RIA Compliance Tool · Reg S-P § 248.30

Small-RIA Reg S-P Kit

The SEC's amended Reg S-P requires every RIA under $1.5B AUM to adopt a Written Incident Response Program by June 3, 2026. Most small firms have nothing. WilmerHale, Foley, and Stradley will charge $8K-$15K to draft one. ACA and Hedgehog want $3K-$10K. This kit produces a 14-page IRP, state-specific notification templates, a 7-vendor oversight checklist, an incident log, and the board attestation memo — in 30 seconds. $299 one-time or $79/mo with annual rule updates.

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Generate your small-RIA Reg S-P compliance package

Point the kit at your firm profile — AUM, state footprint, service-provider stack — and we produce the full IRP, state-specific notification templates, service-provider oversight checklist, incident-tracking log, and board attestation memo.

Firm
Harbor Light Advisors
Newton, MA · AUM $280M · 2-person firm
Stack
Orion · Wealthbox · Chime-Advisor
+ Google Workspace · 1Password · MSP · Schwab
Pricing
$299one-time·$79/mo with rule updates
WilmerHale / Foley / Stradley drafts: $8,000-$15,000 · ACA Compliance: $3,000-$10,000 · Hedgehog: $3,000+ · In-house lift: 20-40 hrs of CCO time for a policy most small firms never revise.