17a-4 Products

Specially designed
for small firms

Helping firms just like yours

AdvisorVault was created with one thing in mind: give small FINRA firms a complete data compliance solution to achieve the electronic records archiving demands of SEC rule 17a-4. By Understanding this unique challenge, AdvisorVault’s is able to provide a consolidated solution to satisfy auditors – including the archiving and supervision of books and records, emails, other critical systems for disaster recovery, as well as the D3P provision; offering total data compliance out of the box.

ADVISORVAULT ELIMINATES AUDIT STRESS

 

Ultimately, passing audits is the whole reason FINRA firms spend money on data compliance at all. Although small firms are given a great deal of flexibility in this area, they still rely heavily on third party providers to help them, AdvisorVault is the expert in this, particularly helping small FINRA firms with audits, or during an electronic records request.

AdvisorVault includes the tools ensuring regulators are out the door fast:

 

SINGLE CONSOLIDATED SIGN IN

AUTOMATED REPORTS & ALERTS

FULLY INDEXED & SEARCHABLE

DOWNLOADABLE ARCHIVED DATA

Our Services

Data Archiving

Learn more about AdvisorVault’s One of a Kind 17a-4 data archiving solution

Email Archiving

Learn more about AdvisorVault’s One of a Kind 17a-4 email data archiving approach

The D3P Provision

Learn more about AdvisorVault’s One of a Kind  approach

CHOOSING THE RIGHT 17A-4 DESIGNATED THIRD PARTY REMOTE BACKUP PROVIDER

Small firms rely heavily on their D3P to archive and provide the tools to ensure compliance with SEC rule 17a-4, at the same time they need a provider who understands their unique needs, AdvisorVault is a simple choice.

  • SECURE CENTRALIZED WEB INTERFACE to access their entire data archive

  • ARCHIVING OF DATA FROM ALL LOCATIONS including servers at head office, desktops/laptops, branch office, mobile devices and data stored in the cloud

  • A PAY-AS-YOU-GO MODEL where the price of archiving is based on the amount of data and only increase as more data is added

  • LICENSE FREE SOFTWARE that does not charge per computer/server or user
  • RETENTION OF ELECTRONIC RECORDS for 7 years in its original format on WORM-compliant systems

  • INDEXED & SEARCHABLE ARCHIVE to make finding records quick

  • AUTOMATED REPORTS & ALERTS to be access by compliance officers and other key staff