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

  • 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 Management Desktop Solutions

    Disclosure portal for staff, solicitors, or general public.

  • 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.

  • 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.

  • 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).

  • 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

FIN Business Marketplace

Collaborate, Network, and build your firm

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

  • 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

Products / Services

Vendor Network

Testimonials

How We Can Help

  • Setup an Account Profile

  • Review Compliance Calendar

  • Discuss Service Needs

ACCESS COMPLIANCE CALENDAR AND MANAGE TASKS
ACCESS COMPLIANCE CALENDAR AND MANAGE TASKS