Pricing

FIN Compliance looks great on all devices.

Summary of Services

Our Compliance and Business Management Solutions

How we compare

FIN Compliance vs. Popular Competitor
Registration
Starting at $3,995 (for all firms)
No discounts when bundling

Ongoing Compliance*
Bundling packages technology, limited filings, and consulting
Starting at $2,395/yr (for State-registered firms)
Starting at $3,495/yr (for SEC-registered firms)

Breakdown of Products/Services
Technology (features: calendar, forms, templates + mobile app)
Filings (2 included: add-on fee for additional filings)
Consulting (General Q&A included: add-on fee for other work)
Technology/App (included)
Add-ons/other services (inquire)
RIA Registration
Starting at $4,000 (state firms)
Starting at $6,000 (SEC firms)
some discounts if bundling

Ongoing Compliance
Bundling technology, unlimited filings, and consulting
Starting at $7,800/yr (for state-registered firms)
Starting at $12,900/yr (for SEC-registered firms)

Breakdown of Products/Services
Technology (features: calendar, forms, templates + mobile app)
Filings (unlimited)
Consulting (General Q&A, 3 additional state registrations,
procedures manual, marketing reviews)
Add-ons/other services (inquire)

Our Value
Why the starting price difference?
We give our smaller/boutique-sized firms the option to price in services based on the amount of outsourced assistance needed. Note: Some of our pricing may be comparable to our competitors when adding services. Competitor pricing estimates are based on a website review and the actual fees may change depending on several factors. We cannot guarantee the accuracy of any competitor estimates.

RIA Registration

Start your practice with a competitive flat fee
Registration
Starting From
$3995/yr
(depending on scope of project)
Consulting Support

SEC* or State Registration Assistance
FINRA Entitlement/Setup
ADV Part 1A/B; Part 2A & B, and Part 3 (CRS*) Brochure Filings
Supplemental Forms:
Investment Advisory/Financial Planning Agreement
Policies & Procedures Manual; Business Continuity Plan; Privacy Policy Notice

Visit our other service options

Get more info

Compliance Consulting

Ongoing compliance support options (12-mo. contract)
Enterprise

Request Quote

Custom Options

Fintechs

Regulatory Mapping
Jurisdictional
Framework/research
Compliance Portals
CCO/CO services

Financial Networks*

Compliance*
Operations*
*Joint projects with partners

Tier 1
Gold

Starting From

$8995/yr
(or $750/month)
Custom Options

Filings

Up to 6 (add-on available)

Registrations

Partial Registration
SEC to State registration
State to SEC registration
Additional states

Reviews

Quarterly/Ongoing Reviews
Periodic Reviews of books/records
Action Plan
Policies/Procedures Check
Mock Audit

Technology

(Up to 3 users)

Desktop Solution

Premium+ Version

Mobile Solution

Basic Version**
Premium Version
(add-on fee applies)

Tier 2
Silver

Starting From

$5995/yr
(or $600/month)
Custom Options

Filings

Up to 4 (add-on available)

Registrations

Partial Registration
SEC to State registration
State to SEC registration
Additional states

Reviews

Quarterly/Ongoing Reviews
Policies/Procedures Check

Technology

(Up to 1 user)

Desktop Solution

Premium+ Version

Mobile Solution

Basic Version**
Premium Version
(add-on fee applies)

Tier 3
Bronze

Starting From

$3995/yr
(or $350/month)
Custom Options

Filings

Up to 2 (add-on available)

Reviews

Policies/Procedures Check

Technology

(Up to 1 user)

Desktop Solution

Premium+ Version

Mobile Solution

Basic Version**
Premium Version
(add-on fee applies)

Get more info
Enterprise

Request Quote

Custom Options

Fintechs

Regulatory Mapping
Jurisdictional
Framework/research
Compliance Portals
CCO/CO services

