Pricing

Fractional compliance, fund services, and our compliance platforms — priced transparently.

$2,500 minimum engagement for new clients across all services.

Built for:RIAs· SEC & State Broker-Dealers· FINRA-Registered Private Funds· PE · VC · Hedge · Credit ERAs & SPVs· Emerging Managers FINTech & Crypto· Payments · Lending · Digital Assets Family Offices· Single & Multi-Family

For SEC-registered RIAs (typically $100M+ regulatory AUM) — ADV Parts 1/2/CRS, Rule 206(4)-7 program ownership, Marketing Rule 206(4)-1, and SEC exam readiness.

Bronze

Compliance Essentials

Starting at

$395/month

For: Start-Up SEC-Registered RIAs

What's Included

Core compliance support with annual ADV and CRS filing assistance
Regulatory change alerts
One compliance manual / WSP / P&P update per year (template-based)
Email-based compliance support for routine questions and operational guidance

Technology (RegReview.io)

Compliance Portal – 1 seat included
Compliance calendar tracking
Document storage
Policy Reviser & Auto-Updates – Included — $49/mo value
Continuity Hub – 1 user included — $44/mo value
$50/seat/month for additional users

Get Started

Silver

Compliance Support

Starting at

$750/month

For: SEC-Registered RIAs

What's Included

On-Demand Compliance Support
Annual ADV & CRS Filing
Full firm document review — compliance manual, Code of Ethics, BCP, privacy policy, and client agreements — with updates
Regulatory Change Alerts

Technology (RegReview.io)

Compliance Portal – 3 users included
Email Archiving – 3 users included
Continuity Hub – 3 users included
Policy Reviser & Auto-Updates – Included — $49/mo value
Risk Scanner – Included — $49/mo value
$50/seat/month for additional users

Get Started

Recommended

Gold

Compliance Assistant

Starting at

$2,000/month

For: SEC-Registered RIAs

What's Included

Compliance Program Support
Annual ADV & CRS Filing
Compliance Manual Updates
Annual Review Assistance
Regulatory Change Alerts
Marketing & Advertising Review

Technology (RegReview.io)

Compliance Portal – 5 users included
Email Archiving – 5 users included
Continuity Hub – 5 users included
DOL Rollover Analysis – Included
Personal Securities Trading Reviews – Starter (up to 5 access persons, monthly) Included — $165/mo value
$50/seat/month for additional users

Get Started

Platinum

Compliance Officer

Starting at

$3,500/month

For: SEC-Registered RIAs

What's Included

Dedicated Compliance Officer
Annual ADV & CRS Filing
Compliance Manual Updates
Annual Review & Testing
SEC/State Exam Preparation & Support
Regulatory Change Monitoring
Marketing & Advertising Review
Books & Records Oversight

Technology + Bundled Add-Ons

Compliance Portal – 8 users included
Email Archiving – 8 users included
Continuity Hub – 8 users included
DOL Rollover Analysis – Included
Personal Securities Trading Reviews – Core (up to 15 access persons, monthly) Included — $332/mo value
Cyber Monitoring (Firm + 3 Devices) – Included
Tax Compliance Suite – Included
$50/seat/month for additional users

Get Started

Fair Use & Scope — SEC-Registered RIAs

Each tier is sized for a firm profile. If your firm grows past these caps mid-term, we'll flag it and quote a step-up — no surprise invoices.

Bronze

•Filings: 1 annual ADV + Form CRS · 2 other-than-annual ADV amendments · 4 U4/U5 filings · 2 Form D filings · 1 additional state registration or notice filing
•1 fund/strategy
•Up to $250M AUM
•Up to 5 IARs
•Form ADV + Form D only
•1 annual review cycle

Silver

•Filings: 1 annual ADV + Form CRS · 4 other-than-annual ADV amendments · 10 U4/U5 filings · 4 Form D filings · 3 additional state registrations · 1 state notice-filing batch (up to 10 states)
•Up to 3 funds/SPVs or strategies
•Up to $500M AUM
•Up to 10 IARs
•Form ADV + Form D + Form PF (small filer)
•Semi-annual review cycles

Gold

•Filings: unlimited ADV/CRS amendments · unlimited U4/U5 · unlimited Form D and Form PF (small filer) · all state notice filings
•Up to 6 funds/SPVs or strategies
•Up to $1.5B AUM
•Up to 25 IARs
•Form PF quarterly (large filer support)
•Quarterly reviews + marketing rule log
•Mock SEC exam included

Platinum

•Filings: unlimited ADV/CRS, U4/U5, Form D, Form PF (all filer types), and state notice filings
•Unlimited funds/strategies
•Unlimited AUM
•Unlimited IARs
•Form PF large filer + all filings
•Quarterly + event-driven reviews
•Named CCO on ADV + IC/board pack

