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

RIA Consults logo
RIA Consults image
Compliance Consulting

RIA Review logo
RIA Review image
Compliance Management Software
BD Review logo
BD Review image
Broker-Dealer Software
Finlancer logo
Finlancer image
Business Management Software
FIN Ventures logo
Finventure logo
Business/Impact Strategies
FIN Continuity logo
Continuity Image
Continuity Vendors/Partners

Who We Are

Get Started

Sign up to learn more about our upcoming launch


Our Progress

Total AUM (Millions) of Past/Present Customers

Past/Present Customers

System Users

Years Since Inception


Our Vendor/Resource Network

NAPFA Logo AAAA Logo Atlas Park image Elite Vivant image

FIN Compliance Blog

My Compliance Blog image
28 July 2020 By Cory Roberson

SEC - June/July Guidance on Cybersecurity, Private Funds, and new EERT Team

Fincompliance partners image
25 May 2020 By Cory Roberson

PPP Loan Disclosures, Form CRS, and COVID-Driven filing extensions

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."
K Daniels photo

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!"
Scott Schawrtz photo

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."
Allan Boomer photo

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."
JR Robinson photo

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

INTEGRATIONS | FIN LANCER | FIN MISSIONS | FIN VENTURES | NAPFA | AFFILIATE/REFERRAL PROGRAM

FINCompliance™ is a division of Roberson Ventures Group, Inc.
All Rights Reserved (2018 - 2020).   Disclaimers    Privacy Policy    License / User Agreement    Sitemap             We make appointments. Fill out our online form, Email Us, or Call 650-305-2688 for scheduling.