FIN Compliance
Regulatory Consulting for SEC/State Advisors, FINRA, AML, EU/UK Advisors, Registered and Private Funds
Watch the Overview
FIN Compliance overview in under a minute.
Ongoing Consulting Services
Tiered compliance consulting for SEC, State, and FINRA-registered firms — from full oversight to on-demand support.
Compliance Officer
Full-service compliance oversight with a dedicated officer (or FINOP for FINRA firms), annual review & testing, and priority regulatory guidance.
- Dedicated Compliance Officer / FINOP
- Annual compliance review & testing
- Mock examinations
- RegReview.io (8 seats)
Compliance Assistant
Hands-on compliance support for firms that manage day-to-day but need expert assistance on demand.
- Compliance program support
- Annual ADV/CRS or CRD filings
- Manual & policy updates
- RegReview.io (5 seats)
Compliance Support
Foundational compliance guidance for firms seeking on-demand check-ins and document review.
- On-demand compliance support
- Annual filing support
- Regulatory Q&A & document review
- RegReview.io (3 seats)
Chief Compliance Officer Services
Fractional CCO on record — our consultant is named as your firm's Chief Compliance Officer with full regulatory oversight.
Broker-Dealer CCO
Named Chief Compliance Officer on record for broker-dealers with full FINRA and regulatory oversight.
RIA CCO
Fractional CCO for SEC and state-registered investment advisers, including compliance manual oversight and exam support.
Fractional Fund CCO
Ongoing compliance leadership and oversight for private funds — including regulatory filings, investor communications review, compliance testing, and end-to-end governance across fund operations and structures.
Registration Services
Launch your RIA, ERA, or fund/SPV with full regulatory setup — from federal/state registrations to entity formation and offering documents.
RIA Setup
From $4,895 flat
For Investment Advisors and Financial Planners. SEC or State registration, FINRA entitlement, ADV Parts 1A/B, 2A/B, and Part 3 (Form CRS), plus supplemental compliance documents.
- SEC or State RIA registration
- FINRA entitlement & CRD setup
- ADV Parts 1, 2A, 2B & Form CRS
- P&P Manual, BCP, Privacy & Advisory Agreement
ERA / Fund Setup
From $3,095 flat
For Fund Sponsors, GPs, SPV Managers, Syndicate Leads, and Emerging Managers. Exempt Reporting Adviser registration with pooled-vehicle disclosures.
- SEC or State ERA registration
- FINRA entitlement & CRD setup
- ADV Part 1A/B preparation
- Schedule D (7.B / 7.B.1) pooled vehicle filings
Fund / SPV Setup
Inquire
Full fund or SPV launch package. Entity formation, offering documents, regulatory filings, and AML/KYC compliance setup with service-provider coordination.
- LP/LLC entity formation
- PPM, LPA & Subscription Documents
- Form D & Blue Sky filings
- AML/KYC procedures & service-provider referrals
À La Carte Services
Targeted compliance services for firms that need specific support without a full subscription.
Document Review
From $3,000 flat. ADV reviews, advisory agreement, Form CRS, Manual, Code of Ethics, Privacy Policy, and BCP cross-consistency review for state and SEC-registered RIAs.
Annual Review
From $4,500 flat. WSP/Manual review, ADV consistency, AI usage policy, Reg S-P privacy update, cybersecurity & vendor risk, and annual review documentation memo.
BD Document Creation
From $5,000 per engagement. Written Supervisory Procedures, AML/BSA program, FINRA Rule 2210 marketing policies, Books & Records (SEA 17a-4), Rule 4370 BCP, and Code of Ethics for FINRA-registered broker-dealers and FINTech firms.
ADV Filings Support
From $2,500 flat. Form ADV preparation & amendments (Parts 1, 2A, 2B), Material Changes summaries, IARD/EDGAR submission support, and filing confirmation recordkeeping.
Securities & Blue Sky Filings
From $2,500 flat. Form D (Reg D 506(b)/506(c)) filings, Form 13F institutional holdings, state-by-state Blue Sky notice filings, and EDGAR filer credentials setup.
Specialized Compliance Solutions
Beyond fractional CCO and ongoing consulting, FIN Group offers purpose-built compliance solutions for private fund managers (PE, VC, hedge funds), GPs and LPs, NFA-registered firms (CPOs/CTAs), state-registered RIAs, and broker-dealers. Explore the surfaces below — each links to a dedicated practice area or platform.
Private Fund Compliance
Private equity, hedge fund, and venture capital compliance for GPs and fund sponsors. Form PF filing, Private Fund Adviser Rule readiness, Marketing Rule (Rule 206(4)-1), side-letter tracking, and ongoing SEC oversight for private fund advisers.
Keywords: private fund compliance, private fund adviser rule, Form PF, hedge fund compliance, private equity compliance
Explore Private Fund ComplianceFund Administration
Outsourced fund administration services for private funds, SPVs, and pooled vehicles — NAV calculation, investor reporting, capital calls and distributions, K-1 coordination, and audit-ready books for emerging and established managers.
