Allan Lonz

Allan Lonz is the President and Chief Executive Officer of AdvisorVault, a company that specializes in compliance solutions for financial firms.1 He has been leading AdvisorVault for several years, focusing on providing services that help FINRA member firms meet regulatory requirements, particularly SEC rule 17a-4.1

Professional Background

Allan Lonz has established himself as an expert in financial technology and compliance. His work at AdvisorVault involves:

1. Developing compliance solutions for FINRA firms
2. Partnering with other technology providers to enhance services
3. Helping financial firms navigate complex regulatory requirements

Expertise and Contributions

Lonz is known for his insights into:

• FINRA compliance: He has a deep understanding of FINRA regulations and how technology can be used to meet these requirements.12
• Cloud technology: Lonz advocates for the proper use of cloud services like Microsoft 365 for financial firms, emphasizing the importance of cybersecurity and compliance.1
• Data archiving: He stresses the significance of proper email and data archiving procedures for advisory firms.3

Recent Initiatives

Under Lonz's leadership, AdvisorVault has:

• Partnered with Compliant Workspace to offer FINRA firms compliant Microsoft 365 solutions.1
• Developed a turn-key approach for archiving, retaining, and supervising electronic records.1
• Created a consolidated 17a-4 service to help small firms meet regulatory requirements.2

Allan Lonz continues to guide AdvisorVault in providing innovative compliance solutions for the financial industry, with a focus on helping smaller firms navigate complex regulatory landscapes efficiently and cost-effectively.