How We Work

FIN Compliance supports its network with Technology, Consulting, and API integrations.

We build compliance/disclosure apps for FinServ Vendors and RIA’s.
Our standard version includes calendar integration with more than 3000 apps on Zapier.
Customized app solutions include white labeling, Google Cloud hosting,
and data backups for your team.

We also offer rev-share opportunities with partners in compliance, marketing, cybersecurity,
continuing education, practice management and more.

We have worked with more than 200 SEC, State, FINRA registered firms
in the U.S. and Europe since 2012.



Partner Programs


We offer rev-share partnerships with other independent consultants, Financial networks,
fund service providers, and compliance consulting firms.
Firms may operate under our label or under your label, and we can white label
our Compliance and Disclosure Desktop/Mobile apps for your firm.

See Overview


Investment Advisor Representatives (IARs)


NASAA Continuing Education Requirements (CE)
States Adoption (as of 5/8/23 via NASAA.org)
Arkansas (1/1/2023); Colorado (1/1/2024); Kentucky (1/1/2023)
Maryland (1/1/2022); Michigan (1/1/2023); Mississippi (1/1/2022)
Oklahoma (1/1/2023); Oregon (1/1/2023); South Carolina (1/1/2023)
Vermont (1/1/2022); Washington, D.C. (1/1/2023); Wisconsin (1/1/2023)



Tools/Assessments

Where do you stand with the following?

SEC Marketing Rule 206(4)-1 - use of testimonials
Sample testimonial disclosure generator

Cybersecurity
Take our Cybersecurity Assessment

Business Continuity
Take our Continuity Assessment

Compliance Program
Take our Compliance Assessment

Want more News/Updates?
Join Our Newsletter

As Featured in

Consulting/Technology

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

  • 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*.

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

  • Our FIN Disclosure app enables firms to deliver Calendar events and disclosures to clients, staff, solicitors, investors, and prospects.portal to send ongoing disclosures to staff, solicitors, or general public.

  • We offer rev-share partnerships with other independent consultants, Financial networks, fund service providers, and compliance consulting firms. Firms may operate under our label or operation under your label, and we can white label our Compliance and Disclosure Desktop/Mobile apps for your firm. See Overview video

  • We build, license, customize, and white label our Compliance and Disclosure Desktop/Mobile apps for firms independent consultants, financial networks, fund service providers, and compliance consulting firms.

  • Cybersecurity monitoring software
  • 13F filings
  • Email/Social Media archiving
  • Marketing
  • Zapier/Integrations
  • Operations workflows
  • CRM
  • Continuing education
  • 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.
  • 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.
  • Enterprise cloud security (powered by Google Cloud Console)
  • Cloud data backups (CrashPlan)
  • Access rights/controls
  • MFA-enabled
  • Privacy policy
  • Continuity policy
ria compliance technology.
compliance connect.

Compliance Manager

We have an online portal of compliance resources to use with your existing technology solutions.

  • RIA Compliance Calendar*
  • Forms
  • Checklists
  • Compliance Cloud*
  • Disclosure Audit Logs*
  • Code of Ethics Reporting Logs
  • Review Center (SEC/NASAA/DOL best practices),
  • CE Guidelines, and more
  • *Integrate with third party apps

Business Manager

Collaborate with other FIN Compliance team members.

  • Client Center
  • Project Center
  • Document Center
sec compliance software.
compliance technology solutions.

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

  • Deliver via Desktop/Mobile*;
  • Business Continuity plans,
  • Privacy Policies,
  • Form ADV and/or Form CRS
  • Advertising notices,
  • Fund Fee Disclosures,
  • Marketing materials
  • Deliver via Desktop/Mobile*;
  • Other Business Activities,
  • Advertising Requests,
  • Personal Securities Transactions & Holdings,
  • Gifts/Entertainment logs,
  • and more
  • *Integrate w/Third-Party Apps

Third Party Vendor Services

Our collaborative network of bundled solutions from third-party vendors

Visit our directory

  • Cybersecurity monitoring software
  • 13F filings
  • Email/Social Media archiving
  • Marketing
  • Zapier/Integrations
  • Operations workflows
  • CRM
  • Continuing education
Fin Lancer screenshot
Fin Lancer screenshot
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.

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

Software/Licensing

Our Portal As A Service (PaaS) program builds custom portals of our Compliance and Disclosure Desktop app for our FIN Lancer Financial networks, fund service providers and compliance consulting firms.

Custom Portal screenshot
Custom Portal screenshot

Testimonials

How We Can Help

Investor/Client Solutions

Disclosure Delivery
Desktop/Mobile Application
Whitelabeling

Roberson Ventures Group 1
Advisor/Financial Network Solutions

Compliance Program Management Calendar | Policies and procedures Filings (Form ADV, PF, 13F, CRS) Corporate Registrations | Annual Reviews | Risk assessments Marketing Review | Compliance Software | API/Integrations Whitelabeling

Roberson Ventures Group 2
Third Party Solutions

Cybersecurity Monitoring/Insurance | Continuing Education | 13F Filings | Marketing/CRM | Support | Zapier Integrations

Roberson Ventures Group 3

Compliance App

(Compliance manager for staff, teams, consultants)

Integrated with a disclosure center to transfer items to a Disclosure App


Disclosure App


(Disclosure portals for communications with clients, staff, investors, and vendors)


INQUIRE FOR COMPLIANCE, DISCLOSURE, OR TECH LICENSING SUPPORT