Data Archiving

Data ArchivingAutomated Protection for Distributed Data

Properly retaining data contained in a firm’s books and records is the cornerstone of achieving rule 17a-4. The challenge now, particularly for small firms, is that these records are now spread out on servers at head office, branch locations, on laptops, mobile devices or the cloud.  How does a firm out source to a provider who can automate the protection of all this data, so it is transferred to SEC compliant storage and make it centrally available to compliance officers and other key staff for review?


Remote Data Archiving:

AdvisorVault’s Remote Data Archiving service is designed specifically to automatically transfer all this dispersed data to SEC compliant storage.

Remote Data Archiving is key to achieving the demand of 17a-4 today, AdvisorVault has designed it with these key features included:


Automated Data Backup:

AdvisorVault’s Remote Data archiving solution is an automated process which backs up and remotely transfers data from corporate servers to electronic records stored in the cloud.

Supervision of Data:

Included with AdvisorVault’s Remote Data Archiving services is a secure, searchable web interface to access data which is indexed and retained in its original format of 7 years.

Disaster Recovery:

Also included in our Remote Data Archiving service is the ability to protect critical systems and data to ensure business continuity as part of FINRA disaster recovery requirement.



What Financial Professionals Are Saying About AdvisorVault

“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.
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
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
“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 rocks
“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
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 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

Get your FREE 30 Day Trial Today >

For a free assessment of your specific needs or to try our one-month trial offer contact us today.

Toll Free 1-866-732-1407

  • Useful Compliance Resources


    Guide: Compliance for Small FINRA Firms

    Compliance essentials for small FINRA firms


    How to Choose Your FINRA (D3P)™

    6 features in yourD3P™  you can’t do without.


    Read more available in our Data Compliance Blog