Skip to main content

    FIN Group — Compliance, Audit & Technology

    Fractional support for financial services firms, executives, and consultants.Trusted since 2012.

    People First

    People First, Technology Enabled

    Cory Roberson, FIN Group founder, at the team table in the Walnut Creek office

    FIN Group is a fractional compliance team of J.D.s, CFAs, CPAs, and certified compliance professionals. We handle SEC, state, and FINRA registrations, ADV and Form D/Blue Sky filings, AML, and marketing review for advisers, funds, fintechs, and service providers.

    FIN Group | Our Team

    Leadership

    Specialists

    Client Support

    Our Process

    How We Work With You

    Every firm gets a primary consultant and a backup, with RegReview.io, InvestPrep.io, and AD/Risk Scanner standardizing the ongoing work.

    225+

    Firms supported (past and present)

    Since 2012

    Industry Experience

    Primary + Backup

    Consultant Coverage

    Fast

    Support Available

    Our model is service-as-software: our AI platforms do the repeatable work, and our team reviews it and delivers it to you for sign-off. Run it yourself, run it with us, or have us run it for you. Your firm always keeps final approval and supervisory responsibility.

    01

    Understand Your Needs

    We start by listening — your compliance challenges, audit timelines, and growth goals.

    02

    Assign Your Team

    A dedicated primary consultant plus a backup ready to step in — no handoff delays.

    03

    Deliver Results

    From ADV filings to audit prep, we handle the heavy lifting so you can focus on clients.

    One Compliance OS

    Three AI platforms. One fractional team. One connected compliance program.

    RegReview runs your calendar. InvestPrep runs your fund ops. AD/Risk Scanner gives your marketing a first-pass review. Our FIN Group team runs alongside you — or runs the work for you, while your firm keeps final supervisory responsibility. AI scans are a first-pass review, not a final approval. On consulting plans a FIN Group consultant reviews outputs; on software-only plans and free instant scans, your team reviews and approves results. Our services support exam preparation but do not ensure compliance, exam outcomes, or regulator approval.

    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.

    In Their Words & In the Media

    In their words.

    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

    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.

    Partnerships

    FIN Group welcomes partnerships with independent specialists and service providers that complement our compliance and technology services.

    Our Mission

    Serving the Investment Community to Make a Social Impact

    Strong markets begin with strong values. We empower firms, consultants, and entrepreneurs to operate with transparency, accountability, and integrity.

    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

    We support the next generation of consultants and entrepreneurs with the tools, frameworks, and community 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).

    Most recently, Cory launched The Co-Build Table—a community initiative for working adults in the ideation phase of a venture. Through small, in-person co-building sessions held in coffee shops, participants bring an early idea to the table and leave with a clearer next step, working through business, career, and impact tracks alongside other builders.

    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

    Fifteen years of building compliance technology and services

    2026New

    AI-Powered Compliance/Stakeholder Portals

    RegReview.io, InvestPrep.io, and AD/Risk Scanner

    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

    Ready to Get Started?

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

    Schedule a Consultation