advisorvault_overviewDesigned 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.


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:

Data Archiving

Data Archiving

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

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Email Archiving


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

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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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”
Bennett Cole PresidentFalconBridge Capital Markets, LLC
“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.
“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
“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
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
“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
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



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