Compliance Solutions for Investment Advisors, Funds, and FinTech

Our FIN Compliance Team supports the lifecycle of boutique firms: from Compliance Program maintenance, disclosing business activities, and providing vendor referrals.

We are a regulatory resource for small-firm practices.

Served nearly 200 SEC & State registered firms served in US and Europe

Typical Size: $0 – 500MM (AUM)

FIN Compliance

FinServ Network includes:

Investment Advisors/Financial Planners (RIA)
Hybrid/Private Fund Advisors
Robo-Advisors/FinTech/Digital Asset Advisors

Compliance Consulting:

SEC/State Compliance Consulting and Audit Prep

Desktop Application:

Compliance & Operational Resources

Mobile Application:

Disclosure delivery/notification system for clients, prospects, staff, vendors, and third parties

Other Benefits:

Bundled Packages (Consulting + Desktop + Mobile);
Advisor Directory and Business Continuity prep for firms
Vendor Directory for advertising and referrals

Compliance Manager

Online Resources

Online compliance system including RIA Compliance Calendar, Forms, Checklists, Compliance Cloud, Disclosures, Review Center, and more advisor resources

E-Contract Offer

Complimentary E-contract account with compliance account signup (act now)

Business Manager

Project Dashboard

Client Center to store customer forms:
Project Center
Document Center
Advisor Firm Directory
Offers Directory

FIN Disclosure Center

Desktop & Mobile Application

Deliver disclosures, such as:

Business Continuity plans:
Privacy Policies
Form ADV, CRS and advertising notices.
Marketing Material

Code of Ethics Reporting for:

Other Business Activities
Advertising
Personal Securities Transactions

Use our system to avoid "failure to disclose or deliver-related fines" by meeting SEC/NASAA Mode Rule 204-3 Brochure
(ref. SEC fines between $10,000 - $97,000 for Form CRS delivery failures)

FIN Business Marketplace

Advisor Directory listing of firms for:

Business Continuity Partnerships
Succession Planning
Advisor-to-advisor Advertising
Solicitor or Money Manager Services

Offers Directory listing of service providers in:

Business Dev
Cybersecurity
Operations
Tech/Support
Marketing

Products / Services

Compliance Consulting
Compliance Manager
Web/Mobile Disclosures
(new)
Business Manager
Monitoring/Training
(new)
Vendor/Partner System
(new)

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."