It is not often that you hear the word “exciting” next to “Electronic data archiving” or “Broker-Dealer compliance”. Yet with the announcement of our new company partnership between AdvisorVault & Compliant Workspace, it is safe to say that the data compliance industry is being revolutionized for broker-dealers & FINRA compliant firms around the globe. You may be asking what could possibly be making waves in the often-stale industry of D3P data archiving? Let me explain.

This is where Compliant Workspace Comes in

In recent years we noticed that many of our clients were struggling to remain compliant with SEC rule 17a-4 when it came to their transition to the cloud, especially as using has Microsoft 365 became the norm with most modern companies. This is where Compliant Workspace comes in.

This new collaboration is set to transform the way FINRA firms handle data compliance with Microsoft 365, and we are thrilled to be leading the charge. As one of the leading experts in data archiving and FINRA compliance for over a decade, AdvisorVault has been the go-to for mid-size firms looking to meet FINRA’s stringent regulations.

As we all know, Microsoft 365 is a very popular choice for many FINRA firms due to its full cloud solution. The problem with this solution is that most firms don’t realize Microsoft 365 itself does not actually back up ANY of your data or produce FINRA letters, which by default means that Microsoft 365 is not FINRA or 17a-4 compliant.

Filling the Gaps

CEO’s Patrick & Allan Lonz saw this need and came in to fill the gaps. Compliant Workspace was created & designed with the unique compliance needs of broker dealer FINRA firms in mind. The new AdvisorVault Consolidated 365 Service® is a secure, easy to use cloud solution that ensures immediate 17a-4 compliance for any company migrating to Microsoft 365.

This technological merger is a game-changer for our current and future clients who will want to take advantage of the cloud’s vast benefits, while ensuring that they remain 100 % compliant.

The Final Solution

The result of this company merger is that AdvisorVault now also offer a fully encompassing solution to all of your firm’s data compliance needs, providing peace of mind to that all of your mandatory compliance information is accessible and secure.

Our team’s vast knowledge of the intricacies of data compliance, combined with our proprietary software, means we are happy to provide our clients with data archiving solutions that not only meet but exceed FINRA’s standards. With a once a month all-inclusive fee, we take the hassle of payment off of your mind and ensure you get exactly what you pay for.

Dont Miss the Wave

It is time for your company to jump on the new FINRA compliance wave. This partnership has given our proprietary software THE competitive edge in the data archiving industry, and we want to share that edge with your company today.

To find out how your company can join the new compliance wave today, visit for your free consultation.


About AdvisorVault

AdvisorVault is the only FINRA D3P with a Consolidated 17a-4 Service, designed to give small firms everything needed to meet today’s data compliance demands. Our turn-key approach performs the archiving, retention, and supervision of electronic records no matter where they are stored – in-house or in the cloud. Including the FINRA third party letters with all the required documentation. For one flat monthly fee it’s the only fully 17a-4 compliant option – Complete data compliance peace of mind, out-of-the-box.

Allan Lonz, President
direct: 416-985-0310
Toll free: 1-866-732-1407 ex 1