Whether you’re an institutional investor, a corporation with fiduciary responsibility, a family office, or a high-net-worth individual, you’re likely concerned about mounting cybersecurity threats to sensitive information and personal data. That’s why Cerity Partners is proud to join a small, elite group of Registered Investment Advisers that have completed an independent third-party audit of our System and Organization Controls (SOC) 2 Type 2, reflecting our commitment to operational excellence and risk management within the wealth management industry.

What this means to our clients is simple: Cerity Partners has successfully demonstrated our adherence to the highest industry standards for data security, confidentiality, and operational excellence.

What the audit validates

Conducted by EisnerAmper LLP, an independent third-party auditor, the audit process validated our wealth management and financial advisory services infrastructure. Our SOC 2 report covers the Security and Confidentiality Trust Services Categories, validating the design of our controls for protecting client data and information. The report demonstrates that our cybersecurity controls and procedures not only meet rigorous industry standards established by the American Institute of Certified Public Accountants but also that they operate effectively in practice.

The Type 2 designation is particularly significant. Unlike a simple review of our protocols or a snapshot assessment of a specific point in time, the SOC 2 Type 2 audit confirms that our security controls operated effectively over an extended period of time, providing assurance that our cybersecurity measures function consistently and reliably in practice as well as in theory.

What this means for your data

SOC 2 Type 2 compliance provides independent validation of the controls we’ve implemented to protect your sensitive financial and personal information. These controls include access restrictions designed to allow only authorized personnel to view your information, continuous system monitoring that detects anomalies in real time, regular security testing that identifies potential weaknesses, and comprehensive incident response procedures that enable swift action if a security event occurs.

The independent audit confirms that these controls are not only properly designed but also operate effectively.

A higher standard for client data protection

While many firms discuss security, we’ve taken the proactive step of obtaining independent validation of our controls. In an industry where trust is paramount and the stakes are extraordinarily high, the SOC 2 Type 2 audit sets the standard for protecting client data. It demonstrates our commitment to transparency and accountability in safeguarding the information you’ve entrusted to us.

As cyber threats continue to evolve, our commitment to maintaining the highest security standards remains constant. While we are pleased to have achieved this milestone, our efforts are not complete. We will continue to invest in and pursue industry-leading technology to protect your financial future.

If you have any questions about this audit or our cybersecurity approach, reach out to your Cerity Partners advisor or request an introduction today.

Please read important disclosures here.