Keywords: fund administration services, fund administrator, private fund accounting, NAV calculation, SPV admin
Explore Fund AdministrationLP / Investor Due Diligence
Operational due diligence (ODD) support for LPs, allocators, family offices, and institutional investors evaluating GPs and fund managers. DDQ responses, ADV/Form PF review, and manager-vetting workflows.
Keywords: LP due diligence, ODD, operational due diligence, fund manager due diligence, allocator vetting
Explore LP / Investor Due DiligenceNFA / CPO / CTA Compliance
Commodity Pool Operator and Commodity Trading Advisor registration, NFA membership, disclosure document filings, annual updates, and ongoing CFTC/NFA compliance program oversight.
Keywords: NFA compliance, CPO compliance, CTA registration, commodity pool operator, CFTC compliance
Explore NFA / CPO / CTA ComplianceState RIA Registration Hub
State-by-state RIA registration and ongoing compliance — IARD/CRD filings, state-specific notice filings, and renewal management across all 50 states for state-registered investment advisers.
Keywords: state RIA registration, IARD filing, state investment adviser, RIA compliance by state
Explore State RIA Registration HubRegulatory Intelligence (RegReview)
SEC, FINRA, NFA, and state regulator update monitoring with AI-summarized rule changes, enforcement trends, and exam priorities — keeping CCOs and compliance teams ahead of regulatory shifts.
Keywords: regulatory intelligence, SEC rule updates, FINRA enforcement, compliance monitoring
Explore Regulatory Intelligence (RegReview)Marketing & Ad Review (ADScanner)
AI-powered Marketing Rule (Rule 206(4)-1) compliance review for advisor marketing materials, testimonials, performance advertising, and social media — catches Reg-violating language before it ships.
Keywords: marketing rule compliance, advisor advertising review, Rule 206(4)-1, testimonial rule
Explore Marketing & Ad Review (ADScanner)Investor Onboarding (InvestPrep)
Subscription document workflow, accredited investor verification (Rule 506(c)), AML/KYC, and qualified-purchaser checks for private fund managers raising capital.
Keywords: investor onboarding, accredited investor verification, AML KYC, Reg D 506c, qualified purchaser
Explore Investor Onboarding (InvestPrep)FIN Compliance runs inside our own platforms — your team works in your portal, not in spreadsheets.See how the OS works.
Consulting, powered by our Compliance OS
Your consultant works inside RegReview & InvestPrep
The same platforms we license to firms run every FIN Group engagement — so hours go to judgment, not to formatting Word docs.
Consistent deliverables
Every redline, gap-scan finding, testing workpaper, and 206(4)-7 / 3120 / 3130 annual review comes out of the same RegReview templates — regardless of tier or consultant.
Exam-ready evidence
Reviews, attestations, marketing approvals, vendor DDQs, and change logs are timestamped as work happens. DRLs get exported, not reconstructed.
One source of truth
Manual, risk assessment, marketing log, vendor log, personal-trading, and testing workpapers live in one workspace your consultant, CCO, and examiner can all see.
Fund ops built in
Private-fund clients get InvestPrep for subdocs, capital calls, distributions, and NAV close — feeding the audit trail back into RegReview for books & records.
Cadence scales by tier — annual (Bronze) → quarterly + event-driven with a named CCO/FINOP (Platinum). Your workspace exports with you if you ever leave.
Our Product Suite
Our consultants identify your regulatory requirements, then our AI platforms handle ongoing compliance workflows—with or without hands-on support.
RegReviewBeta— Compliance OS
The AI-based operating and reporting system for compliance programs — used by in-house teams and consultants to run registrations, calendars, annual reviews, marketing review, audit prep, vendor due diligence, continuity, DOL rollover analysis, and communication archiving from one platform. Enter your CRD or upload documents and AI identifies every regulator and auto-generates your task calendar. Now in 8 industry versions: RIA, broker-dealer, insurance, real estate, private credit, law firms, CPA/accounting, and fintech & payments.
InvestPrepBeta— Private Capital OS
The AI-based operating and reporting system for fund administration, investor reporting, and due diligence programs — used by fund admin teams, GPs, allocators, and consultants to run investor onboarding, KYC/KYB, capital calls, distributions, sub docs, and DDQs across four specialized modules (Fund Admin Pro, Due Diligence Pro, Capital Markets Pro, Credit Pro). Multi-jurisdiction support for US, EU, and Canada. Plans from $189/mo, 14-day free trial.
ADScannerBeta— Marketing Review
Upload marketing materials and get instant compliance analysis across SEC/FINRA (US) with state overlays (CA, NY, TX, FL), FCA (UK), CSA (Canada), and ASIC (Australia). Eight industry packs: financial services, insurance, mortgage, banking, healthcare, legal, tax & accounting, and real estate. Line-by-line analysis, risk detection, AI-revised compliant rewrites, and webhook integrations in seconds.
Ready to strengthen your compliance program?
Schedule a consultation to discuss your firm's specific needs and how our fractional compliance team can help.