The advisor-level exposure audit your custodian's enhanced diligence now requires.

LeakTrace conducts seventy-two hour forensic audits of individual advisor exposure surfaces. Live intelligence briefings for your firm, plus institutional-grade reports for compliance files, custodian audits, and examiner packaging. When your custodian's enhanced diligence requires evidence beyond what the firm's compliance program can independently verify, our audit produces a briefing formatted for regulatory filing use, mapped against Canadian Investment Regulatory Organization guidance and equivalent United States frameworks.

Why Now

Cybercriminals move at AI speed. Advisor-level monitoring should too.

AI-generated phishing targeting wealth advisors, deepfake CFO impersonation on high-net-worth households, breach data indexed within hours of a leak. LeakTrace runs continuous AI-powered exposure monitoring on the advisor, tenant, and client-household surfaces on a continuous briefing cadence.

When to refer

Custodian enhanced diligence

Your custodian has requested evidence at the individual-advisor level or household level that the firm's compliance program cannot generate independently.

Regulator examination

A regulator examination has flagged your firm's cyber controls as insufficient. Our audit produces the evidence set your counsel needs to close the finding.

Advisor onboarding

A new senior advisor is joining the firm. Establish the baseline exposure record during onboarding rather than during a later escalation.

Two deliverables

Dashboard

Where your firm works

Per-advisor exposure profiles, findings ledger with chain-of-custody evidence on every finding, statutory framework tags, weekly firm briefing, priority analyst line answered inside four business hours.

Reports

What you file

Master audit briefing (40–60 pages), infrastructure evidence file, credential exposure register, 2-page executive summary for firm principal or compliance officer, statutory mapping for custodian audits and examiner packaging. Delivered encrypted under mutual NDA; un-branded on request.

Program · Aegis

Aegis · Firm · advisor-level + household-level scope

Engagements enter at Aegis Baseline (one-time firm-level assessment) and expand into Aegis Continuum (twelve-month enrolled-household coverage) or Aegis Concierge (bespoke, multi-office). Baseline is credited against the first year on conversion. Coverage scope on the discovery call.

Advisor authentication baseline. Credential exposure in monitored breach databases, password reuse across personal and business accounts, multi-factor authentication posture.
Client portal reconnaissance surface. Publicly reachable metadata that discloses advisor-household relationships to unauthenticated observers.
Public-record aggregation on senior advisors. The correlation graph between advisor personal address, corporate directorships, philanthropic contributions, and household client addresses.
Firm domain infrastructure. DNS, mail authentication, look-alike domain registration monitoring.
Household-side exposure for the top client tier, delivered as anonymized correlation summaries in the advisor briefing.
Removal coordination on findings. DMCA takedown notices, platform ToS reports for harassment or impersonation, data broker opt-outs, legal-notice coordination with the advisor's counsel. Continuous re-monitor for reappearance.

Regulatory anchors

Canada: Canadian Investment Regulatory Organization cyber posture guidance for investment firms and registered representatives. Applies during examinations and enhanced due diligence reviews.

United States: Securities and Exchange Commission Regulation S-P, updated Safeguards Rule (17 CFR Part 248), and state-level advisor cybersecurity requirements.

Both jurisdictions: deliverable is formatted for direct inclusion in the regulatory filing or custodian evidence file, with source citations on every finding.

Referral flow

Send the introduction email to your client using the template from your onboarding materials. Reference our anonymized case file for a comparable engagement.

CC LeakTrace on the introduction. Our inbound queue picks it up automatically and starts the four-hour response SLA.

Discovery call within one business day. Fifteen-minute scoping conversation to confirm engagement fit, scope, timeline, deliverable format.

72-hour audit. Dashboard opens to the firm principal and designated compliance officer; master audit briefing delivered encrypted. Findings review call on Day four. You remain your client's primary advisor throughout.

Why advisors refer to us

Discretion is the product signal, not a constraint. LeakTrace publishes institutionally. Every finding is drawn from a verifiable source. Case files are anonymized to vertical and region only. Introduction relationships are never disclosed.

72-hour turnaround No system access required Regulatory-filing formatted Chain-of-custody evidence format SEC Reg S-P · CIRO compliant SOC 2 audit in progress

Next step

Twenty-minute discovery call under mutual NDA. Reply within one business day.

Reply to [email protected] from the firm principal or compliance officer. Program overview at getleaktrace.com/wealth.