RIA Registration and Compliance Management for Investment Advisors, Reps, and Financial Planners

Our FIN Compliance team supports firms with completing its regulatory filings, audit preparation,
and business tasks combined with the use of web-based software tool(s)

FIN Compliance Overview

We Offer:

Consulting

Compliance Consulting and Audit Prep

Business Referalls to Vendor Partners

Advisor Continuity Introductions/Assessments

Business Tech/Development

Software

RIA/BD Compliance and Business Management tools integrated into one-login system.

Procedures collaboration tools for principals, CCOs, staff, and consultants. Register with an online account.

Our systems can work with your existing technology vendors/stack.

Inquire About Services

Compliance Management Platform

We Offer:

Online Resources

Firms can access our online compliance system for ongoing reviews using our: RIA Compliance Calendar, Forms, Checklists, Compliance Cloud, Review Resources, and more.

Our Global Network includes

Registered investment advisors (RIA)
Small RIA’s ($0-50 MM in AUM)
Medium RIA’s ($50 -500 MM in AUM)
Registered/Private Fund Advisors
Hybrid (RIA/Broker-Dealer) Firms
Robo-Advisors/FinTech

Our Progress

More than 175+ SEC, State, FINRA firms served in US and Europe who represent assets of more than $4 Billion in AUM (Since 2012).

Try Our Free Version

Business Management Platform

We Offer:

Collaboration Tools

Firms can access our system to manage projects, such as compliance, operations, or other client-based assignments.
Users can share projects with their team and send/receive documents from clients.

Network Connections

Advisors can connect with other firms for continuity, succession planning, partnerships, and deal flow on our Advisor Directory
Our Partners can list their business offers on our Vendor Directory to advertise with other firms.

Integrations

Approve Me - E-Signatures
Google Calendar
PayPal, CashApp (for vendor billing)
And More

Inquire About Services

Products / Services

Compliance Consulting

Compliance Management Software

Broker-Dealer Software

Business Management Software

Business/Impact Strategies

Continuity Vendors/Partners

How To Get Started

Review Pricing/Overview

Estimate Your Needs

Compliance Consulting
Program Setup

Compliance
Business Software

Audit Prep
Discrepancy Fixes

Business Continuity
Firm Disclosures

New Registrations
Notice Filings

Firm Filings
Document Checks

Advisor Partnerships
Succession Matching

Affiliate Vendor
Partnerships

Advertising
Marketing Review

Register for Our Compliance Business Software

Advisor Partnerships
Succession Matching

Solo/Multi-Users
Admin Account
Reps/Other Office Accounts
Share/Uploads to Customers

Affiliate Vendor
Partnerships

Solo/Multi-Users
Admin Account
Reps/Staff Accounts
Share/Uploads to Customers

Advertising
Marketing Review

Solo/Multi-Users
Admin Account
Share/Uploads to Customers

Who We Are

Our Vendor/Resource Network

FIN Compliance Blog

09 November 2020 By Cory Roberson

SEC Risk Alert - Supervision, Compliance, and Multi-Office Branch Exams

07 October 2020 By Cory Roberson

NASAA Proposed Continuing Education Requirement for Advisors

Testimonials

"Overall the content is great. The checklists and abundance of info greatly helps our firm go above and beyond in completing our compliance tasks."

K. Daniels, Client Relationship Manager, Summit Wealth Partners, 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!"

Scott Schwartz, CFP ®, CIMA ®, Alexander Beard, USA, LLC

"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."

Allan Boomer. Managing Partner of Momentum Advisors

"Cory has been Financial Planning Hawaii's third-party compliance consultant for many years. He is an expert in his field and is totally responsive. I recommend his services unequivocally to any RIA."

JR Robinson, Founder at Financial Planning Hawaii, Inc. | Co-Founder, CEO at Nest Egg Guru, Inc.

Compliance Management Solutions

Who We Are

Our Vendor/Resource Network

FIN Compliance Blog

SEC Risk Alert - Supervision, Compliance, and Multi-Office Branch Exams

NASAA Proposed Continuing Education Requirement for Advisors