FIN Group vs COMPLY (formerly NRS/RIA in a Box)
Compliance software + consulting bundle. Here's an honest look at where each provider wins — so you can pick the right fit for your firm.
Best fit for FIN Group
Emerging and mid-market RIAs, broker-dealers, and private fund managers who want senior attention, integrated technology, and transparent pricing.
Best fit for COMPLY (formerly NRS/RIA in a Box)
Small RIAs looking for a self-serve software platform with light consulting attached.
Pricing: COMPLY platform subscriptions start around $4-8K/year with consulting hours billed separately.
Feature-by-feature
| Feature | FIN Group | COMPLY (formerly NRS/RIA in a Box) |
|---|---|---|
| Named fractional CCO | ✓ Included from Gold tier up | Hourly consulting only |
| AI marketing review | ✓ ADScanner | Manual / template |
| Annual review ownership | ✓ FIN delivers | DIY or extra hours |
| Exam representation | ✓ Included | Billable add-on |
| Starting price (with CCO) | $3K/mo | $8-15K all-in for similar coverage |
Where FIN Group wins
Real fractional CCO — not 'consulting hours'
FIN clients get a named CCO who owns the program, attends the exam, and signs the annual review. COMPLY sells hours, not outcomes.
Modern, AI-native tooling
ADScanner reviews marketing materials in seconds with rule-cited rationale. COMPLY's marketing review is human-only or template-based.
Better unit economics at scale
Once you add consulting hours, COMPLY's all-in cost typically exceeds FIN's bundled offering for firms over $300M AUM.
Where COMPLY (formerly NRS/RIA in a Box) is strong
We believe in honest comparisons. Here's where the other side genuinely wins:
Polished platform UX
COMPLY has invested heavily in their workflow software and document management.
Self-serve for very small firms
If you're a solo RIA under $100M who just wants software, COMPLY's starter plan is hard to beat on price alone.
Frequently asked
Should I switch from COMPLY to FIN?
If you've outgrown self-serve and find yourself buying consulting hours every month, FIN's bundled fractional model usually saves money and reduces vendor sprawl.
Still not sure?
A 20-minute conversation with a senior FIN CCO will tell you whether we're the right fit — no pressure either way.
Compare other providers: ACA Group · Foreside · National Law firm + RegEd · CoreCo / Core Compliance