Designed for Small Firms:
Small FINRA firms such as Broker-Dealers and registered investment advisors surely face some unique challenges when it comes to data compliance; meet some very stringent demands surrounding the archiving and supervision of electronic records, while operating on a very small IT budgets. At the same time they don’t have the expertise to tackle the electronic data archiving process in-house, ultimately they have to outsource this to a designated third party. However, it has become very difficult for them to find the right provider who understands their specific needs.
AdvisorVault was created with one thing in mind: give small FINRA firms a complete data compliance solution to achieve the electronic records archiving demands of SEC rule 17a-4. Understanding this unique challenge, AdvisorVault’s solution includes everything needed to satisfy auditors – the archiving and supervision of books and records, emails, other critical systems for disaster recovery, as well as the D3P provision; offering total data compliance out of the box.
AdvisorVault Eliminates Audit Stress:
Ultimately, passing audits is the whole reason FINRA firms spend money on data compliance at all. Although small firms are given a great deal of flexibility in this area, they still rely heavily on third party providers to help them, AdvisorVault is the expert in this, particularly helping small FINRA firms with audits, or during an electronic records request.
AdvisorVault includes the tools to ensure regulators are out the door fast:
Single consolidated sign in
Automated reports and alerts
Fully indexed and searchable
Download archived data
Choosing the Designated Remote Backup Provider:
Small firms rely heavily on their D3P to archive and provide the tools to ensure compliance with SEC rule 17a-4, at the same time they need a provider who understands their unique needs, AdvisorVault is a simple choice.
- Secure centralized web interface to access their entire data archive
- Archiving of data from all locations including servers at head office, desktops/laptops, branch office, mobile devices and data stored in the cloud
- A pay-as-you-go model where the price of archiving is based on the amount of data and only increase as more data is added
Essential Compliance Features that Protect You
Priced at one low monthly fee, the AdvisorVault Consolidated D3P™ service contains the three basic components of SEC rule 17a-4:
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”
“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”
“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 really simple to archive all our data. They even connected into our cloud provider and made sure this was 17a-4 compliant”
“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.”
“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”
“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”
“The way AdvisorVault approaches data backup and archiving, we replaced our current backup solution fully with them to recover servers from failure”