Compliance Solutions for Investment Advisors, Funds, and FinTech

Our FIN Compliance Team supports the lifecycle of boutique firms: from Compliance Program maintenance to providing business vendor referrals.

We are a regulatory resource for small-firm practices to review, test, store, prepare, audit, and document firm compliance requirements.

Our system also integrates with other technology solutions to help manage all SEC, State, FINRA, NASAA, and other fiduciary requirements on an ongoing basis.

Nearly 200 SEC & State registered firms served in US and Europe

FIN Compliance

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

Compliance Consulting Services

SEC, State, FINRA/FINOP*, CE/Training*, CFTC*, Cross-Border*, AML*, and securities* (*Note: additional services may be offered through our compliance and legal partners*).

Compliance Desktop App

Compliance Management Desktop Solutions

Compliance Mobile App

Disclosure portal for staff, solicitors, or general public.

Other Benefits

Bundled Consulting + Technology Packages
Advisor Directory for firm networking
Vendor Directory for advertising and referrals.
Startup business development, operations, cybersecurity, and marketing support through our partners.

Compliance Manager

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

Features

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

Our portal allows you to collaborate with other team members.

Project Dashboard

Cloud Portals*
Advisor Firm Directory
Offers Directory
*Integrate w/third party apps

FIN Disclosure Center

Maintain audit logs, ongoing delivery and access persons reporting for SEC/NASAA* Model Rule 204-2, 204-3, 204A-1, and Rule 206(4)-7 (and similar state rules).

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 Business Marketplace

Collaborate, Network, and build your firm

Advisor Directory for networking

Virtual CIO, Solicitors,
TAMP/Third-party managers,
Business Continuity,
Startup Partnerships,
Succession Planning,
and more.

Offers Directory featuring vendors in

Tech/Integrations Support,
Startup business Advising,
Business Insurance,
Cybersecurity,
Client Onboarding Operations,
Marketing, and
Technology.

FIN Integrations

We built our system to use with other advisor technology solutions to help aggregate compliance events, notes, documents, and audit logs in an app of your choice.

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

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."

How We Can Help

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

Setup an Account Profile
Review Compliance Calendar
Discuss Service Needs

Signup Here

Mobile Setup

Compliance Management Solutions