Lumios Holdings | Trust Center
Lumios Trust Center
Independent assurance and clear answers about how Lumios protects the legal data you entrust to us.
View our certifications

Compliance

Independent assurance and certifications for the Lumios Web Application. Supporting documents are available upon approved request.

SOC 2 Type 2

SOC 2 Type II examination of the Lumios System for the period March 1 through May 31, 2026.

ISO 27001

ISO/IEC 27001:2022 certification for the management system supporting the Lumios Web Application. Certificate valid through July 16, 2029.

ISO 27701

ISO/IEC 27701:2019 certification for the privacy management system supporting the Lumios Web Application. Certificate valid through July 16, 2029.

Resources

Read our public policies and request access to our assurance reports and certificates.

Privacy Policy

How Lumios collects, uses, and protects personal information.

Terms of Service

Terms governing use of the Lumios platform and handling of customer data.

SOC 2 Type II Report

Independent service auditor report covering March 1 through May 31, 2026. Available upon approved request.

ISO/IEC 27001:2022 Certificate

Insight Assurance certificate for the management system supporting the Lumios Web Application. Issued July 17, 2026; expires July 16, 2029.

ISO/IEC 27701:2019 Certificate

Insight Assurance certificate for the privacy management system supporting the Lumios Web Application. Issued July 17, 2026; expires July 16, 2029.

Subprocessors

Service providers that support the Lumios platform and may process customer data in providing their services.

Neo4J

Graph database to handle data relationships

OpenAI

Lumios uses OpenAI's API across the document pipeline. GPT-4o, 4o-mini, and GPT-5 family models drive fact extraction, document processing, vision OCR, discovery tagging, entity deduplication, interaction extraction, feature extraction, OOP drafting, chat, and aggregate insights. text-embedding-3-small generates embeddings for semantic search and dedup; Whisper transcribes audio. Customer documents and case data are sent to OpenAI via the SDK. Billed through our OpenAI Platform account.

Vercel

Deploy frontend

AWS

Cloud infrastructure provider. Lumios's production environment and all customer-data storage run on AWS (us-east-1).

Anthropic

Lumios uses Anthropic's Claude API as the core LLM powering our product. Claude (Opus, Sonnet, Haiku 4.x) drives agentic chat, multi-doc briefings, deposition outlines, draft and objection generation, legal hold notices and reply classification, docket processing, and portfolio agent loops. Customer case data — documents, facts, communications — is sent to Claude via the Anthropic SDK. API access is keyed and billed through our Anthropic Console account.

Cloudflare

CDN and web application firewall protecting traffic to the Lumios platform.

Cohere

Reranker to compare queries and possible options

Google Workspace

Email, documents, calendar, and SSO identity provider.

Monitoring

Continuously monitored by Secureframe
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FAQs

Answers to common questions about how Lumios handles customer information.

Lumios requires authenticated access and enforces authorization on application requests. Access to case data is scoped to the authorized account, and security controls are monitored through Secureframe.
Lumios hosts customer documents and application data on AWS. Production traffic uses HTTPS.

Monitoring

Change Management

Secure Development Policy
A Secure Development Policy defines the requirements for secure software and system development and maintenance.
Segregation of Environments
Development, staging, and production environments are segregated.
Change Management Policy
A Change Management Policy governs the documenting, tracking, testing, and approving of system, network, security, and infrastructure changes.
Production Data Use is Restricted
Production data is not used in the development and testing environments, unless required for debugging customer issues.
Configuration and Asset Management Policy
A Configuration and Asset Management Policy governs configurations for new sensitive systems

Availability

Testing the Business Continuity and Disaster Recovery Plan
The Business Continuity and Disaster Recovery Plan is periodically tested via tabletop exercises or equivalents. When necessary, Management makes changes to the Business Continuity and Disaster Recovery Plan based on the test results.
Backup Restoration Testing
Backed-up data is restored to a non-production environment at least annually to validate the integrity of backups.
Business Continuity and Disaster Recovery Policy
Business Continuity and Disaster Recovery Policy governs required processes for restoring the service or supporting infrastructure after suffering a disaster or disruption.

