Your compliance program, finally in one place
Most firms are still running compliance out of a spreadsheet someone made in 2019. BlackSheep shows you where you actually stand on SEC Reg S-P, NYDFS 500, NIST CSF, DOL EBSA, and FINRA before anyone has to ask.
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SEC Reg S-P
78% — On Track
compliance score
NYDFS 500
61% — Needs Work
compliance score
NIST CSF
54% — Needs Work
compliance score
Open Tasks
3 overdueComplete incident response plan
Mar 25Annual vendor risk assessment
Apr 1MFA implementation review
Apr 5Built by a CISSP with 20 years in financial services cybersecurity. 100+ RIA compliance programs. 100% clean SEC exam record.
You already know the problem
Your compliance program is scattered across spreadsheets, shared drives, and email threads. When the examiner calls, everyone scrambles.
Without BlackSheep
- Policies in a shared drive nobody opens
- Evidence scattered across email threads
- No incident response plan, or one nobody's tested
- CCO hoping the IT partner is covering the right things
- When the examiner asks, everyone scrambles
With BlackSheep
- Every framework mapped with live compliance scores
- Evidence in one place, exportable for any exam
- Incident response plan with automatic breach timers
- Vendor oversight, risk assessments, and access reviews tracked
- When the examiner asks, you pull up a dashboard
Stop following. Start leading.
Other firms are gluing spreadsheets to shared drives and hoping nobody asks.
Compliance Dashboard
One screen, all your frameworks, actual scores. When the examiner calls, you pull this up instead of digging through folders at midnight.
Policy Management
Your policies shouldn't live in someone's inbox. Create them, version them, get sign-offs. Templates match what regulators actually ask for.
Incident Response
Something went wrong. Now what? Log it, track it, manage the response. The 30-day SEC breach notification clock starts on its own.
Vendor Management
Every vendor is a risk you own. Track who they are, what data they touch, when their DPA expires, and whether anyone did the last assessment.
Evidence Collection
"Can you pull that for us?" Sure, give us a minute. Audit evidence is in one place, exports clean for board decks or examinations.
Team Collaboration
You can't do this alone and you shouldn't have to. Assign tasks, name your CISO, control who sees what with role-based permissions.
The rulebooks are real. Your approach should be too.
We map requirements, track controls, and show you the gaps. No more "we think we're covered."
SEC Reg S-P
The Safeguards Rule. Mandatory for every SEC-registered RIA by June 3, 2026.
- Written incident response program
- 30-day customer breach notification
- 72-hour vendor breach notification
- Vendor oversight policies & due diligence
- 5-year recordkeeping of all compliance activities
NYDFS 23 NYCRR 500
New York's cybersecurity regulation. It has teeth.
- CISO designation
- Annual penetration testing
- Multi-factor authentication
- Encryption requirements
- Annual certification filing
NIST CSF 2.0
The framework regulators keep referencing in exams.
- Govern — policies & roles
- Identify — asset management
- Protect — access control
- Detect — monitoring
- Respond & Recover
DOL EBSA
Cybersecurity guidance for ERISA fiduciaries and service providers.
- Formal cybersecurity program
- Annual risk assessments
- Third-party & cloud security oversight
- Encryption & technical controls
- Business resiliency & disaster recovery
FINRA Cybersecurity
Requirements for broker-dealers and dually registered RIAs.
- Technology governance & risk management
- Access controls & identity management
- Data protection & loss prevention
- Incident response & reporting
- Branch office controls
Make good choices
You have options. Most weren't built for RIAs. Here's what you're actually choosing between.
Spreadsheets & DIY
Policies in a shared drive nobody opens. Evidence scattered across email threads. When the examiner asks for something specific, everyone scrambles.
Free (until it isn't)
Hope is not a compliance strategy.
Consultants Alone
Great expertise, but engagements are periodic. Between visits, your program can go stale without a system to keep it current day-to-day.
$5K–$25K+/year
Best paired with a platform for continuous coverage.
Generic GRC Platforms
Vanta, Drata, Secureframe. Built for SaaS startups chasing SOC 2. Ask them about SEC Reg S-P or NYDFS 500 and watch the blank stare.
$7.5K–$100K+/year
Built for tech companies, not advisory firms.
Managed IT / MSPs
They'll patch your laptops and manage your firewall. Ask for your incident response plan or NYDFS certification status and you'll hear crickets.
$775–$3K+/month
IT operations ≠ compliance management.
