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.
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.
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.
Compliance calendar, filings, reviews
Investor onboarding & fund ops
Marketing & advertising review
The Human Layer
- Fractional CCOs & compliance consultants
- Fund admin, audit, and books teams
- 7-Phase Framework keeps every workflow on cadence
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.

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.
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.
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.
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

Paige Annunziato
Chief of Staff/Project Manager

Michael Richards
Tech/Operations Manager
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.






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.
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.



Our History
A journey of innovation and growth in financial compliance
AI-Powered Compliance/Stakeholder Portals
RegReview.io, InvestPrep.io, and ADScanner.io
FIN Group (New Corporate Umbrella)
Brands: FIN Compliance | Portals | Partners | Audits | Books | Continuity
Partner & Integration Systems
Unified portals for tech and referral support for partners
Enterprise/Product Launch
Custom compliance/disclosure portals for partners
Partner/Consultant Program
Collaborative model compliance, technology, and practice manage Consultants
Development Iteration Cycle
Compliance, disclosure, and product/name updates
Technology Launch
RIA Review App Launch
Book Launch
Founder (Cory Roberson's) book "From Student to Entrepreneur"
Consulting Launch
Independent consulting practice - Roberson Consults Group
FIN Group | Network Partners
Some of Our Past/Current People
Hear what our clients have to say about working with FIN Compliance.

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
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
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
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
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
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."
Financial Media
Featured appearances and industry contributions


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














