Disaster Recovery Plan

Grillo & Associates Emergency Recovery and Contingency Plan

Grillo & Associates has developed an Emergency Recovery and Contingency Plan in order to effectively address and state the specific steps which we will follow in order to recover from any disaster or emergency. The central theme of the plan is to minimize the effect a disaster will have upon ongoing operations. This plan will be reviewed at least annually and any necessary changes will be addressed and implemented.

Offices

In the event our offices become unusable short-term, we will operate out of a remote location or from our homes. We can also meet at our clients’ locations as long as internet access is available.  Employees are instructed to check in with management to be informed of the place of operation. Data will be restored from data backups we have in place and our phones will be forwarded.

If our offices become unusable for more than a couple of months, we will lease temporary space. All equipment and files will be moved or replaced and phone lines will be transferred to the new location. In the event that our offices cannot be made usable, we would find new permanent office space and transfer our equipment to the new location.

Equipment and Information

Computers and Data

Computer systems at Grillo & Associates are relatively unsophisticated in design and setup but are vital to our operation.  Our computer equipment is not very extensive and could be readily replaced. We utilize several stand-alone desk top computers, a few laptop computers, and a stand-alone network server. Our on-site server is continuously backed up using cloud based technology in such a way so that individual files and folders can be easily restored.  Most of our employees also have personal laptop computers and/or tablets which can be used to access our software and data via the internet.

All of the software we utilize, as well as our client data is stored on cloud based systems that do not require on-site backups.  The cloud drive infrastructure is a redundant set of data centers across three geographically different locations. This setup means that our data is not stored on our local network server drives and therefore we can access our data and email from any computer at any location that has internet access.

Phones

Our phone system is relatively simplistic and could be moved or replaced within hours and our phones can be forwarded in a fraction of that time. All of our vital employees also carry cell phones.

General Office Equipment

The rest of our office equipment is generic and can be readily replaced.

Regulatory Issues

We would make every effort to remain in compliance in the event of a disaster. We have transferred much of the required paperwork to digital format that is backed up and stored off site. Our compliance team at Cambridge Investment Research, Inc., our broker/dealer,  is available for us to contact with any compliance issues.

Employees

Our employees are our most valuable resource. We make every effort to protect them from harm at the workplace and to retain them. In the event of an emergency or a disaster the staff is instructed to check in to receive instructions. Grillo & Associates has plans for ownership transfer in the event of the owner’s death. We are a member of Cambridge’s Continuity Partners Group, which can implement a seamless transfer of the business over to the registered staff members.  There is also a buy/sell agreement in place, which is funded with life insurance on the owner of Grillo & Associates.

Employee Position Cell Phone / Home Phone
John Grillo Owner, CFP (678) 523-7121
Joel Shirey Registered Advisor (770) 846-3100 / (770) 838-4264
Pam Robinson Registered Paraplanner (770) 634-0536
Stella Young Office Administrator (404) 725-5266 / (770) 830-8641
Sherri McSweeney Planning Assistant (678) 234-3592
Suzanne Graves Office Assistant (404) 357-1925
Robyn Grillo Accounting & HR (678) 777-1041