How BlackSheep stacks up against the field
Side-by-side with the platforms RIAs actually consider.
| Feature | BlackSheep | COMPLY (RIA in a Box) | SmartRIA | Vanta / Drata | Consultants |
|---|---|---|---|---|---|
| Built specifically for RIAs | Yes | Yes | Yes | No | Partial |
| SEC Reg S-P mapping | Yes | Partial | No | No | Partial |
| NYDFS 500 mapping | Yes | No | No | No | Partial |
| NIST CSF 2.0 mapping | Yes | Partial | No | Partial | Partial |
| DOL EBSA mapping | Yes | No | No | No | Partial |
| FINRA cyber mapping | Yes | No | No | No | Partial |
| Live compliance scores | Yes | Partial | No | Yes | No |
| Policy management & sign-off | Yes | Yes | Yes | Yes | No |
| Incident response tracking | Yes | Partial | No | Partial | No |
| Vendor risk management | Yes | Yes | No | Yes | Partial |
| Evidence collection & export | Yes | Yes | Partial | Yes | No |
| Security training & tracking | Yes | Yes | No | No | Partial |
| Run it yourself or with a consultant | Yes | Yes | Yes | Yes | Yes |
| Transparent pricing | Yes | No | No | No | No |
| Starts under $250/month | Yes | No | No | No | No |
Full support Partial / add-on Not available
Everything your compliance program needs.
One platform, one price.
Our founder charged $30,000/year per firm to build these programs by hand. Now it's all in software.
Here's what you're getting
DIY
Save $36,000+/year on compliance costs
The full platform. Every feature. Every framework. No gates. Whether you self-manage or work with a consultant, everything is in one place.
- All 6 compliance frameworks
- Live compliance dashboard & scores
- Policy templates & sign-offs included
- Vendor risk management & oversight
- Risk assessment with gap analysis
- Access reviews & IT controls review
- Incident tracking with breach timers
- IR & BCP testing logs
- Security training & tracking
- Cyber insurance readiness
- Tasks, scheduling & annual reporting
- Unlimited users
- Email support
Guided
Hands-on services included
Everything in DIY, plus we do the hands-on work. Incident response testing, business continuity testing, audit support, and annual training included.
- Everything in DIY
- We lead your incident response testing
- We lead your business continuity testing
- We provide audit support
- We lead your annual security training
Advisory
Your fractional compliance team
Everything in Guided, plus we're alongside you week to week. Still less than a single consulting engagement.
- Everything in Guided
- Biweekly calls to lead your compliance program
- We will personally guide you through the full implementation of your cybersecurity program
- The Maverick to your Goose
- We have your back
All plans include a 14-day free trial. No credit card required. Cancel anytime.
Ready for an exam in 30 days or we extend your trial free until you are.
Who built this
Not a tech startup.
A practitioner who got fed up with spreadsheets.
Our founder has spent 20 years in financial services cybersecurity. CISSP. Former bank CISO. Former Director of Cybersecurity at a top 25 CPA firm. He's built cybersecurity compliance programs for over 100 RIA firms, solo practices up through firms with 400 employees.
Every firm he prepared that went through an SEC examination in 2025 passed with zero deficiencies, zero enforcement actions. He's led live incident response events for 15 years. Not tabletop exercises. Real incidents.
The problem was always the same: firms running compliance out of spreadsheets, outdated policies nobody had read, no incident response plan, CCOs hoping their IT partner was covering the right things. He charged $30,000 a year per firm to fix it by hand. It worked, but it didn't scale.
BlackSheep is everything he built for those 100+ firms, in software. Same frameworks, same structure, same approach that passed SEC exams. Now available to every firm and every consultant managing compliance programs.
Do good things
Know an RIA that's still running compliance out of a spreadsheet? Tell them about us. When they stick around for 3 months, you get 3 months free.
Send your link
Share your referral link with an RIA you think should stop winging it.
They sign up
They join and start building their compliance program.
You get 3 months free
Once they hit 3 months, your credit kicks in. Want a free year? 4 referrals does it.
Good karma and free compliance software. Hard to argue with that.
Compliance Resources
Everything you need to understand what applies to your firm and how to get compliant.
Built by someone who's done this 100+ times.
20 years building cybersecurity programs for financial firms. Now it's a platform starting at $249/month. 14-day free trial, 30-day money-back guarantee. If it doesn't save you time in the first month, you pay nothing.
14-day free trial. No credit card. 30-day money-back guarantee.