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    FIN Group — Fractional Compliance, Audit & Technology Services

    Supporting the Next Generation of FINServ Firms, Fractional Executives, and Consultants to launch a firm, maintain compliance, and scale its services. Trusted since 2012.

    People First

    We Use Technology, But We Are People First

    200+

    Firms Served

    Since 2012

    Industry Experience

    Primary + Backup

    Consultant Coverage

    Fast

    Support Available

    Who We Are

    Fractional compliance team since 2012

    Since 2012, FIN Group — Compliance | Portals | Sales | Partners | Books | Audits — has helped over 200 financial firms stay compliant and audit-ready without the overhead of full-time staff.

    Our bundled services cover compliance, accounting, and audit prep delivered through secure platforms and a nationwide network of fractional professionals — seasoned compliance experts, J.D.s, CFAs, CSCPs, IACCPs, and CPAs.

    What We Cover

    Registrations, filings & ongoing oversight

    We support investment advisors, fintechs, consultants, and service providers with scalable solutions across SEC, state, and FINRA registrations, plus AML and global compliance.

    Coverage includes filings like ADV, 13F, 10-K/Q, and Blue Sky, plus ongoing marketing reviews and AI-powered compliance calendar management.

    One Compliance OS

    Three 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.

    FIN GroupCompliance OS

    The Human Layer

    • Fractional CCOs & compliance consultants
    • Fund admin, audit, and books teams
    • 7-Phase Framework keeps every workflow on cadence
    Meet your team

    Bundle all three platforms with a fractional CCO and save 20% — see Compliance OS pricing.

    How the four parts fit together

    One corporate site, three platforms — each with a distinct job, sharing the same records and evidence.

    Diagram of the FIN Group ecosystem: the FIN Group corporate site above RegReview (Compliance OS), InvestPrep (Private Capital OS), and ADScanner (Marketing Review)
    Our Process

    How We Work With You

    For consulting services, we understand that life happens. That's why we assign every firm a primary consultant AND a backup — and use technology like RegReview.io, InvestPrep.io, and ADScanner.io to standardize ongoing compliance tasks.

    01

    Understand Your Needs

    We start by listening. Every firm is different, and we take time to understand your specific compliance challenges, audit timelines, and growth goals.

    02

    Assign Your Team

    You get a dedicated primary consultant who knows your business, plus a backup consultant ready to step in whenever needed—no handoff delays.

    03

    Deliver Results

    From ADV filings to audit prep, we handle the heavy lifting so you can focus on growing your business and serving your clients.

    FIN Group | Compliance Partners

    Cory Roberson

    Cory Roberson

    Founder/CEO | FIN Group

    Robert Moreiro, J.D.

    Robert Moreiro, J.D.

    RIA Compliance/Legal Partner (Practus, LLP)

    Mateo Johnson, J.D.

    Mateo Johnson, J.D.

    RIA/Fund Compliance Partner

    Patrick Daly, CPA

    Patrick Daly, CPA

    CFO Accounting/Partner

    Bruce Warner, CPA

    Bruce Warner, CPA

    Fund/Tax Accounting Partner

    Joshua Essary, CFA/CPA

    Joshua Essary, CFA/CPA

    Fund Admin/Finance Partner

    Paige Annunziato

    Paige Annunziato

    Chief of Staff/Project Manager

    Michael Richards

    Michael Richards

    Tech/Operations Manager

    Patricia Blackman

    Patricia Blackman

    Compliance/Fund Admin Manager

    David McNeal

    David McNeal

    Sales/Operations

    David Hunt

    David Hunt

    Brokerage/Compliance Partner

    Our Mission

    Serving the Investment Community to Make a Social Impact

    We believe that strong markets begin with strong values. Our mission is to empower financial firms, consultants, and entrepreneurs to operate with transparency, accountability, and integrity—creating a more trustworthy financial ecosystem for everyone.

    Community ImpactEthical PracticesTransparency
    Community service and social impact
    Team collaboration and mentoring
    Professional development programs
    Empowering next-gen entrepreneurs
    Career flexibility and independence
    Global consulting community
    Our Vision

    Empowering the Next Generation

    Our vision is to support the next generation of consultants and entrepreneurs who want more control over their time and career. We provide the tools, frameworks, and community needed to build sustainable, impactful ventures.

    Career IndependenceMentorshipGlobal Reach
    Founder's Story

    Building Ventures with Purpose and Principle

    For over 20 years, our Founder/CEO, Cory Roberson, has remained dedicated to advancing the mission of empowering entrepreneurs, students, and professionals who aspire to create ventures that drive positive, lasting impact. As a businessman, investor, social entrepreneur, and author, Cory brings over two decades of experience in the investment management industry, where he has worked to promote transparency, accountability, and ethical practices in service of a more trustworthy financial ecosystem.

