FIN Compliance helps firms to conduct regulatory reviews and delegate tasks.

FIN Compliance Overview
Compliance Consulting and/or referrals to vendors in our partner network.
RIA compliance and task management tools integrated onto one-login system.
Systems can be used with other technology or financial network vendors.
Advisor Continuity Matchmaking
Desktop tools for principals, CCOs, staff, and consultants.
Register with an online account.
Desktop Version
Compliance Management System
Firms can access RIA Review ™ resources for reviews using our: RIA Compliance Calendar, Forms, Checklists, Compliance cloud, review resources, and more.
Serving:
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
SEC, State, FINRA
More than 175+ firms served
Task Management System
Firms can access FIN Lancer™ to delegate compliance and operations assignments. Users can share projects with a team and/or send documents to clients.
Also featuring a
Advisor Directory to connect with firms for continuity, succession planning, partnerships, and deal flow
Vendor Directory w/ our select partners
Invoicing plugin to bill vendors

Products / Services

Who We Are

Get Started

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FIN Compliance is now a part of the member/partner vendor network of

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National Association of Personal Financial Advisors

National Association of Personal Financial Advisors is an American financial planning trade organization created in 1983 to expand the use of fee-only financial advisors by individual consumers.

Find An Advisor Here

Other Partners

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Operations and systems development resource for investment advisors and other businesses.

Go to Website Here

My Compliance Blog

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