RIA Crypto Custody Rule & Safeguard Navigator

Institutional Presets & Advisory Setup

Registered Investment Adviser Name

Gross AUM Under Digital Custody ($ USD)

Annual Surprise Exam PCAOB Auditor

Custodian Internal Control Report (SOC 1 Type II)

Custodial Architecture & Asset Mix

Interactive Safeguard Controls

Audit Results & Remediation

Form ADV Readiness

Overall SEC Safeguard Compliance Score

82 / 100

Conditional Compliance - Remediation Required

Active Critical Safeguard Breaches (2)

Verified SEC Safeguard Controls (3)

Audit Provenance & Citation Reference

Evaluated in accordance with SEC Investment Advisers Act Rule 206(4)-2 safeguarding amendments: Qualified Custodian possession requirements, written assurances, client asset segregation, and mandatory annual surprise verification.