Pricing

FIN Compliance looks great on all devices.

Payment Policy

For all payments/subscriptions: We will not accept checks due to its delays in delivery and the possibility of getting lost in the mail.
Accepted payments are: Credit/Debit cards (Visa, Mastercard, AMEX), wires*, and ACH/E-checks*.
Let us know if you’d like to pay via wire or E-Check/ACH and we provide specific instructions.

Overview/Breakdown

Overview/Breakdown


Registration

Starting at

$4,295
(for all firms)

Ongoing Compliance*

Starting at

$2,395
(for State-registered firms)

Starting at

$4,295
(for SEC-registered firms)

Products/Services

Consulting/Q&A:
Compliance for RIAs, Broker Dealers, Funds, Private Funds

Technology:
Compliance Desktop/Mobile App

Integrations:
FIN Compliance Calendar to/from apps on Zapier
Including Wealthbox, RedTail, Salesforce, Asana, and more

Vendor/Third Party Services:
Cybersecurity, Email Archiving, Continuing Education Courses, 13F Filings, DOL PTE


Our Value

FIN Compliance supports its network of financial advisors with
Compliance, Disclosures, Technology integrations, and Vendor Referrals.

We understand the power of collaboration.

Along with our integration on Zapier, we’ve built our solutions to work with
other technology and consulting partners, such as Redtail, WealthBox, Salesforce,
Asana, Morningstar, Presults, Advisor Armor, Atlas Park, Fractionally, and more.

Our service model includes relationships with vendors in legal, fintech,
RegTech, marketing, and other consultants who serve the financial industry.

RIA Registration

Registration (new firms)

Starting at

$4,295/flat
Consulting

SEC or State Registration Assistance
FINRA Entitlement/Setup
ADV Part 1A/B; Part 2A & B, and Part 3 (Form CRS)

Supplemental Forms

Investment Advisory/Financial Planning Agreement
Policies & Procedures Manual; Business Continuity Plan; Privacy Policy Notice
Registration (existing firms)

Starting at
Consulting

Partial Registration
SEC to State Registration
State to SEC Registration
Additional States

Compliance Consulting

Platinum

Starting at

$2,250/month
$6,750/quarter
$27,000/year
Consulting
(included)

Compliance Officer

Filings
Unlimited Filings

Interim Registration
(any included)
Partial Registration
SEC To State
State to SEC
Additional States

Reviews
Monthly/Quarterly Reviews
Compliance Calendar
Compliance Task Setup
Policies and Procedures
Training
E-Mail Review/Tech Setup
Marketing Materials Review
Liaison with Regulators
Due Diligence

Support
Compliance Expert Q&A

Technology
(Up to 3 users)

Compliance App
Premium+ Version

Disclosure App
Basic Version**

Third Party Services
(included)

Cybersecurity Monitoring
Due Diligence
Advisor Armor

Continuing Education
(up to 3 reps)

Email Archiving
Social Media Archiving
(up to 3 reps)

Compliance Support
(optional/fee applies)

Inquire

Third Party Services
(optional/fee applies)

Custom Compliance App
Custom Mobile App
Marketing/Tech Support
Gold

Starting at

$775/month
$2,325/quarter
$9,300/year
Consulting
(included)

Advanced

Filings
ADV Part 2A/B
CRS, U4, U5
Up to 6 (add-on available)

Interim Registration
(one included)
Partial Registrations
SEC to State
State to SEC
Additional States

Reviews
Action Plan
Procedures Check

Support
Compliance Expert Q&A

Technology
(Up to 3 users)

Compliance App
Premium+ Version

Disclosure App
Basic Version**

Third Party
Services
(included)

Cybersecurity Monitoring
Due Diligence
Advisor Armor

Filings
13F Filings

Compliance Support
(optional/fee applies)

Monthly/Quarterly Reviews
Compliance Calendar
Compliance Task Setup
Policies and Procedures
Training
E-Mail Review/Tech Setup
Marketing Materials Review
Liaison with Regulators
Due Diligence

Third Party
Services
(optional/fee applies)

Custom Compliance App
Custom Mobile App
Continuing Education
Email Archiving
Social Media Archiving
Marketing/Tech Support
Silver

Starting at

$525/month
$1,575/quarter
$6,300/year
Consulting
(included)

Basic + Action Plan

Filings
ADV Part 2A/B
CRS, U4, U5
Up to 4 (add-on available)

Reviews
Action Plan
Procedures Check

Support
Compliance Expert Q&A

Technology
(Up to 1 user)

Compliance App
Premium+ Version

Disclosure App
Basic Version**

Third Party
Services
(included)

Cybersecurity Monitoring
Due Diligence
Advisor Armor

Filings
13F Filings

Compliance Support
(optional/fee applies)

Interim Registrations
Monthly/Quarterly Reviews
Compliance Calendar
Compliance Task Setup
Policies and Procedures
Training
E-Mail Review/Tech Setup
Marketing Materials Review
Liaison with Regulators
Due Diligence

