Data
Compliance

Guaranteed

AdvisorVault has reinvented the way small FINRA firms look at data compliance. With our unique turn-key approach, we have created the only solution designed specifically to help banks, broker dealers, hedge funds, investment advisors, and private equity firms outsource the archiving and supervision of electronic records as required by SEC rule 17a-4.

Approved by FINRA

100%

Firms passed audit

Data retained

100%

17a-4 electronic records

DATA ARCHIVING

Data Archiving is the first step in achieving SEC rule 17a-4: A comprehensive remote archiving strategy covers several key areas to ensure complete compliance.

EMAIL ARCHIVING

The proper retention of email is also a key component of rule 17a-4. Today the challenge is making sure communications from everyone, everywhere is properly retained.

THE D3P

Assigning the D3P is the last step to accomplishing 17a-4, choosing AdvisorVault is a natural fit because we also manage the entire data archiving process for our customers.

“Recognizing few technology vendors understood the data compliance challenges of small FINRA firms, We created AdvisorVault

Designed to give our customers a complete solution: out-of-the-box.”
– Allan Lonz, President

CONTACT US TODAY AND LEARN HOW TO SIMPLIFY & REDUCED THE COST OF 17A-4 COMPLIANCE

OUR PARTNERS & ASSOCIATES

“The way AdvisorVault approaches data backup and archiving, we replace our current backup solution fully with them to recover servers from failure We couldn’t be happier with their service.”

George Loukin, Infrastructure Manager, Autonomous Research

“As soon as we received FINRA approval of our BD registration, we launched AdvisorVault, they told us exactly how we should move forward with our data archiving to meet the D3P requirements

Kevin Smith, President, Seedchange Execution Services Inc.

“AdvisorVault was at the top of the list when we looked at our entire disaster recovery/compliance/archiving/anti-spam platform and vendors…we eventually consolidated everything with them”

Bennett Cole, President, FalconBridge Capital Markets, LLC

“Once we look a close look at AdvisorVault, we immediately engaged them for our data and email archiving. Additionally, they hosted a full Exchange email solution for records retention and supervision”

Lindsay Wall, Managing Director & Partner, Longhouse Capital Advisors

“AdvisorVault was simple! They even helped us with the FINRA 17a-4 attestation letters; we immediately scrapped whatever we’ve backed up so far with our other provider and started with them”

Michael J. Dugan, Chief Financial Officer DriveWealth, LLC

Try advsiorVault free
for 30 days

Try US free
for 30 days

FINRA FIRMS

DATA COMPLIANCE

Direct to AdvisorVault’s 17a-4 compliant systems, any data – anywhere: In-house or in the cloud

Featured Articles