A Fully Managed

17a-4 Compliant Solution

Closing the Gap Between
Data & Technology

AdvisorVault closes the gap between compliance and technology. In many instances internal compliance officers lack the IT knowledge necessary to create a comprehensive compliance solution – while the technical people do not understand compliance issues well enough to build systems that meet your specific needs.

AdvisorVault’s expertise in the data compliance issues surrounding investment broker-dealers allow us to quickly and effectively move a broker dealer toward complete data compliance. That means you will always be on top of FINRA rule 17a-4.

Leading Edge Storage Technology

Because of our focus on first class service and the power of leading-edge storage technology we have quickly gained a solid reputation throughout the international financial community for secure, reliable compliant solutions.

Whether you are a small broker-dealer with a few employees working from one location or a medium sized national firm with a number of branch offices, AdvisorVault can meet your needs with a fully managed secure solution that delivers peace of mind, “out-of-the-box”.

President & CEO

Allan Lonz

President & CEO

Allan Lonz, President and CEO of AdvisorVault is a veteran in the field with over 15 years experience providing data compliant solutions to the financial industry, especially for small FINRA firms.

Recognizing that very few technology providers understood the data compliance challenges of small FINA firms, Allan created AdvisorVault – a remote backup company designed to provide his customers with a solution to ensure they meet all current rules from FINRA and the SEC. It includes all the technology to remotely backup, archive and ensure disaster recovery of critical electronic records such as email, books and records and all other data at head office, branch offices and remote locations and the cloud, in accordance with SEC rule 17a-4.

With Allan’s deep understanding of technology, compliance and finance he brings a unique mix of expertise that allows him to design a complete turn-key product. Priced at one small monthly fee, this “out-of-the-box ” approach takes the burden off his customers shoulders and allows them to experience complete data compliance peace of mind simply and inexpensively.

Let’s work together

GET A FREE DEMO TODAY AND “Be Compliant with FINRA  Using our our Consolidated 17a-4 D3P Service