Financial Networks*

Compliance*
Operations*
*Joint projects with partners

Tier 1
Gold

Starting From

$5995/yr
(or $500/month)
Custom Options

Filings:

Up to 6 (add-on available)

Registrations

Partial Registration
SEC to State registration
State to SEC registration
Additional states

Reviews

Quarterly/Ongoing Reviews
Periodic Reviews of books/records
Action Plan
Policies/Procedures Check
Mock Audit

Technology

(Up to 3 users)

Desktop Solution

Premium+ Version

Mobile Solution

Basic Version**
Premium Version
(add-on fee applies)

Tier 2
Silver

Starting From

$3995/yr
(or $350/month)
Custom Options

Filings:

Up to 4 (add-on available)

Registrations

Partial Registration
SEC to State registration
State to SEC registration
Additional states

Reviews

Quarterly/Ongoing Reviews
Policies/Procedures Check

Technology

(Up to 1 user)

Desktop Solution

Premium+ Version

Mobile Solution

Basic Version**
Premium Version
(add-on fee applies)

Tier 3
Bronze

Starting From

$2395/yr
(or $200/month)
Custom Options

Filings:

Up to 2 (add-on available)

Reviews

Policies/Procedures Check

Technology

(Up to 1 user)

Desktop Solution

Premium+ Version

Mobile Solution

Basic Version**
Premium Version
(add-on fee applies)

Get more info

Compliance Desktop Application

Create and automate tasks and manage ongoing disclosure requirement
Premium+
Starting From

$1495/yr
(or $125/month)
Desktop

(1 user - $500 add user)

For SEC and State Firms


Compliance Calendar
Guidelines
Alerts
Checklists
Maps
Forms
Disclosures/Filings
Video Library
Review Center
Integrations

File Portals
Cloud Storage Directory
Secure Files Portal
Client Center
Project Center
Document Portal

Disclosure Center
Public Disclosures
Staff Disclosures

Mobile

Basic Version included
Premium Version (Add-on fee applies)

Free


$0
(free trial for all firms)
Desktop


Compliance Calendar
SEC/State Guidelines

Networking
Vendor/Offers Directory

Get more info

Mobile Disclosure Application

Deliver notifications to clients, staff, prospects, and vendors with a mobile app
Premium Mobile
Desktop

Mobile: Inquire
with Premium Plus Desktop
with 12-month subscription
All Basic Features Plus

Unlimited Users
White Labelling
Testimonials (SEC Firms)
Customized Portals
Mobile Notifications
Data Feeds (content partners)

Basic Mobile
Desktop

Mobile: Included
with Premium Plus Desktop
with 12-month subscription
Features

Calendar Events
ADV
Marketing Materials
Cybersecurity
Staff Reporting

Staff Portals (up to 5 users)
Public Portals (up to 25 users)
Get more info

Virtual Technology and Marketing Services

Marketing/Technology
Enterprise

Request Quote

Features

Consulting
Financial Networks

Assistance with marketing & technology systems development

Prospective Lead List

Additional Services
Compliance Cybersecurity

And More (Upon Request)

Platinum


$1875/mo
Features

Consulting
Individual Firms

24 hrs per quarter
8 hours per month

Assistance with marketing & technology systems development

Directory Listing

Prospective Lead List

Additional Services available from vendor network (upon request)

Gold


$600/mo
Features

Consulting
Individual Firms

24 hrs per quarter
8 hours per month

Assistance with marketing & technology systems development

Directory Listing

Prospective Lead List

Basic


$350/mo
Features

Consulting
Individual Firms

24 hrs per quarter
8 hours per month

Assistance with marketing & technology systems development

Directory Listing

Prospective Lead List

Get more info

See Us In Action

Demo

Download Mobile App

(For Disclosure Delivery and Communications via a Smartphone)

Display pop-up to download iPhone app from Apple store Display pop-up to download Android app from Google store

CONNECT FOR COMPLIANCE, TECHNOLOGY, OR MARKETING SUPPORT