Compliance Solutions for Investment Advisors, Funds, and FinTech

How We Work

FIN Compliance supports a network of investment advisors with Compliance Consulting, Technology, and SaaS integrations

We build compliance/disclosure apps for RIA’s and their service providers. Use our standard apps or customize a version for your team.

We also collaborate with other vendors who provide compliance, integrations, marketing, cybersecurity, continuing education, and practice management support.

Since 2012 we’ve worked with more than 200 SEC & State registered firms in the U.S. and Europe.

Consulting/Technology

Our Network Includes: Registered Investment Advisors, Financial Planners, Hybrid Advisors, Private Fund Advisors, Broker-Dealers, Robo-Advisors, and Digital Asset Advisors

Compliance Consulting Services

Consulting packages for SEC/State-Registered firms and affiliated private funds. Compliance/legal partner referrals for other services that may include: FINRA/FINOP*, CE/Training*, CFTC*, Cross-Border*, AML*, and securities consulting*.

Compliance Manager App

Store books/records, disclosure delivery, and record ongoing tasks using our system.

Disclosure Center App

Our FIN Disclosure portal to send ongoing disclosures to staff, solicitors, or general public.

Third Party Services

Cybersecurity monitoring software
13F filings
Email/Social Media archiving
Marketing
Zapier/Integrations
Operations workflows
CRM
Continuing education

Integrations/API

Use our solution with popular applications on Zapier or we can build a custom workflows with your firm email-based calendar, CRM, or cloud portals.

Portas as a Service (PaaS) program

We build custom portals of our Compliance and Disclosure Desktop/Mobile app for our FIN Lancer consultants, Financial networks, fund service providers, and compliance consulting firms.

Security/Privacy

Enterprise cloud security (powered by Google Cloud Console)
Cloud data backups (CrashPlan)
Access rights/controls
MFA-enabled
Privacy policy
Continuity policy

Disclosure Delivery

Deliver documents to clients, staff, prospects, and vendors via a smartphone. Desktop includes audit logs to comply with documentation requirements SEC/NASAA* Model Rule 204-2, 204-3, 204A-1, and Rule 206(4)-7 (and similar state rules). Learn More

Disclosure Delivery

Deliver via Desktop/Mobile*;
Business Continuity plans,
Privacy Policies,
Form ADV and/or Form CRS
Advertising notices,
Fund Fee Disclosures,
Marketing materials

Code of Ethics Reporting

Deliver via Desktop/Mobile*;
Other Business Activities,
Advertising Requests,
Personal Securities Transactions & Holdings,
Gifts/Entertainment logs,
and more
*Integrate w/Third-Party Apps

Fin Compliance dashboards look great on both web and mobile screens.

Integrations
(Zapier & Rest API)

Automate tasks from our calendar to more than 3000 app on Zapier or customize our app to integrate with other tech solutions. View our FIN Compliance to RedTail CRM demo on Zapier.

Integrations using Zapier

Setup a Zapier Account
Connect FIN Compliance with Zapier apps
Transfer data to/from FIN Compliance

Integrations to non-Zapier apps

Setup a Zapier Account
Create and connect workflows to your existing Client Relationship Manager (CRM)
Use Zapier to send data to/from FIN Compliance
Visit our Integrations page to learn more

Direct API/Integration Partners

Open API for select integration partners. Please inquire
Need more workflow options? Please inquire

Testimonials

Allan Boomer
Managing Partner Momentum Advisors

"Cory is an outstanding professional. As a consultant to my growing investment practice, he has added a tremendous amount of value. LinkedIN has 7"top attribute" boxes,but limits your selection to 3. I would definitely select all 7 if given the opportunity! He works hard, knows his stuff, and provides great value. More than anything, I appreciate that Cory is an individual with strong moral values and principals, which is evidenced by his extra-curricular activities and volunteerism."
Scott Schwartz
CFP ®, CIMA ® Alexander Beard, USA, LLC

"I can't say enough good things about Cory. He's done a great job fixing and maintaining our compliance issues. I highly recommend Cory!"
K. Daniels
Client Relationship Manager Summit Wealth Partners, LLC.

"Overall the content is great. The checklists and abundance of info greatly helps our firm go above and beyond in completing our compliance tasks."
Art Stites
Florida Registered Firm (inactive)

"For the last eight years, our firm has used the services of Cory Roberson FIN Compliance. During this time, we have watched his business grow to meet the ever-increasing needs of the registered investment advisor community. Today, as then, we received the same prompt and courteous service when needed. In our business, quality and prompt service counts high on the list of the things that matter the most to us. Their monthly News & Update Calendar is a frequent resource and reminder of important upcoming events and compliance deadlines."
Howard Erman
Earman Retirement Advisory SEC Registered Firm (inactive)

"Almost 10 years and counting…., Cory served as our compliance consultant to assist us with our RIA mock audits and annual reviews as an independent investment advisor and affiliated registered representative. On occasion, he would visit our office or provide virtual reviews to address any gaps from our FINRA broker-dealer oversight and SEC/State provisions for investment advisors. We are very pleased with Cory’s support and work with our firm."