What triggers a step-up (all firm types)

•New state, foreign jurisdiction, or product line added mid-term
•M&A, change-of-control, or key-person departure (CCO, CEO, FINOP, PM)
•AUM, LP count, IAR/RR count, or branch count grows more than 20% mid-term
•New fund launch, SPV, or strategy not covered at signing
•Move from state to SEC registration, or SEC to ERA / ERA to SEC
•First regulatory exam notice or enforcement inquiry (all hands regardless of tier)
•Custody, discretionary authority, or performance-fee arrangements added
•Marketing rule ramp-up: paid testimonials, third-party ratings, or performance advertising

Step-up work is quoted before it starts. Exam notices are handled immediately regardless of tier and reconciled after.

Compare all features

Compare Plans

Every tier includes the RegReview workflows needed at that level — Policy Reviser, Manual Gap Scan, and Checklist Uploads — scaled by cadence to your tier's annual hours. Private Fund tiers also include InvestPrep workflows (Subdocs, Investor Register, Capital Calls/Distributions, DDQ Library, LP Data Room — scaled by tier). No per-module add-ons for core procedure or fund-admin work.

Feature SEC-Registered RIAs	Bronze · Essentials $395/mo Up to N hours annually	Silver · Support $750/mo Up to N hours annually	Gold · Assistant $2,000/mo Up to N hours annually	Platinum · Officer $3,500/mo Up to N hours annually
Email-Based Compliance Support
On-Demand Compliance Support
Annual ADV & CRS Filing	Assistance
ADV Amendments (other-than-annual, per year)	2	4	Unlimited	Unlimited
U4 / U5 Filings (per year)	4	10	Unlimited	Unlimited
Form D Filings (per year)	2	4	Unlimited	Unlimited
Additional State Registrations / Notice Filings (per year)	1 state	3 states + 1 batch (up to 10)	Unlimited	Unlimited
Compliance Manual Updates	Template
RegReview Policy Reviser (cadence)	Annual	Semi-Annual	Quarterly	Quarterly+
RegReview Manual Gap Scan (cadence)	Annual	Semi-Annual	Quarterly	Quarterly + Event-Driven
RegReview Checklist Uploads	Self-Serve	Assisted	Managed	End-to-End
Regulatory Change Alerts
Annual Review & Testing
Marketing & Advertising Review
Dedicated Compliance Officer
SEC Exam Preparation
Books & Records Oversight
RegReview.io Portal Seats	1	3	5	8
Email Archiving (users included)	—	3	5	8
Continuity Hub (users included)	1	3	5	8
Policy Reviser & Auto-Updates module
Risk Scanner module	Add-on
Personal Securities Trading Reviews (Rule 204A-1)	Add-on	Add-on	Starter (≤5)	Core (≤15)
	Get Started	Get Started	Get Started	Get Started

Annual Filing Allowances

Each tier includes a set number of regulatory filings per 12-month term. Gold and Platinum are unlimited on routine filings. Filings roll with the term and do not carry over.

Bronze

1 annual ADV + Form CRS
2 other-than-annual ADV amendments
4 U4 / U5 filings
2 Form D filings
1 additional state registration or notice filing

Silver

1 annual ADV + Form CRS
4 other-than-annual ADV amendments
10 U4 / U5 filings
4 Form D filings
3 additional state registrations or notice filings
1 state notice-filing batch (up to 10 states)

Gold & Platinum

Unlimited annual & other-than-annual ADV / CRS
Unlimited U4 / U5
Unlimited Form D and Form PF (small filer)
All state notice filings

Beyond allowance: $275/hour, or flat fees of $150 per U4/U5, $350 per ADV amendment, $450 per Form D, and $450 per additional state registration or notice filing. State, IARD/CRD, and EDGAR filing fees are always passed through at cost. The additional-state allowance covers new jurisdictions for an already-registered firm (IARD notice filing or state registration plus the corresponding ADV amendment, which counts against the ADV amendment allowance). A new firm's initial registration, a state-to-SEC or SEC-to-state switch, and full deficiency-letter cycles on a new application are covered by the one-time setup fees ($4,895 / $3,095), not the monthly allowance. CMA/NMA and Form PF large-filer work is quoted separately.

Optional Tools

Add any of the following tools to Bronze, Silver, Gold, or Platinum. Pricing varies by firm size, seat count, and tier — contact us for a tailored quote.

Compliance Tech

RegReview.io — Compliance Portal seats
Email Archiving
Continuity Hub
Supervisory Suite (Workflow Station)

Risk & Security

DOL Rollover Analysis
Cyber Monitoring (Firm + Devices)
Cyber Devices (per user)
Tax Compliance Suite

Fund & Marketing Tools

InvestPrep.io — Fund Admin Pro
InvestPrep.io — Additional seats
ADScanner.io — Marketing Review

Pricing varies by firm size, seat count, and selected tier.

