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

LeakTrace is a threat intelligence firm that conducts seventy-two hour forensic audits of individual advisor exposure surfaces. When your custodian's enhanced due 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.

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.

What the audit covers

Advisor-level + household-level scope, 72-hour turnaround

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

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. Briefing delivered to your client with a copy to you. Findings review call on Day four. You remain your client's primary advisor throughout.

Why advisors refer to us

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. Our operating principles align with the discretion your client relationships require.

72-hour turnaround No system access required Regulatory-filing formatted Anonymized case files public Institutional voice throughout Toronto + New York offices

Case file — wealth advisor

getleaktrace.com/case-studies

Media kit

getleaktrace.com/media-kit