StackGuard for Financial Advisory Firms
Your clients' financial data — and your SEBI registration — deserve more than a shared password and hope.
RIAs, wealth managers, and distribution firms manage portfolio data, KYC documents, and trading credentials for clients who trust them implicitly. StackGuard identifies where that data is exposed, where AI tools are creating uncontrolled risk, and what your firm needs to fix to meet its obligations. Delivered in plain language for business owners and compliance leads.
The risks that matter most for financial advisory firms.
Advisory and wealth management firms hold a combination of client trust, regulated data, and portal access that makes them a specific target.
Trading portal and demat access credentials
BSE/NSE trading terminals, depository portals, and broker back-ends often use credentials that are shared among staff or stored insecurely. Compromise can expose client portfolios to unauthorised access or transaction execution.
Client KYC and portfolio data in AI tools
Staff preparing client reviews, portfolio summaries, or financial plans using AI assistants may be uploading client KYC documents, PAN details, or asset statements to platforms with no data controls.
SEBI RIA and distributor compliance obligations
SEBI's RIA framework and AMFI's ARN holder guidelines include data protection expectations. A breach involving client financial data creates regulatory exposure beyond reputational damage.
Phishing targeting high-net-worth client access
Advisors managing UHNW or NRI portfolios are a high-value phishing target. AI-generated phishing now mimics client communication styles precisely — standard email caution is no longer sufficient.
What StackGuard covers.
Three modules, applied in full or in the combination that fits your firm.
AI Readiness Assessment
Understand exactly how AI tools are being used across your firm — and where the gaps are.
- Tool inventory — what AI tools are staff already using, with or without authorisation?
- Data governance gaps — where is sensitive data, who can access it, and is it being fed into AI tools?
- Process mapping — which workflows are prime candidates for automation?
- AI adoption roadmap — a prioritised list of what to do in the next 90 days
Cybersecurity Threat Assessment
A clear picture of your exposure to the AI-era threats affecting financial advisory firms right now.
- Phishing and social engineering exposure — AI-generated attacks are now indistinguishable from real communications
- Credential and access vulnerability scan — password reuse, MFA gaps, admin access that shouldn't exist
- Data exposure mapping — what sensitive data exists, where it lives, and who can reach it
- Third-party and vendor risk — the SaaS tools storing your data and whether they're secure
- AI tool security audit — are staff using ChatGPT or Claude in ways that leak confidential client data?
Future Threat Briefing
A plain-language briefing on the threat most firms haven't heard of yet — and why it matters today.
- What quantum computing means for business data security — in plain language, not technical jargon
- "Harvest now, decrypt later" risk assessment — is your encrypted data already being collected for future decryption?
- Post-quantum cryptography (PQC) readiness check against NIST's deprecated algorithm list
- Timeline and priority recommendations for cryptographic migration
The StackGuard Report
Every engagement delivers a 20–30 page report written for business leaders, not technical teams.
- Executive summary in plain language
- Traffic-light risk scorecard (red / amber / green)
- Prioritised action list with effort and cost estimates
- 90-day security improvement roadmap
- StackFlow automation recommendations to close process gaps
Choose your audit scope.
All tiers include a written report. No upsell pressure — if Quick Scan is right for your firm, we'll tell you.
A single credential breach exposing client portfolio data — or an AI tool retaining client KYC documents — can trigger regulatory scrutiny and client attrition simultaneously. A StackGuard audit starts at ₹75,000.
Quick Scan
Entry-point exposure check
Ideal for: Not sure where to start
- AI tool exposure interview (1–2 hours)
- Top 3 immediate risk findings
- Written summary with prioritised next steps
- Free upgrade credit if you proceed to Essential
Essential
Modules 1 + 2 only
Ideal for: Firms under 30 staff
- AI Readiness Assessment
- Cybersecurity Threat Assessment
- 20–30 page StackGuard Report
- 1-hour debrief call with leadership
- Prioritised action list with effort estimates
Professional
All 3 modules
Ideal for: Firms with 30–150 staff
- Everything in Essential
- Future Threat Briefing (quantum risks)
- 2-hour workshop with leadership team
- 90-day security improvement roadmap
- StackFlow automation recommendations
Enterprise
All 3 modules + implementation support
Ideal for: Firms with 150–500 staff
- Everything in Professional
- Implementation support planning
- Quarterly re-assessment check-ins
- Vendor and SaaS security review
- Dedicated advisory access
How the audit works.
Kickoff Call
We align on scope, gather access credentials, and set the timeline. Typically 30–45 minutes.
Assessment
We run the audit across all selected modules — tool interviews, access reviews, data mapping.
Report
We produce the full StackGuard Report with risk scorecard and prioritised action plan.
Debrief
We walk through findings with your leadership team and answer every question in plain language.
A typical StackGuard engagement runs 5–10 business days from kickoff to final report.
Find out where your firm actually stands.
A StackGuard audit takes 5–10 business days. You'll know exactly what's exposed, exactly what to fix, and in what order.
Book a Security Audit →Looking for the full service overview? View the main StackGuard page →