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.

FIN Compliance

Consulting

  • Compliance Consulting and Audit Prep
  • Business Referrals to Vendor Partners

Software

  • RIA/BD Compliance Management tools
  • Zapier Integrations/Automation
  • Disclosure Mobile App (for reporting) – coming soon

Contact us

Compliance Manager

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

Our Global Network includes

  • Registered investment advisors (RIA) - $0 – 500MM in AUM
  • Registered/Private Fund Advisors
  • Hybrid (RIA/Broker-Dealer) Firms
  • Robo-Advisors/FinTech

Our Progress

More than 180+ SEC, State registered firms served in US and Europe; (Since 2012).


Try Our Free Version

Business Manager

An integration to our Online compliance system that includes:

  • Client Center: Assign and track tasks, projects, and client contacts
  • Project Center: Collaborate with team on procedural tasks
  • Document Center: Document Storage
  • Advisor Firm Directory
  • Additional feature updates coming soon

Inquire About Services

Disclosure Center

Desktop & App

  • Disclose continuity plans
  • Disclosure Privacy Policies
  • Disclose Form ADV brochure

App

  • Communicate continuity measures to clients
  • Communicate transition plan to new advisors
  • Communicate procedures plans to staff

Inquire

FIN Project Marketplace

Project marketplace to hire service providers and student interns for projects in, For example:

  • Business Dev
  • Cybersecurity
  • Operations
  • Tech/Support
  • Marketing

For Advisors Post your unpaid internships or paid project needs for students.

Vendors Create your profile and offer services.


Inquire

Pricing

  • Compliance Consulting
    Starting From
    $2395/yr & Up
    • Consulting


    • Business Strategy


    • Planning and Referrals
  • Compliance Software
    Starting From
    $1295/yr and up
    • Free Version


    • Premium Version (w/Business Manager)


    • Premium Plus Version
      (w/Business Manager)
  • Disclosure Mobile App
    Starting From
    Inquire
    • Starter Version
      (included w/ premium/plus software)

    • Unlimited Version
      (fee applies)
  • Products / Services

    Vendor Network

    Testimonials

    How We Can Help

    • Sign Up for Account

    • Take Assessment

    • Discuss Services with our Team