Third Party
Services
(optional/fee applies)

Custom Compliance App
Custom Mobile App
Cybersecurity Monitoring
Continuing Education
Email Archiving
Social Media Archiving
Marketing/Tech Support
Bronze

Starting at

$350/month
$1,050/quarter
$4,200/year
Consulting
(included)

Basic

Filings
ADV Part 2A/B
CRS, U4, U5
Up to 3 (add-on available)

Support
Compliance Expert Q&A

Technology
(Up to 1 user)

Compliance App
Premium+ Version

Disclosure App
Basic Version**

Third Party
Services
(included)

Filings
13F Filings

Compliance Support
(optional/fee applies)

Interim Registrations
Action Plan
Procedures Check
Monthly/Quarterly Reviews
Compliance Calendar
Compliance Task Setup
Policies and Procedures
Training
E-Mail Review/Tech Setup
Marketing Materials Review
Liaison with Regulators
Due Diligence

Third Party
Services
(optional/fee applies)

Custom Compliance App
Custom Mobile App
Cybersecurity Monitoring
Continuing Education
Email Archiving
Social Media Archiving
Marketing/Tech Support
Platinum

Starting at

$2,000/month
$6,000/quarter
$24,000/year
Consulting
(included)

Compliance Officer

Filings
Unlimited Filings

Interim Registrations
(any included)
Partial Registration
SEC To State
State to SEC
Additional States

Reviews
Monthly/Quarterly Review
Compliance Calendar Setup
Policies and Procedures
Procedures Training
E-Mail Review/Tech Setup
Marketing Materials Review
Liaison with Regulators
Due Diligence

Support
Compliance Expert Q&A

Technology
(Up to 3 users

Compliance App
Premium+ Version

Disclosure App
Basic Version**

Third Party
Services
(included)

Cybersecurity Monitoring
Due Diligence
Advisor Armor

Continuing Education
(up to 3 reps)

Email Archiving
Social Media Archiving
(up to 3 reps)

Compliance Support
(optional/fee applies)

Inquire

Third Party
Services
(optional/fee applies)

Custom Compliance App
Custom Mobile App
Marketing/Tech Support
Gold

Starting at

$600/month
$1,800/quarter
$7,200/year
Consulting
(included)

Advanced

Filings
ADV Part 2A/B
U4, U5
Up to 4 (add-on available)

Interim Registrations
(one included)
Partial Registrations
SEC to State
State to SEC
Additional States

Reviews
Action Plan
Procedures Check

Support
Compliance Expert Q&A

Technology
(Up to 3 users)

Compliance App
Premium+ Version

Disclosure App
Basic Version**

Third Party
Services
(included)

Cybersecurity Monitoring
Due Diligence
Advisor Armor

Compliance Support
(optional/fee applies)

Monthly/Quarterly Reviews
Compliance Calendar
Compliance Task Setup
Policies and Procedures
Training
E-Mail Review/Tech Setup
Marketing Materials Review
Liaison with Regulators
Due Diligence

Third Party
Services
(optional/fee applies)

Custom Compliance App
Custom Mobile App
Continuing Education
Email Archiving
Social Media Archiving
Marketing/Tech Support
Silver

Starting at

$350/month
$1,050/quarter
$4,200/year
Consulting
(included)

Basic + Action Plan

Filings
ADV Part 2A/B
U4, U5
Up to 2 (add-on available)

Reviews
Action Plan
Procedures Check

Support
Compliance Expert Q&A

Technology
(Up to 1 user)

Compliance App
Premium+ Version

Disclosure App
Basic Version**

Third Party
Services
(included)

None

Compliance Support
(optional/fee applies)

Interim Registrations
Monthly/Quarterly Reviews
Compliance Calendar
Compliance Task Setup
Policies and Procedures
Training
E-Mail Review/Tech Setup
Marketing Materials Review
Liaison with Regulators
Due Diligence

Third Party
Services
(optional/fee applies)

Custom Compliance App
Custom Mobile App
Cybersecurity Monitoring
Continuing Education
Email Archiving
Social Media Archiving
Marketing/Tech Support
Bronze

Starting at

$N/A/month
$N/A/quarter
$2,400/year
Consulting
(included)

Basic

Filings
ADV Part 2A/B
U4, U5
Up to 2 (add-on available)

Support
Compliance Expert Q&A

Technology
(Up to 1 user)

Compliance App
Premium+ Version

Disclosure App
Basic Version**

Third Party
Services
(included)

None

Compliance Support
(optional/fee applies)

Interim Registrations
Action Plan
Procedures Check
Monthly/Quarterly Reviews
Compliance Calendar
Compliance Task Setup
Policies and Procedures
Training
E-Mail Review/Tech Setup
Marketing Materials Review
Liaison with Regulators
Due Diligence

Third Party
Services
(optional/fee applies)

