How We Work

FIN Compliance supports its network of small-staffed investment firms from compliance program support to sourcing vendors for scaling a practice.

Over 200 SEC & State registered firms served:
Consulting | Desktop Software | Mobile Application Integrations | Zapier Integrations | Vendor Matchmaking

We help firms to review, audit, store, disclose, and delegate procedures.

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.

  • FIN Lancer Business Marketplace
  • FIN Integration Center

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

Collaborate with other FIN Compliance team members.

  • Client Center
  • Project Center
  • Document Center

Desktop to Mobile Communications App

Deliver documents to clients, staff, prospects, and vendors via a smartphone. Desktop includes audit logs to comply with documentation requirements SEC/NASAA* Model Rule 204-2, 204-3, 204A-1, and Rule 206(4)-7 (and similar state rules). Learn More

  • 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

Vendor Matchmaking Directory

Connect with other firms to list or receive contract services.

Visit our directory

  • FinServ professionals
  • FinTech Founders
  • Technologists
  • Project Managers
  • Consultants
  • and cybersecurity experts that bid on or receive specialized projects.
  • Tech/Integrations
  • Blockchain/Crypto
  • Startup Advising
  • Business Insurance
  • Cybersecurity
  • Practice Management
  • Legal
  • Continuing Education
  • Accounting

  • Advisors who have open financial planning or portfolio management roles
  • Advisors who have excess advisory work and they need help to continue growth
  • Advisors who would like to take on outside projects while building their own business
  • Advisors who would like to transition under another firm

FIN Integrations (Zapier API)

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

Third-Party Vendor Partners in the following

And more


to connect with more vendors in our network.


How We Can Help

How It Works

  • Register

  • Discuss Needs

  • Join Directory

See Us In Action