Supporting the Next Generation of Fractional Executives, FinServ teams, and Consultants
What We Offer
Compliance consulting and technology integration for teams
Integration and cross selling packages for FinTech, WealthTech, RegTech
Whitelabeled unified portals for login access to multiple apps via API/SSO
Sales referrals, leads, and connections for our partner network
Mobile app for communicating disclosures on smartphone
About Us
We operate within a consortium of compliance, technology, and training consultants to assist investment firms in structuring, maintaining, and developing their regulatory programs.
As a whole, we provide compliance, sales, and integration systems to the FIN Service Ecosystem, which includes SEC and state-registered investment advisors, financial planners, insurance agents, private funds, broker-dealers, and consulting vendors. Since 2012, we have served more than 200 firms in the financial services ecosystem.
Offering pre-built compliance and integration portals for consultants, compliance officers (CCOs), staff, and their customers to use alongside other technology applications via SSO/API connectors.
FIN Compliance has earned recognition from the National Association of Personal Financial Planners (NAPFA), the Association of African American Advisors (AAAA), Kitces.com Advisor Tech Directory, and the FINRA Compliance Vendor Directory. It has also been featured in various sites, such as Financial Planning Magazine, FPA, CFA.
200+
Firms Served
RIA, Consulting, Private Fund
10+
Network Partners
Consulting, Legal, Software, IT
12+
Years
Trusted Provider
Our History
2011-2012
Consulting Launch
Independent consulting practice
2011-20122016
Technology Launch
FIN Compliance App launch
20162016 - Present
Development Iteration Cycle
Compliance, disclosure app, and mobile adjustments
2016 - Present2022
Partner/Consultant Program
Collaborative model compliance, technology, and practice manage Consultants
20222023
Enterprise/Product Launch
Custom compliance/disclosure portals for partners
20232024
Sales/Integrations Systems
Unified portals for tech and sales support for partners
2024FIN Compliance
Advisory Team
Partner Network
Gary Nelson
RIA Compliance/Training
CorporateNerd
Are you next ?
Inquire to join our partner network
IT/Legal Vendors
Our Impact
For nearly 20 years, our Founder Cory Roberson, remained committed to support entrepreneurs, students, and those who wish to build impactful ventures within their careers. As a businessman, investor, and social entrepreneur, and now Author, Cory’s spent over ten years in the investment management industry and in work with various social causes. Cory worked with (or spoken) at more than ten community service or educational programs serving youth and entrepreneurs in California, New Orleans, Brazil, China, S. Korea, Thailand, and S. Africa. In his book, From Student to Entrepreneur, Cory discusses his methods for turning ideas into a structure by thinking in terms of business and impact. At the intersection of vision and practical thinking, he shares his experiences in the investment industry; travel, challenges failure, starting business ideas, and inspirational people he's met along the way. His goal is for anyone to turn ideas into a structure that generates a return - not always measured in terms of capital.
Mission
Serving the Investment Community to Make a Social Impact
Vision
Our vision is to support the next generation of consultants and entrepreneurs who want more control over their time and career.
