style="margin-left: 20px;" Who We Are

FIN Compliance is a consortium of compliance, consulting, and business management solutions to help investment firms to structure, maintain, and develop their regulatory review programs. Since 2012, we served the investment industry to make a social impact in our community.

Our Progress

Total AUM (Millions) of Past/Present Customers
4000
Past/Present Customers

180 +
System Users

170
Years Since Inception

9

Our History

Roberson Consults Group

Launched Compliance Consulting services

Jan 2012

FIN Compliance Launch

Launched Compliance Management System

Aug 2016

FIN Lancer Launch

Launched Business Management System

July 2020

Management & Staff

Cory Roberson
Founder, Principal
Cory is principal of FIN Compliance, FIN Lancer, FIN Disclosures, and he serves a WealthTech/FINTech Compliance Advisor for Proxy CEO, a startup consulting and advisory practice.
David McNeal
Researcher, Administrator
David assists our firm with product research, front end design, systems support and automation, marketing development, content research, SEO , and more. He is also a freelance blogger in the blockchain and crypto space.

Cybersecurity/Partners

Jeff Wilson, CISO, CISSP
Glacier Cybersecurity

Cybersecurity consulting and support services in connection with FIN ComplianceCybersecurity consulting and support services in connection with FIN Compliance

Advisory Team

Kerry Jordan, CFA

Founder - Supercritical, LLC | Board Member
Scott Schwartz, CFP

Founder - EntentVest, LLC | Venture Partner

Amilcarr Chavarria

FinTech | Blockchain Entrepreneur | Investor
Larry Shumbres

FinTech | Entrepreneur | CEO

Other Network Partners

Atlas Park & Co.
Elite Viviant
Securities/Compliance Legal
Proxy CEO
AAAA
Peachie Insurance
Redwhale
Sensussoft

Affiliate/Consulting Network

Affiliate Compliance Consultants

We are a group of professionals servicing the financial compliance ecosystem for:
- RIAs
- BDs
- Payments tech
- Crowdfunding
- SEC firms
- State firms
- CFTC-regulated
- NASAA regulated
- FCA regulated
- and more
Affiliate Business Vendors

A group of vendors solutions for fincancial services firms, including:
- Marketing
- Mergers/Acquisitions
- Crowdfunding
- Blockchain
- Accounting
- investment management
- Business Dev
- Cybersecurity
- Operations
- Tech/Support

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See Us In Action

Demo

Download Mobile App

(For Disclosure Delivery and Communications via a Smartphone)

Android Mobile App Download

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iPhone Mobile App Download

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CONNECT FOR COMPLIANCE, TECHNOLOGY, OR MARKETING SUPPORT

About

FIN Compliance is a consortium of compliance, consulting, and business management solutions to help investment firms to structure, maintain, and develop their regulatory review programs. Since 2012, we served the investment industry to make a social impact in our community.

Our Progress

Our History

Roberson Consults Group

FIN Compliance Launch

FIN Lancer Launch

Management & Staff

Cory Roberson

David McNeal

Cybersecurity/Partners

Jeff Wilson, CISO, CISSP Glacier Cybersecurity

Advisory Team

Kerry Jordan, CFA

Scott Schwartz, CFP

Amilcarr Chavarria

Larry Shumbres

Other Network Partners

Affiliate/Consulting Network

Affiliate Compliance Consultants

Affiliate Business Vendors

See Us In Action

Download Mobile App

(For Disclosure Delivery and Communications via a Smartphone)

Jeff Wilson, CISO, CISSP
Glacier Cybersecurity