Organizational Management

Performance Review Policy
A Performance Review Policy provides personnel context and transparency into their performance and career development processes.
Organizational Chart
Management maintains a formal organizational chart to clearly identify positions of authority and the lines of communication, and publishes the organizational chart to internal personnel.
Internal Control Policy
An Internal Control Policy identifies how a system of controls should be maintained to safeguard assets, promote operational efficiency, and encourage adherence to prescribed managerial policies.
Personnel Acknowledge Security Policies
Internal personnel review and accept applicable information security policies at least annually.
Cybersecurity Insurance
Cybersecurity insurance has been procured to help minimize the financial impact of cybersecurity loss events.
Security Awareness Training
Internal personnel complete annual training programs for information security to help them understand their obligations and responsibilities related to security.
New Hire Screening
Hiring managers screen new hires or internal transfers to assess their qualifications, experience, and competency to fulfill their responsibilities. New hires sign confidentiality agreements or equivalents upon hire.
Acceptable Use Policy
An Acceptable Use Policy defines standards for appropriate and secure use of company hardware and electronic systems including storage media, communication tools and internet access.
Advisor Meetings on Security
Senior management and/or board of directors meets at least annually to review business goals, company initiatives, resource needs, risk management activities, and other internal/external matters. The information security team meets at least annually to discuss security risks, roles & responsibilities, controls, changes, audit results and/or other matters as necessary.
Code of Conduct
A Code of Conduct outlines ethical expectations, behavior standards, and ramifications of noncompliance.
Information Security Policy
An Information Security Policy establishes the security requirements for maintaining the security, confidentiality, integrity, and availability of applications, systems, infrastructure, and data.
Information Security Program Review
Management is responsible for the design, implementation, and management of the organization’s security policies and procedures. The policies and procedures are reviewed by management at least annually.
Internal Control Monitoring
A continuous monitoring solution monitors internal controls used in the achievement of service commitments and system requirements.
Disciplinary Action
Personnel who violate information security policies are subject to disciplinary action and such disciplinary action is clearly documented in one or more policies.
Independent Advisor
The board of directors or equivalent entity function includes senior management and external advisors, who are independent from the company's operations. An information security team has also been established to govern cybersecurity.
Roles and Responsibilities
Information security roles and responsibilities are outlined for personnel responsible for the security, availability, and confidentiality of the system.

Confidentiality

Data Classification Policy
A Data Classification Policy details the security and handling protocols for sensitive data.
Data Retention and Disposal Policy
A Data Retention and Disposal Policy specifies how customer data is to be retained and disposed of based on compliance requirements and contractual obligations.

Vulnerability Management

Vulnerability and Patch Management Policy
A Vulnerability Management and Patch Management Policy outlines the processes to efficiently respond to identified vulnerabilities.
Third-Party Penetration Test
A 3rd party is engaged to conduct a network and application penetration test of the production environment at least annually. Critical and high-risk findings are tracked through resolution.

Incident Response

Lessons Learned
After any identified security incident has been resolved, management provides a "Lessons Learned" document to the team in order to continually improve security and operations.
Incident Response Plan Testing
The Incident Response Plan is periodically tested via tabletop exercises or equivalents. When necessary, Management makes changes to the Incident Response Plan based on the test results.
Tracking a Security Incident
Identified incidents are documented, tracked, and analyzed according to the Incident Response Plan.
Incident Response Plan
An Incident Response Plan outlines the process of identifying, prioritizing, communicating, assigning and tracking confirmed incidents through to resolution.

Risk Assessment

Risk Assessment and Treatment Policy
A Risk Assessment and Treatment Policy governs the process for conducting risk assessments to account for threats, vulnerabilities, likelihood, and impact with respect to assets, team members, customers, vendors, suppliers, and partners. Risk tolerance and strategies are also defined in the policy.
Risk Assessment
Formal risk assessments are performed, which includes the identification of relevant internal and external threats related to security, availability, confidentiality, and fraud, and an analysis of risks associated with those threats.
Vendor Risk Management Policy
A Vendor Risk Management Policy defines a framework for the onboarding and management of the vendor relationship lifecycle.
Risk Register
A risk register is maintained, which records the risk mitigation strategies for identified risks, and the development or modification of controls consistent with the risk mitigation strategy.
Vendor Due Diligence Review
Vendor SOC 2 reports (or equivalent) are collected and reviewed on at least an annual basis.
Vendor Risk Assessment
New vendors are assessed in accordance with the Vendor Risk Management Policy prior to engaging with the vendor. Reassessment occurs at least annually.

Network Security

Endpoint Security
Company endpoints are managed and configured with a strong password policy, anti-virus, and hard drive encryption
Automated Alerting for Security Events
Alerting software is used to notify impacted teams of potential security events.
Network Security Policy
A Network Security Policy identifies the requirements for protecting information and systems within and across networks.

Access Security

Access Control and Termination Policy
An Access Control and Termination Policy governs authentication and access to applicable systems, data, and networks.
Asset Inventory
A list of system assets, components, and respective owners are maintained and reviewed at least annually
Removal of Access
Upon termination or when internal personnel no longer require access, system access is removed, as applicable.

Communications

Terms of Service
Terms of Service or the equivalent are published or shared to external users.
Description of Services
Descriptions of the company's services and systems are available to both internal personnel and external users.
Privacy Policy
A Privacy Policy to both external users and internal personnel. This policy details the company's privacy commitments.
Confidential Reporting Channel
A confidential reporting channel is made available to internal personnel and external parties to report security and other identified concerns.