Custom Compliance App
Custom Mobile App
Cybersecurity Monitoring
Continuing Education
Email Archiving
Social Media Archiving
Marketing/Tech Support
In-Person

Starting at

$7,595/flat
(without consulting services)
$6,595/flat
(with consulting services)
Office Visit
up to 3 days

How We Work

Interview of business operations
Provide a core Information Request List;
Client File Review/Sampling;
Follow-Up/Report/Feedback

Review Includes

Policies, books, and records
Client files; billing
ADV and disclosure documents
Agreements
Trading procedures; Code of ethics
Fee arrangements; accounts
Advertising (marketing, social media, internet, etc.)
Client Deliverables (reporting; questionnaires)
Data retention/recordkeeping (security; effectiveness)
CCO Duties Overview (Training)

Virtual

Starting at

$5,595/flat
(without consulting services)
$4,595/flat
(with consulting services)
Conference Call
secure file sharing

How We Work

Interview of business operations
Provide a core Information Request List;
Client File Review/Sampling;
Follow-Up/Report/Feedback

Review Includes

Policies, books, and records
Client files; billing
ADV and disclosure documents
Agreements
Trading procedures; Code of ethics
Fee arrangements; accounts
Advertising (marketing, social media, internet, etc.)
Client Deliverables (reporting; questionnaires)
Data retention/recordkeeping (security; effectiveness)
CCO Duties Overview (Training)


Compliance/Disclosure Application

Create, automate, and document tasks and update forms
Manage ongoing disclosure delivery requirements for clients, staff, prospects, and vendors
Premium+

Starting at

$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

Starting at

$0
(free trial for all firms)
Desktop


Compliance Calendar
SEC/State Guidelines

Networking
Vendor/Offers Directory

Get more info
Premium

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

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
Compliance App

Starting at
Teams

Customizable Features
Minimum 10 users
Compliance Calendar | Guidelines/Videos | Zapier Integrations | Disclosure Portals | Forms/Templates | Cloud Storage | Resources
Disclosure App

Starting at
Teams

Customizable Features
Minimum 10 users
Staff Disclosures | Public Disclosures Portal

Virtual Technology and Marketing Services

Collaboration with FINLancer.io
Custom

Starting at

Firms/Teams

Plan A
Custom Marketing Content

- and/or -

Plan B
Third-Party Marketing & Technology Support



Included
Directory listing
(with approval)

Prospective Lead List
Database leads
Platinum

Starting at

$1,875/month
Firms/Teams

Plan A
Custom Marketing Content
(edit/delivery)
Up to 72 videos/quarter
Up to 24 videos/quarter

- or -

Plan B
Third-Party Marketing & Technology Support
24 hours/quarter
8 hours/month



Included
Directory listing
(with approval>

Prospective Lead List
Database leads
Gold

Starting at

$600/month
Firms

Plan A
Custom Marketing Content
(edit/delivery)
Up to 18 videos/quarter
Up to 6 videos/quarter

- or -

Plan B
Third-Party Marketing & Technology Support
6 hours/quarter
2 hours/month



Included
Directory listing
(with approval>

Prospective Lead List
Database leads
Bronze

Starting at

$350/month
Firms

Plan A
Custom Marketing Content
(edit/delivery)
Up to 9 videos/quarter
Up to 3 videos/quarter

- or -

Plan B
Third-Party Marketing & Technology Support
3 hours/quarter
1 hours/month



Included
Directory listing
(with approval>

Prospective Lead List
Database leads

Cybersecurity/Due Diligence

Collaboration with Glacier Cybersecurity and Advisor Armor
Cybersecurity Officer/CISO


Starting at

Large Firms / Organizations

Organizational Security Setup
Cybersecurity Officer
Glacier Cybersecurity

Full Service Cybersecurity and Training
Certification Program Available
Cybersecurity Software


Starting at

$79/month*
RIA Firms


RIA Compliance Workflow Setup
Customer Service Support

Monitoring
Risk Assessment
Policy Development
Security Awareness/Training
Device Security
Vendor Due Diligence
Incident Response

Inquiry with Advisor Armor about
cybersecurity insurance

*Partner rate
Cybersecurity Policy


Starting at

$2000/flat
RIA Firms


RIA Policy Development
Integrating cybersecurity
policies/procedures into a
compliance manual

Continuing Education

Collaboration with partners
Continuing Education Courses


Starting at

Self-Study Courses

NASAA/IAR Continuing Education
$99 Entire Library | $14.95 per Course

Rep Continuing Education
Designations (CFP, CFHC, CIC, CFA)
15% off courses

Compliance Controls/Monitoring

Collaboration with partners
Email
Archiving



Starting at

$89/month
(up to 3 users)

Email Archiving
Social Media Archiving
DOL PTE Workflow



Starting at

(per user)

TBD
13F | 13D | 13G Filings



Starting at

$150/quarter


Quarterly 13F Edgar Filing

See Us In Action


Download Mobile App

(For Disclosure Delivery and Communications via a Smartphone)


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