiency findings.
This RIA firm had grown rapidly to $150M in AUM but their technology and compliance infrastructure hadn't kept pace with SEC expectations. When they received examination notice, they realized they had no Written Information Security Policy, no email archiving, weak client portal authentication, and unencrypted advisor laptops. They needed an IT partner who understood SEC requirements and could move fast.
🔍 Step 1: Discovery & Strategy
We start with a collaborative analysis of your needs, uncovering challenges, and defining clear objectives to set the foundation for success.
🎯 Step 2: Tailored IT Solutions
Together, we design solutions that align with your goals. From IT infrastructure and cloud migration to cybersecurity, we build strategies tailored to your success.
🚀 Step 3: Implementation & Deployment
With minimal disruption, we partner with you to integrate cutting-edge solutions, elevating your IT systems seamlessly.
🛡️ Step 4: Security Fortification
We implement robust cybersecurity measures to safeguard against evolving threats and vulnerabilities.
⚙️ Step 5: Ongoing Support & Optimization
Through continuous monitoring and proactive care, we ensure your systems operate smoothly and reliably.
📈 Step 6: Growth & Innovation
As your business grows, we innovate and evolve your IT landscape to drive sustainable success.
In just 6 weeks, this financial advisory firm went from having zero documented cybersecurity infrastructure to passing an SEC examination with no deficiency findings. The firm now has professional-grade security protecting $150M in client assets, compliant email archiving, and ongoing compliance management that keeps them examination-ready at all times.
Beyond passing the exam, the firm gained client confidence. They can now demonstrate their security posture to prospects and existing clients, turning compliance from a regulatory burden into a competitive advantage. Several high-net-worth clients specifically cited the firm's security practices as a factor in choosing to move their assets.
Passed SEC examination with no deficiency findings across cybersecurity, data protection, email retention, and business continuity categories.
Complete compliance infrastructure deployed in 6 weeks — from zero documentation to examination-ready with all technical controls operational.
All advisor devices protected with BitLocker encryption and centralized key management, eliminating data exposure risk from lost or stolen devices.
SEC Rule 17a-4 compliant email archiving with immutable storage, supervisory review, and eDiscovery search capabilities deployed firm-wide.
Endpoint detection and response with round-the-clock monitoring, reducing mean time to detect threats from unknown (previously) to under 15 minutes.
Monthly phishing simulations and security awareness training reduced staff susceptibility from 35% to under 3% within 90 days.
Financial Case Study
We can implement critical compliance infrastructure in as little as 4-6 weeks for most RIA firms. The exact timeline depends on firm size, existing infrastructure, and specific compliance gaps.
Our compliance framework addresses Regulation S-P (privacy), Regulation S-ID (identity theft), the SEC cybersecurity guidance, email retention requirements under Rule 17a-4, and business continuity obligations.
No. We work with your existing platforms — Orion, Black Diamond, Tamarac, Schwab, TD Ameritrade, and others. We secure and optimize what you already use rather than forcing platform changes.
We provide continuous monitoring, annual risk assessments, policy updates, staff training, phishing simulations, and examination preparation — keeping you compliant year-round, not just during examinations.
Yes. Our compliance framework scales to firms of all sizes. Solo advisors and small RIAs face the same SEC requirements as larger firms — we right-size the solution to match your practice and budget.
feedback
Zevonix has been an incredible partner. As a solo tech expert, he delivers the kind of results you’d expect from an entire dev team — with none of the red tape. He listened to what I needed, asked smart questions, and turned it all into a system that’s helping our business scale and serve clients better. I can’t recommend him enough if you’re looking for someone who’s fast, thoughtful, and knows how to translate chaos into clean systems.
Patrick has managed our company’s IT services for several years. He is very professional, extremely knowledgeable, and provides excellent customer service. Patrick is the only IT professional that I would recommend.
We’ve had an incredible experience with Zevonix! Their IT security and support services have been a game-changer for our Nonprofit business. From the very beginning, they provided tailored IT solutions that perfectly matched our needs. The cybersecurity audit they conducted gave us peace of mind, and their proactive IT management keeps everything running smoothly. If you’re a nonprofit business looking for affordable cybersecurity services or managed IT support, we highly recommend Zevonix.
Zevonix provides fantastic IT services. Our business relies on smooth-running network and secure systems, and Zevonix has been instrumental in making that happen. Their team is proactive, professional, and quick to respond to any issues. They’ve helped us with everything from routine maintenance to strategic planning, ensuring our technology supports our business goals. We’ve seen a noticeable improvement in our efficiency and peace of mind since partnering with them. A top-tier IT service provider!
Patrick provides outstanding and timely service and support for my company’s information technology needs. He has a great attitude and is always willing to dumb it down to be as helpful as possible for the non tech-savvy. I definitely recommend him.
Working with Patrick is always a pleasure. He is professional, efficient, patient, proficient and thoughtful regarding your feelings. No question is a stupid question and he doesn’t make you feel like an idiot. He always gets the job done and is a complete joy to work with.
I can’t say enough good things about Zevonix. Their team is incredibly knowledgeable and responsive. They helped us streamline our IT operations, and the level of support we’ve received has been outstanding. They truly feel like a partner, not just a service provider.
We’ve been working with Zevonix for several months now and they are simply the best locally owned IT company! They helped overhaul our outdated IT systems and made everything run faster and much more securely. Support is always prompt, professional, and easy to understand!! THEY ARE THE BEST!!!
Zevonix built our new website for our transportation service in Palm Coast and also set up our IT services to keep our business running smoothly. Patrick and his team were professional, responsive, and made the whole process simple. The website looks fantastic, loads fast, and works perfectly on all devices. On top of that, their ongoing IT support gives us peace of mind knowing our systems are secure and dependable. If you need a local Palm Coast company for web design and IT services, Zevonix is the best choice!
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