    Cory has contributed to more than ten community service and educational programs across California, New Orleans, Brazil, China, South Korea, Thailand, and South Africa—supporting youth, emerging leaders, and mission-driven entrepreneurs. In his book, From Student to Entrepreneur, he outlines a framework for transforming ideas into purposeful ventures by applying the disciplines of business with the mindset of impact. His volunteering with Christian churches has included serving youth, homeless ministry, and in various capacities. As it is written, "Each of you should use whatever gift you have received to serve others, as faithful stewards of God's grace in its various forms" (1 Peter 4:10).

    Grounded in the belief that strong markets begin with strong values, Cory shares lessons from his journey—across industries, continents, and challenges—to inspire others to build enterprises that generate returns beyond capital, rooted in integrity and public trust.

    Purpose-DrivenGlobal ImpactIntegrity
    Cory Roberson, Founder & CEO of FIN Group
    Founder media appearances
    Community service and mentorship

    Our History

    A journey of innovation and growth in financial compliance

    2026NEW

    AI-Powered Compliance/Stakeholder Portals

    RegReview.io, InvestPrep.io, and ADScanner.io

    2025

    FIN Group (New Corporate Umbrella)

    Brands: FIN Compliance | Portals | Partners | Audits | Books | Continuity

    2024

    Partner & Integration Systems

    Unified portals for tech and referral support for partners

    2023

    Enterprise/Product Launch

    Custom compliance/disclosure portals for partners

    2022

    Partner/Consultant Program

    Collaborative model compliance, technology, and practice manage Consultants

    2016 - Present

    Development Iteration Cycle

    Compliance, disclosure, and product/name updates

    2016

    Technology Launch

    RIA Review App Launch

    2015

    Book Launch

    Founder (Cory Roberson's) book "From Student to Entrepreneur"

    2011-2012

    Consulting Launch

    Independent consulting practice - Roberson Consults Group

    FIN Group | Network Partners

    Cameo Roberson

    Cameo Roberson

    Fractional COO | Growth Strategist | Integrator

    Atlas Park Co

    Stephanie Dannebaum

    Stephanie Dannebaum

    CRM Operations

    Kerry Jordan, CFA

    Kerry Jordan, CFA

    Founder - Supercritical, LLC | Board Member

    Scott Schwartz, CFP

    Scott Schwartz, CFP

    Founder - EntentVest, LLC | Venture Partner

    Amilcarr Chavarria

    Amilcarr Chavarria

    FinTech | Blockchain Entrepreneur | Investor

    Larry Shumbres

    Larry Shumbres

    FinTech | Entrepreneur | CEO

    Ryan Morgan

    Ryan Morgan

    EU/UK Compliance Officer

    Brad Jeter, CEPA

    Brad Jeter, CEPA

    Exit Planning & Continuity Partner

    Jared Stutler

    Jared Stutler

    Sales/Partnerships Officer

    Peter Holcomb

    Peter Holcomb

    Technology

    Some of Our Past/Current People

    Hear what our clients have to say about working with FIN Compliance.

    Scott Schwartz

    Scott Schwartz

    CFP®, CIMA®

    EntentVest, LLC

    "I cannot say enough good things about Cory. He has done a great job fixing and maintaining our compliance issues. I highly recommend Cory!"

    K. Daniels

    K. Daniels

    Client Relationship Manager

    "Overall the content is great. The checklists and abundance of info greatly helps our firm go above and beyond in completing our compliance tasks."

    David Crews

    David Crews

    Crews Capital Management

    Texas Registered Firm

    "Thanks, I had a last second request for an encrypted email and your website worked great - saved money and a lot of time while serving client's needs."

    Nathan Cherry

    Nathan Cherry

    Principal

    Fidelis Financial (NC-Registered Firm)

    "Thank you, FIN Compliance, for your invaluable assistance! Your service has been instrumental in navigating the complexities of compliance as we embark on this journey. As a newcomer to this realm, your support has made the process not only manageable but surprisingly straightforward."

    Howard Erman

    Howard Erman

    Earman Retirement Advisory

    SEC Registered Firm (inactive)

    "Almost 10 years and counting…, Cory served as our compliance consultant to assist us with our RIA mock audits and annual reviews as an independent investment advisor. We are very pleased with Cory's support and work with our firm."

    Allan Boomer

    Allan Boomer

    Managing Partner

    Momentum Advisors

    "Cory is an outstanding professional. As a consultant to my growing investment practice, he has added a tremendous amount of value. He works hard, knows his stuff, and provides great value."

    In The Media

    Financial Media

    Featured appearances and industry contributions

    Founder media appearances
    Founder Features

    Podcast & Media Appearances

    Industry insights and discussions on compliance, entrepreneurship, and financial services.

    Influencer media features
    Industry Features

    Business Innovators Network

    Featured on leading business innovation platforms, sharing insights on fintech and compliance.

    Ready to Get Started?

    Schedule a consultation with our team to discuss your compliance needs.

    Schedule a Consultation