Compliance Operating Systems forRIAs, Broker-Dealers & Private Capital
Fractional Compliance, Fund Admin & AI Platforms — backed by our AI-based reporting center, audit-ready for capital markets year-round. Trusted since 2012.
FIN RegReview
Compliance calendar & filings
FIN InvestPrep
Investor onboarding & fund ops
FIN ADScanner
Marketing & ad review
Fractional Team
CCO, Fund Admin & Audit experts
As Featured In
Trusted coverage and partnerships across the financial industry
Your compliance stack never sleeps.
Real work happening right now across RegReview, InvestPrep, ADScanner, and our fractional team. Anonymized for client confidentiality.
See FIN Group in 30 Seconds
A fractional CCO and AI-powered compliance platforms — built for SEC, FINRA, and private fund firms.
Our Customers
FIN Group serves RIAs, private funds and hedge funds, GP/LP investors and allocators, broker-dealers, CPO/CTA and NFA-registered managers, mutual funds and ETFs, fintechs, family offices, private credit lenders, insurance companies, and mortgage and real estate firms — with fractional CCO services, fund administration, LP and operational due diligence, Form ADV and Form PF filings, NFA compliance, and AI-powered compliance technology.
Investment Advisers (RIAs)
SEC and state-registered RIAs, investment counsel firms, and portfolio managers needing RIA compliance consulting, Form ADV filings, custody rule support, and fiduciary program management.
Keywords: RIA compliance consulting · investment adviser compliance · Form ADV filing · fractional CCO for RIA · SEC registered investment adviser
Private Funds & Hedge Funds
Private equity, venture capital, hedge fund, and private credit GPs handling private fund compliance, hedge fund compliance consultants, Form PF filing, SEC private funds rule obligations, and the private fund adviser rule.
Keywords: private fund compliance · hedge fund compliance consultants · private equity compliance · Form PF filing · private fund adviser rule · fund administration services · private fund CCO
GP / LP Investors & Allocators
General partners, limited partners, fund-of-funds, endowments, and family office allocators needing LP due diligence, GP compliance support, operational due diligence (ODD), subscription document review, and investor onboarding via InvestPrep.io.
Keywords: LP due diligence · GP compliance · operational due diligence · fund manager due diligence · investor onboarding · subscription documents · allocator due diligence
Broker-Dealers
FINRA member firms, introducing brokers, and clearing firms needing broker-dealer compliance consultants, FINRA WSPs, net capital and customer protection support, and securities filings.
Keywords: broker-dealer compliance · FINRA compliance consultants · FINRA WSPs · BD CCO services · net capital rule
CPO / CTA & NFA-Registered Firms
Commodity pool operators, commodity trading advisors, and CFTC-registered managers needing NFA compliance, CPO compliance, CFTC 4.7 and 4.13 exemptions, NFA Form 7-R / 8-R, and PQR / PR reporting.
Keywords: NFA compliance · CPO compliance · CTA registration · CFTC 4.7 exemption · NFA Form 7-R · commodity pool operator compliance
Mutual Funds & ETFs
Registered investment companies and ETF sponsors needing 1940 Act compliance, N-PORT and N-CEN filings, board governance support, and shareholder reporting.
Keywords: mutual fund compliance · ETF compliance · 1940 Act compliance · N-PORT filing · N-CEN filing · registered investment company
Fintech & Digital Banks
Digital banks, robo-advisors, and payment processors needing fintech compliance, state money transmitter licensing, BSA/AML programs, and consumer protection support.
Keywords: fintech compliance · robo-advisor compliance · money transmitter licensing · BSA AML compliance · digital bank compliance
Family Offices
Single and multi-family offices needing family office compliance, SEC family office rule (Rule 202(a)(11)(G)-1) analysis, exempt reporting adviser (ERA) filings, and investment manager governance.
Keywords: family office compliance · family office rule · exempt reporting adviser · ERA filing · multi-family office compliance
Our FIN Group
Compliance, Partnerships, and Audit Preparation
Falling behind on filings or audits?
Our fractional experts provide fast, reliable support for compliance, accounting, and IT—without full-time overhead. With experience across 200+ firms, we deliver flexible solutions to save time and resolve issues before or after audits.
FIN Compliance
Regulatory Consulting for SEC/State Advisors, FINRA, AML, EU/UK Advisors, Registered and Private Funds
FIN Portals
AI-Powered portals for financial firms and fractional partners: including RegReview.io, InvestPrep.io and ADScanner.io
FIN Partners
Launch or scale your consulting firm with revenue-sharing, referral, and sales programs
FIN Continuity
Business continuity and exit planning software for independent firms, powered by Continuity Hub
FIN Books
Flexible Accounting Support to Streamline Financial Reporting and Stay Audit-Ready
FIN Audits
On-Demand Audit Prep for Financial, AML, and IT Reviews—Including SOC & HITRUST
Our Product Suite
Determine your regulatory requirements with our consultants, then manage ongoing tasks through AI-powered platforms—independently or with consultant support.
RegReview Beta
The AI-based operating and reporting system for compliance programs — used by in-house teams and consultants to run registrations, calendars, annual reviews, marketing review, audit prep, vendor due diligence, continuity, DOL rollover analysis, and communication archiving from one platform. Enter your CRD or upload documents and AI identifies every regulator and auto-generates your task calendar. Now in 8 industry versions: RIA, broker-dealer, insurance, real estate, private credit, law firms, CPA/accounting, and fintech & payments.
Better together. Bundle all three platforms with a fractional CCO and save 20%.
See Bundle PricingThree AI platforms. One fractional team. Zero compliance gaps.
RegReview runs your calendar. InvestPrep runs your fund ops. ADScanner clears your marketing. Our FIN Group team runs alongside you — or takes the wheel entirely.
Compliance calendar, filings, reviews
Investor onboarding & fund ops
Marketing & advertising review
The Human Layer
- Fractional CCOs & compliance consultants
- Fund admin, audit, and books teams
- 7-Phase Framework keeps every workflow on cadence
Bundle all three platforms with a fractional CCO and save 20% — see Compliance OS pricing.
What Our Clients Say
Trusted by financial professionals nationwide since 2012
"I cannot say enough good things about Cory. He has done a great job fixing and maintaining our compliance issues. I highly recommend Cory!"
Scott Schwartz
CFP®, CIMA®, EntentVest, LLC
"Almost 10 years and counting… Cory served as our compliance consultant to assist us with our RIA mock audits and annual reviews. We are very pleased with his support."
Howard Erman
Earman Retirement Advisory, SEC Registered Firm
"Cory is an outstanding professional. As a consultant to my growing investment practice, he has added a tremendous amount of value."
Allan Boomer
Managing Partner, Momentum Advisors
How We Help Firms Save Time & Money
Our compliance and fractional services help financial firms reduce internal workload, avoid regulatory risks, and scale without hiring full-time staff.
Save Time, Cut Costs, and Avoid Fines
By outsourcing ADV filings, compliance reviews, testing, and audit prep.
Cut Costs by $50K–$150K/Year
By replacing full-time CCOs, CFOs, or internal staff with fractional support.
Avoid Common SEC/PCAOB Fines
Minor deficiencies: $5K–$25K+. Custody violations: $50K–$250K+.
Work With Us, Partner, or Build with Us
Three ways to engage with FIN Group — choose the path that fits your goals.
Work With Us
Engage our fractional CCO, fund admin, audit, and consulting teams to support your firm.
Contact UsPartner
Refer clients, resell our platforms, or join our subscription sales program — earn from day one.
Become a PartnerBuild with Us
Integrate via API, white-label our portals, or co-build branded compliance technology.
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