DATA COMPLIANCE MADE EASY

AdvisorVault has reinvented the way small FINRA firms look at data compliance

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Why Choose AdvisorVault?

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 broker-dealers and registered investment advisors outsource the archiving and supervision of electronic records as required by SEC rule 17a-4.

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Benefits of AdvisorVault

Designed specifically with the needs of small FINRA firms in mind, AdvisorVault is dedicated to helping its customers ensure today’s data compliance rules are met, simple and inexpensively.

PASS FINRA AUDITS QUICKER

AdvisorVault understands that keeping auditors happy is critical, that’s the main reason we have designed our solution, especially to help during the FINRA electronic records request.

CONTROL THE COST OF COMPLIANCE

For small firms with limited IT budgets, keeping the cost of data compliance low is essential. AdvisorVault’s pay-as –you-go, license free model, continually accomplish this.

CENTRALIZED ACCESS TO DATA:

In addition to the annual FINRA audits, firms need to perform regular ongoing supervision of data. AdvisorVault has consolidated this process into one centralized web interface.


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AdvisorVault Features

Priced at one low monthly fee, the AdvisorVault Consolidated D3P™ solution contains the three basic components of SEC rule 17a-4:

Data Archiving

Data Archiving

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

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Email Archiving

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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.

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The D3P Provisions

D3P Provsions

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

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Customer Success

AdvisorVault – The Trusted D3P for Financial Firms.

AdvisorVault was simple! They even helped us with the FINRA 17a-4 attestation letters; we immediately scraped whatever we’ve backed up so far with our other provider and started with them”
Michael J. DuganChief Financial OfficerDriveWealth, LLC
“The way AdvisorVault approaches data backup and archiving, we replaced our current backup solution fully with them to recover servers from failure”
George LoukinInfrastructure ManagerAutonomous 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 SmithPresidentSeedchange Execution Services Inc.
AdvisorVault made it very easy for us to implement a compliant backup and archiving solution to archive electronic records on our PCs and on the server at head office.”
Joshua SandsCompliance officer at Core Wealth Planning
AdvisorVault rocks
Jacob KimManaging DirectorBRIDGEROCK SECURITIES, LLC
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 PresidentFalconBridge Capital Markets, LLC
AdvisorVault made it really simple to archive all our data. They even connected into our cloud provider and made sure this was 17a-4 compliant”
Loren HegerVice President and General CounselThe Applied Group
“Once we took 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 & PartnerLonghouse Capital Advisors
“I’m pleased so far with how helpful and insightful they have been to work with and our firm made a good decision to switch our backup functions, email SPAM and archiving to AdvisorVault”
Arthur C. Everly Executive Vice PresidentWealth Management Resources, Inc.

Who's using AdvisorVault?

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Compliance Resources

Essential Compliance Resources
Understanding the AdvisorVault Consolidated Designated Third Party™ (D3P)  Service – Download Guide

Understanding the AdvisorVault Consolidated Designated Third Party™ (D3P) Service – Download Guide

What Financial Professionals Are Saying About AdvisorVault  Download Guide

Compliance for Small FINRA Firms – Download Guide

Compliance for Small FINRA Firms – Download Guide

    What Financial Professionals Are Saying About AdvisorVault    Download Guide    

Understanding the Difference between Data Backup and Data Archiving – Download Guide

Understanding the Difference between Data Backup and Data Archiving – Download Guide

        What Financial Professionals Are Saying About AdvisorVault        Download Guide

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What Does SEC Rule 17-4 Mean for Small FINRA Firms?

Although SEC rule 17a-4 is the de facto regulation used by FINRA, it has special significance for small firms such...