A fully managed secure solution
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 rules 17a-3, 17a-4, NASD rule 3510, 3010 and NYSE rule 4400.
A focus on technology
And 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”.
What Financial Professionals Are Saying About AdvisorVault
“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”
“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”
“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”
“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”
“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.”
“The way AdvisorVault approaches data backup and archiving, we replaced our current backup solution fully with them to recover servers from failure”
“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”
“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”