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.

Served nearly 200 SEC & State registered firms served in US and Europe

Typical Size: $0 – 500MM (AUM)

FIN Compliance

FinServ Network includes:

  • Investment Advisors/Financial Planners (RIA)
  • Hybrid/Private Fund Advisors
  • Robo-Advisors/FinTech/Digital Asset Advisors

Compliance Consulting:

  • SEC/State Compliance Consulting and Audit Prep

Desktop Application:

  • Compliance & Operational Resources

Mobile Application:

  • Disclosure delivery/notification system for clients, prospects, staff, vendors, and third parties

Other Benefits:

  • Bundled Packages (Consulting + Desktop + Mobile);
  • Advisor Directory and Business Continuity prep for firms
  • Vendor Directory for advertising and referrals

Compliance Manager

Online Resources

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

E-Contract Offer

  • Complimentary E-contract account with compliance account signup (act now)

Business Manager

Project Dashboard

  • Client Center to store customer forms:
  • Project Center
  • Document Center
  • Advisor Firm Directory
  • Offers Directory

FIN Disclosure Center

Desktop & Mobile Application

Deliver disclosures, such as:

  • Business Continuity plans:
  • Privacy Policies
  • Form ADV, CRS and advertising notices.
  • Marketing Material

Code of Ethics Reporting for:

  • Other Business Activities
  • Advertising
  • Personal Securities Transactions


Use our system to avoid "failure to disclose or deliver-related fines" by meeting SEC/NASAA Mode Rule 204-3 Brochure
(ref. SEC fines between $10,000 - $97,000 for Form CRS delivery failures)

FIN Business Marketplace

Advisor Directory listing of firms for:

  • Business Continuity Partnerships
  • Succession Planning
  • Advisor-to-advisor Advertising
  • Solicitor or Money Manager Services

Offers Directory listing of service providers in:

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

Products / Services

Vendor Network

Testimonials

How We Can Help

  • Setup an Account Profile

  • Review Compliance Calendar

  • Discuss Service Needs

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