Compliance Operating Systems forRIAs, Broker-Dealers & Private Capital
Compliance officers, fund admins, and AI-native platforms — one team, one system. Trusted since 2012.
Free AI scan against SEC Marketing Rule 206(4)-1 and FINRA 2210. Grade in seconds, full report by email.
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
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
Our Customers
Fractional CCO services, fund administration, due diligence, filings, and compliance technology — across the regulated firm types below.
Investment Advisers (RIAs)
SEC and state RIAs — Form ADV filings, custody rule support, and fiduciary program management.
Private Funds & Hedge Funds
PE, VC, hedge, and private credit GPs — Form PF, private fund adviser rule, and fund admin.
GP / LP Investors & Allocators
LPs, fund-of-funds, and allocators — operational due diligence, DDQs, and investor onboarding.
Broker-Dealers
FINRA member firms — WSPs, net capital and customer protection support, and securities filings.
CPO / CTA & NFA-Registered Firms
CFTC-registered managers — NFA registration, 4.7 / 4.13 exemptions, and PQR / PR reporting.
Mutual Funds & ETFs
Registered funds and ETF sponsors — 1940 Act compliance, N-PORT / N-CEN, and board reporting.
Fintech & Digital Banks
Neobanks, robo-advisors, and payments — money transmitter licensing and BSA/AML programs.
Family Offices
Single and multi-family offices — family office rule analysis, ERA filings, and manager oversight.
Our FIN Group
Compliance, Partnerships, and Audit Preparation
Falling behind on filings or audits?
Fractional compliance, accounting, and IT support — experience across 200+ firms, without full-time overhead.
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.
Cory Roberson
Founder & Principal Consultant, FIN Group
A note from our founder
You're not buying software. You're hiring someone who signs off on your program.
I've spent over 20 years in investment management compliance — sitting through exams, rebuilding written supervisory procedures, and cleaning up programs that looked fine on paper until a regulator asked a follow-up question.
We built RegReview, InvestPrep, and ADScanner because the tools we needed didn't exist at a price emerging managers could justify. But the platforms don't do the work alone. Every engagement has a named senior consultant attached to it — usually me — and that's the part I won't automate.
Cory Roberson — Founder & Principal Consultant, FIN Group
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
Reduce internal workload and regulatory risk — 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.
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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