Request Add-On Pricing

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.

Starting at

$4,895/flat

RIA Setup

For: Investment Advisors and Financial Planners

Includes

Standard Services

SEC or State Registration Assistance
FINRA Entitlement/Setup
ADV Part 1A/B; Part 2A & B, and Part 3 (Form CRS)
Up to four jurisdictions/notice filings (fee may apply for additional jurisdictions)

Registration Switch

From $3,095/flat

Switching from State to SEC Registration
Switching from SEC to State Registration

Additional Fees

Multiple PE, VC, SPV filings and/or SEC PF entities over $150MM in AUM
Schedule D (7.B, 7.B.1 pooled investment vehicles)
Schedule R (Umbrella + Related Advisors) and/or Form PF filing

Supplemental Forms

Investment Advisory/Financial Planning Agreement
Policies & Procedures Manual
Business Continuity Plan
Privacy Policy Notice

Other Services/Referrals

Ongoing Compliance Services – Compliance Officer, Assistant, or Support tiers
Fund Compliance – Compliance, Administration, & Due Diligence Officers
Accounting/Audit Support – Fractional CFO & operational oversight
Technology Portals – RegReview.io, InvestPrep.io, ADScanner.io
Legal/Private Fund Subscription Document setup
Custody Auditor (PCAOB-registered) referrals

Starting at

$3,095/flat

ERA/Fund Setup

For: Fund Sponsors, GPs, SPV Managers, Syndicate Leads, Emerging Managers

Includes

Standard Services

SEC or State Registration Assistance
FINRA Entitlement/Setup
ADV Part 1A/B
Schedule D (7.B, 7.B.1 pooled investment vehicles)

Supplemental Forms

Other Services/Referrals

Ongoing Compliance Services – Compliance Officer, Assistant, or Support tiers
Fund Compliance – Compliance, Administration, & Due Diligence Officers
Accounting/Audit Support – Fractional CFO & operational oversight
Technology Portals – RegReview.io, InvestPrep.io, ADScanner.io
Legal/Private Fund Subscription Document setup
Custody Auditor (PCAOB-registered) referrals

Starting at

Inquire/flat

Fund/SPV Setup

For: Fund Sponsors, GPs, SPV Managers, Syndicate Leads, Emerging Managers

Standard Services

Entity Formation – LP/LLC structuring & setup
Offering Documents – PPM, LPA/Operating Agreement
Subscription Documents – Investor onboarding package
Regulatory Filings – Form D, Blue Sky filings
Compliance Setup – AML/KYC procedures
Service Provider Coordination – Legal, admin, custody referrals

Other Services/Referrals

Fund Compliance – Compliance, Administration, & Due Diligence Officers
Ongoing Compliance Services – Compliance Officer, Assistant, or Support tiers
Accounting/Audit Support – Fractional CFO & operational oversight
Technology Portals – RegReview.io, InvestPrep.io, ADScanner.io
Legal/Private Fund Subscription Document setup
Custody Auditor (PCAOB-registered) referrals

Technology

Investor Prep - InvestPrep.io (optional)

Most requested

Launch Bundles — Registration + Technology + Ongoing

One engagement that covers the filing, the platform, and the first year of compliance support — instead of buying setup, software, and consulting separately.

RIA Launch Bundle

From $4,895 setup

+ from $295/mo ongoing

For: new state or SEC-registered RIAs, planners, and switching firms

1. Registration

SEC or state registration, IARD/CRD entitlement, Form ADV 1A/1B, 2A, 2B, Form CRS (up to 4 jurisdictions)
Compliance manual, Code of Ethics, privacy policy, BCP, advisory agreement

2. Technology

RegReview $0 for 90 days (list from $249/mo) — calendar, filing tracker, policy library, attestations
ADScanner marketing review from $49/mo (optional)

3. Ongoing

Bronze from $295/mo (state) or $395/mo (SEC) — annual ADV/CRS, filing allowances, calendar management
Step up to Silver or Gold for testing, marketing review, and a named CCO

Request a Bundle Quote

ERA / Fund Launch Bundle

From $5,000 setup

+ from $1,600/mo ongoing

For: emerging GPs, SPV managers, and private fund sponsors filing as an ERA

1. Setup & Filing

Structure recommendation memo, entity formation coordination, EIN and entity records
ERA registration — IARD/CRD setup, Form ADV 1A/1B with fund-by-fund Schedule D, state ERA notices
Organizational and subscription document coordination, EDGAR onboarding, filing calendar

