A Dallas wealth-management firm tightened its security and reached SOC 2 readiness to win larger clients.
The result
The situation
A growing registered investment advisor kept losing enterprise prospects at the due-diligence stage. It couldn't answer the security questionnaire, had no formal controls, and ran sensitive client financial data on an ad-hoc setup.
In finance, the security review is part of the sale, and failing it loses deals before anyone talks price.
The work
Assessed the environment against SOC 2 and GLBA expectations and built a prioritized remediation plan.
Implemented access controls, MFA, encryption, logging, and managed detection across the firm.
Hardened email and trained staff against the wire-fraud and impersonation attacks that target advisors.
Authored the policies, evidence, and documentation a SOC 2 examination and client due-diligence both require.
Set up continuous monitoring so the posture holds between reviews.
“We were losing deals on the security questionnaire and couldn't figure out why. Topping built the controls and the paperwork, and now we get through diligence and keep moving.”
Principal, registered investment advisor (illustrative)
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