Compliance, Audit
& Partner Systems
Compliance and audit support for reporting firms - led by fractional experts since 2012
As Featured In
Our FIN Group
Compliance, Partnerships, and Audit Preparation
Falling behind on filings or audits?
Our fractional experts provide fast, reliable support for compliance, accounting, and IT—without full-time overhead. With experience across 200+ firms, we deliver flexible solutions to save time and resolve issues before or after audits.
Regulatory Consulting for SEC/State Advisors, FINRA, AML, CFPB, OCC,
FDIC, Federal Reserve, EU/UK and Health Care
Integrated Compliance/Stakeholder reporting for regulated firms and fractional partners
Launch or scale your consulting firm with revenue-sharing and referral support
Grow with our Subscription Sales Program for Consultants and Fractional Teams
Flexible Accounting Support to Streamline Financial Reporting and Stay Audit-Ready
On-Demand Audit Prep for Financial, AML, and IT Reviews—Including SOC & HITRUST
How We Help Firms Save Time & Money
Our compliance and fractional services help financial firms reduce internal workload, avoid regulatory risks, and scale without hiring full-time staff.
Save Time, Cut Costs, and Avoid Fines
By outsourcing ADV filings, compliance reviews, testing, and audit prep.
Cut Costs by $50K–$150K/Year
By replacing full-time CCOs, CFOs, or internal staff with fractional support.
Common SEC/PCAOB Fine Ranges
Minor Deficiencies / Books & Records: $5K–$25K+ per incident
Form ADV Errors / Disclosure Failures: $20K–$100K+
Custody Rule Violations: $50K–$250K+
Marketing Rule Violations: $25K–$200K+
Repeat/Willful Violations: $100K–$1M+
(may include disgorgement or officer bars)
Additional Cost Savings from Audit-Readiness
Avoid rush fees (CPAs, legal, consultants): $10K–$50K+ per cycle
Reduce internal workload (100–250 hrs): $15K–$75K+ in staff time
Total Potential Savings:
$50,000–$500,000+ per audit cycle or enforcement event
Our Value
Reduce penalties and delays with filings, documentation, and regulatory systems
Bundle compliance, planning, and IT audit support under one provider
Avoid penalties, save 100+ hours, and stay audit-ready—without full-time staff
Compliance & Stakeholder Reporting Systems
FIN Portals offer a secure, cloud-based platform for firms and fractional partners to manage compliance tasks, filings, and stakeholder reporting—backed by experience with 200+ firms. Our system streamlines workflows, aligns teams, and integrates with existing tools—protected by Okta multi-factor authentication.
Supports reporting for ADV, accounting, audits, regulatory reviews, and more.
Features
White Labeling
Tailor with your brand identity and unique requirements.
Access Rights
Easily manage admin and user permissions.
Integrations
Integrate the app with your existing tools via API/SSO.
Compliance & Audit
Customizable workflows for training, disclosures, and audit reporting for all stakeholders.
Templates
Access over 100 ready-to-use templates or upload/edit your own forms for unmatched flexibility.
Dashboards for Admin, Staff Clients
Seamlessly navigate the app through an intuitive interface accessible to multiple team members.
File sharing and Document requests
Share files with other users or request information securely.
IT/Security consulting
Including IT/cyber consulting with our partners.
Videos
See our videos how our system helps manage compliance tasks—faster and easier.
Get started with task templates and downloadable forms—then let our fractional team walk you through setup, integrations, and next steps.
Desktop
Track deadlines and monitor tasks
Collaborate with fractional support teams
Upload and share key documents securely
Access pre-built templates and customizable forms
Mobile
Track deadlines and monitor tasks
Upload and share key documents securely
Our Customers
Investment Advisers (RIAs)
SEC or state-registered firms
Firms in launch, transition, expansion, or preparing for exit/audit
FinTech & RegTech Companies
Platforms needing compliance integration, reporting tools, or audit readiness
Fractional Executives & Consultants
CCOs, CFOs, and COOs looking to scale through rev-share, portals, or backend support
Accounting & Audit-Driven Firms
CPA and IT teams preparing for SOC, HITRUST, or PCAOB audits
Cross-Border or Global Entities
Firms managing international AML, EU/UK filings, or multi-jurisdiction checklists
How We Support Clients from Launch to Exit—
Through Registration, Compliance, and Financial Readiness.
EU & SEC-Registered Firm
Completed ADV, agreement, AML review, and cross-border checklist—within 48 hours
Multi-State Registrations (multiple firms)
Assisted a state-registered firm in resolving regulator discrepancies during registration in Alabama, Massachusetts, Pennsylvania, and other states.
SEC-to-State (and State to SEC) transitions
Handling filings and portal setup to meet state-specific requirements
Firm Preparing for Sale
Help gather audit-ready records for a retiring RIA’s buyer
Get started to hear more live scenarios from our current customersTestimonials
What some of our Past/Present Customers Say
Scott Schwartz
CFP ®, CIMA ®
Alexander Beard, USA, LLC
K. Daniels
Client Relationship Manager
Summit Wealth Partners, LLC
David Crews
Crews Capital Managemnt
Texas Registered Firm
Nathan Cherry
Principal
Fidelis Financial (NC-Registered Firm)
Howard Erman
Earman Retirement Advisory
SEC Registered Firm (inactive)
Allan Boomer
Managing Partner
Momentum Advisors