How We Work

FIN Compliance supports a network of investment advisors with Compliance Consulting, Technology, and SaaS integrations

We build compliance/disclosure apps for RIA’s and their service providers. Use our standard apps or customize a version for your team.

We also collaborate with other vendors who provide compliance, integrations, marketing, cybersecurity, continuing education, and practice management support.

Since 2012 we’ve worked with more than 200 SEC & State registered firms in the U.S. and Europe.

SEC Advertising/Marketing Rule

Marketing (Testimonial) Rules
Compliance Date: Nov 4, 2022
Use our sample testimonial disclosure generator
in compliance with new Rule 206(4)-1 provisions

SEC Cybersecurity Proposal

Compliance Date: 2023 (TBD)
SEC Proposed changes to Rule 204-(6):
Where do you stand with proposed cybersecurity provisions?
Take our assessment

SEC and State ERISA Plan Fiduciaries

Department of Labor Prohibited Transaction Exemptions (PTE)
Compliance Date: 6/30/2022
Login to our Review Center for a summary of procedures

Investment Advisor Representatives (IARs)

NASAA Continuing Education Requirements (CE)
Compliance Dates: 2022/23 & beyond
States adopting (or proposed) rule include: Arkansas, Kentucky, Maryland, Michigan,
Mississippi, Nevada, Oklahoma, Rhode Island, Vermont, Washington, D.C., Wisconsin*
Login or Register to our Compliance Calendar for more updates

* Some states have not adopted new rule provisions

New Impact

Our Founder, Cory Roberson is now volunteering as a youth mentor for a profit called
Leaders of Men based in Fairfield, CA

New Services

Calendar/Task Management
Technology/Integration Support
Virtual Marketing and Technology Support
Disclosure mobile app for communications
Integrations on Zapier

Contact Us to inquire about rule provisions in your state jurisdiction or for additional services

As Featured in


  • Our Network Includes: Registered Investment Advisors, Financial Planners, Hybrid Advisors, Private Fund Advisors, Broker-Dealers, Robo-Advisors, and Digital Asset Advisors

  • Consulting packages for SEC/State-Registered firms and affiliated private funds. Compliance/legal partner referrals for other services that may include: FINRA/FINOP*, CE/Training*, CFTC*, Cross-Border*, AML*, and securities consulting*.

  • Store books/records, disclosure delivery, and record ongoing tasks using our system.

  • Our FIN Disclosure portal to send ongoing disclosures to staff, solicitors, or general public.

  • Cybersecurity monitoring software
  • 13F filings
  • Email/Social Media archiving
  • Marketing
  • Zapier/Integrations
  • Operations workflows
  • CRM
  • Continuing education
  • Use our solution with popular applications on Zapier or we can build a custom workflows with your firm email-based calendar, CRM, or cloud portals.
  • We build custom portals of our Compliance and Disclosure Desktop/Mobile app for our FIN Lancer consultants, Financial networks, fund service providers, and compliance consulting firms.
  • Enterprise cloud security (powered by Google Cloud Console)
  • Cloud data backups (CrashPlan)
  • Access rights/controls
  • MFA-enabled
  • Privacy policy
  • Continuity policy
ria compliance technology.
compliance connect.

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
sec compliance software.
compliance technology solutions.

Disclosure Delivery

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

Third Party Vendor Services

Our collaborative network of bundled solutions from third-party vendors

Visit our directory

  • Cybersecurity monitoring software
  • 13F filings
  • Email/Social Media archiving
  • Marketing
  • Zapier/Integrations
  • Operations workflows
  • CRM
  • Continuing education
Fin Lancer screenshot
Fin Lancer screenshot
Fin Compliance dashboards look great on both web and mobile screens.

(Zapier & Rest API)

Automate tasks from our calendar to more than 3000 app on Zapier or customize our app to integrate with other tech solutions. View our FIN Compliance to RedTail CRM demo on Zapier.

  • 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


Our Portal As A Service (PaaS) program builds custom portals of our Compliance and Disclosure Desktop app for our FIN Lancer Financial networks, fund service providers and compliance consulting firms.

Custom Portal screenshot
Custom Portal screenshot


How We Can Help

Investor/Client Solutions

Disclosure Delivery
Desktop/Mobile Application

Roberson Ventures Group 1
Advisor/Financial Network Solutions

Compliance Program Management Calendar | Policies and procedures Filings (Form ADV, PF, 13F, CRS) Corporate Registrations | Annual Reviews | Risk assessments Marketing Review | Compliance Software | API/Integrations Whitelabeling

Roberson Ventures Group 2
Third Party Solutions

Cybersecurity Monitoring/Insurance | Continuing Education | 13F Filings | Marketing/CRM | Support | Zapier Integrations

Roberson Ventures Group 3

See Us In Action

Download Mobile App

(For Disclosure Delivery and Communications via a Smartphone)