RIAs are growing, consolidating, and becoming more operationally complex — while regulatory cybersecurity expectations rise and AI adoption creates a new governance risk category. Most mid-market RIAs have neither an internal security team nor an MSP scoped to produce audit-ready risk evidence. WesTech starts there, and expands from there.
The RIA market is big enough to matter and fragmented enough that no incumbent owns the mid-market cyber risk and governance layer.
RIAs rely on MSPs to run their Microsoft environment day to day — but MSPs are not scoped, and often not equipped, to produce board- and regulator-ready cyber risk evidence. That leaves a gap sitting directly above every MSP relationship in the market.
WesTech's Cyber Risk Management Program converts live Microsoft 365 and Azure configuration into risk-register-based evidence, scoring, remediation, and ongoing monitoring — closing that gap without displacing the MSP relationship.
MSPs manage the environment but were never scoped to produce an independent, auditor-ready risk assessment — that gap is structural, not a service failure.
Reg S-P, Reg S-ID, Rule 17a-4, and the SEC's 2023 cybersecurity rules keep raising the bar on what firms must be able to prove — and when.
ChatGPT, Copilot, and meeting AI are already inside regulated environments. The same architecture that governs human access should govern AI access — and mostly doesn't yet.
The Cyber Risk Management Program is the entry point — not the ceiling. The same single-tenant Azure architecture that delivers it is the foundation for a broader operating platform.
The wedge. A focused engagement assessing a client's Microsoft 365 environment against a proprietary risk register — the credible entry point into every account.
The expansion. Role-based productivity dashboards aggregating operational, compliance, advisor, and leadership data into a single operating view.
The horizon. A secure, Azure-based AI agent platform for RIAs — governed access, auditable output, built on the same compliance-first architecture.
The 2024 Reg S-P amendments carry a June 3, 2026 compliance deadline for smaller entities, including many RIAs — forcing firms to review and update policies, vendor arrangements, incident response procedures, and staff training on a fixed clock.
Beneath that deadline sits a structural trend: RIAs are consolidating and growing more operationally complex, while the mid-market segment they sit in remains too large for a spreadsheet and too small for an enterprise GRC platform built for banks.
Built on Azure, Entra ID, Microsoft Graph, and M365 — the environment RIAs already run on, not a new platform competing for adoption.
Client data stays inside the client's own Azure tenant. No shared data warehouse — a structural advantage when selling into regulated firms.
One-time assessment expands into recurring monitoring, dashboard subscriptions, and custom workflow engagements — repeatable across the client base.
We're happy to walk through the model, the architecture, and where things stand.
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