HackingFinancial ServicesFinanceStolen CredentialsSupply Chain (3P Vendor)Customer Data InvolvedIdentity (basic)Financial accountLowContained

Windhaven Investment Management, Inc.

bd_dd269faa8a2bf9b6 · schema v1 · pii pii-v1

Severity

Low

Discovered

Aug 1, 2013

Filed

Sep 23, 2013

To disclose

8 weeks

Affected

Not disclosed

Linked

3 filings

Confidence

66%

Full breach record for Windhaven Investment Management, Inc. →

Windhaven Investment Management, Inc. disclosed an unauthorized intrusion on a web server maintained by a third-party vendor. The incident was discovered in August 2013. The intruder may have accessed a database containing customer names, account numbers, custodians, and investment positions. Social Security numbers and dates of birth were not included. Windhaven disconnected the server, reported to law enforcement, and offered credit monitoring.

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Incident timeline

discovery → filing · 8 weeks / 53 days

Aug 1, 2013

Discovered

Sep 23, 2013

Filed

vs. sector median

1 wks faster

This filing is one of 3 filings about the same incident.View merged incident

Linked disclosures

Why this link?

Regulatory filings (2) · sorted by filing gap

Massachusetts State AGbd_894a11fc71c5390c2013-09-20 · +3dVerified
New Hampshire State AGbd_90b4079b492caea42013-09-19 · +4dVerified

Name: Windhaven Investment Management, Inc.
norm: windhaven investment management

Name: Windhaven Investment Management, Inc.
norm: windhaven investment management
Industry: Financial Servicesllm

Discovered: Aug 1, 2013
Materiality determined: —
Notification sent: —
Affected individuals: Not disclosed
Data types: Identity (basic)Financial account
Attack vector: Third-Party / Supply Chain
MITRE ATT&CK: T1190 Exploit Public-Facing Application
Threat actor: External
Third party: via third-party vendor
Initial access: supply_chain

During the incident: Permanently disconnected the affected web server and database
Conducting a thorough review of the incident
Reported the intrusion to law enforcement officials
Offering a complimentary one-year credit monitoring subscription from Equifax
Changes made: Added additional security measures to accounts via affiliate Charles Schwab & Co., Inc.
Provided Schwab.com security tokens for additional authentication
Offered verbal password option for account access
Source: Quoted from the filing itself, not independently verified.

Time to disclose: 8 weeks(53 days from discovery to filing)
Compliance flags: — (clock not assessable for this source)

Status: No extraction artifact recorded for this disclosure.

Filing propagation · 3 filings · 3 states

View merged incident ↗

New Hampshire State AGSep 19 · first

Massachusetts State AG+1d

California State AG+4d · this page

Evidence ladder

Leak-site claim

Attacker assertion only. Establishes: claim date, group, alleged victim.

Press / market report

Unlocks: incident narrative, operational impact. Still no compliance clock.

State AG / regulator filingThis record

Unlocks: discovery date, data types, affected count, compliance clock.

SEC 8-K / victim statement

Unlocks: materiality, stated response, full audit trail. Ceiling removed.

Source URL: https://oag.ca.gov/ecrime/databreach/reports/sb24-42740
DisclosureLens links to the originating regulator URL — full filing bodies are not redistributed from public surfaces (§4.5).
Filed at: Sep 23, 2013
Raw hash: 9903e620ef4e5ff3ff4f3bbb71807c4cb3716e7af391ef29397543ca5592ed95

Linked disclosures

Regulatory filings (2) · sorted by filing gap

Reporting entityWindhaven Investment Management, Inc.

Victim entityWindhaven Investment Management, Inc.

Incidentdiscovered Aug 1, 2013

Stated responsePermanently disconnected the affected web server and database

Complianceclock not assessable

Extraction provenanceno artifact recorded

Source provenanceoag.ca.gov