2. Technology

RegReview + InvestPrep $0 for 60 days (list from $249/mo and $99/mo) — filing tracker, subscription workflow, e-signature, KYC/AML collection, investor portal

3. Ongoing (from first close)

From $1,600/mo — Form D amendments and state notices, calendar management, investor onboarding, side-letter tracking, provider coordination
Per-filing alternative: Form D $750 initial · $395 annual amendment · $150 per state notice plus state fees

Request a Bundle Quote

Platform promotional periods run from the engagement date and convert to the list subscription unless cancelled. Government and third-party fees (state, IARD/CRD, EDGAR, Blue Sky, formation, registered agent) are passed through at cost. Legal and fund counsel, tax, and audit are billed separately. Firms that need RIA registration and a fund launched together use the RIA + Alternative Fund Launch Package (from $18,500 setup plus $4,950/mo).

Compare Registration Packages

Feature One-time setup engagements	RIA Setup $4,895/flat Most Common	ERA / Fund Setup $3,095/flat	Fund / SPV Setup Inquire/flat
Best For	Advisors & Planners	Emerging GPs & SPVs	Sponsors & Syndicates
SEC or State Registration
FINRA Entitlement / IARD Setup
Form ADV Part 1A/B
Form ADV Part 2A/B + CRS
Schedule D (Pooled Vehicles)	Add-on
Jurisdictions Included	Up to 4	Per filing	Per filing
Investment Advisory Agreement
Policies & Procedures Manual
Business Continuity Plan
Privacy Policy Notice
Entity Formation (LP/LLC)
PPM / LPA / Operating Agreement
Subscription Documents
Form D & Blue Sky Filings
AML / KYC Procedures
Switching SEC ↔ State (from $3,095)
Compliance / DD / Tech Referrals
	Get Started	Get Started	Get Started

À La Carte

Document Review

Starting at

$3,000/flat

For: State/SEC Registered RIAs

What's Included

Form ADV Reviews (Ongoing) — Parts 1A, 2A, and 2B accuracy and alignment
Advisory Agreement Review — Fee language, disclosures, and ADV consistency
Core Compliance Document Reviews — Form CRS, Manual, Code of Ethics, Privacy Policy, BCP
Document Consistency Checks — Cross-review ADV, agreements, and policies for gaps
Regulatory Update Support — Updates for SEC/state rule changes and exam trends
Redlines & Implementation Support — Tracked changes and clean final versions

Optional Add-Ons

Ongoing Compliance Consulting (Platinum, Gold, or Silver tiers)
RegReview.io – From $79/mo
InvestPrep.io – From $99/mo
ADScanner.io – From $49/mo

À La Carte

Annual Review

Starting at

$4,500/flat

For: SEC and State Registered RIAs

What's Included

Compliance Manual / WSP Review — Policy gaps and supervisory procedure updates
Form ADV Consistency Review — Cross-check against firm policies and operations
AI Usage Policy Review — Supervision, privacy, and data protection policies
Privacy Policy Update (Reg S-P) — Client privacy disclosures and safeguarding
Client Agreement Review — Fee language, disclosures, and regulatory alignment
Cybersecurity & Vendor Risk Review — Cyber practices and vendor oversight language
Redlined & Clean Documents — Tracked-changes and implementation-ready versions
Annual Review Documentation — Summary memo with updates and findings

Optional Add-Ons

Ongoing Compliance Consulting (Platinum, Gold, or Silver tiers)
RegReview.io – From $79/mo
InvestPrep.io – From $99/mo
ADScanner.io – From $49/mo

À La Carte · Bronze & Silver Clients

Annual Review & Testing — Three Ways

Starting at

$1,450/flat

Save by letting RegReview.io do the mechanical work — Manual Gap Scan, Testing Workpapers, and Annual Review Report Builder — so you only pay for consultant review time.

Choose Your Delivery Mode

DIY — client-run in RegReview.io — You run the workflows; we perform a sign-off read and issue the findings memo. State RIA $1,450 · SEC RIA $2,450
Managed DIY — We configure the workflows, review every output, and draft findings; you gather evidence. State RIA $2,950 · SEC RIA $4,250
Done For You — We run the full review and testing end to end. State RIA $4,500 Silver / $5,500 Bronze · SEC RIA $6,500 Silver / $8,500 Bronze
Requirements for DIY & Managed DIY — Active RegReview.io seat (included with Silver) and a named internal compliance lead
Deliverables (all modes) — Testing workpapers, findings memo, remediation tracker, and exam-ready evidence file
Not included — Marketing and advertising review remains a Gold tier feature

Scope & Step-Up

Work beyond scoped hours — $275/hr
Upgrade to Gold within 90 days — 50% of the add-on fee credited
Included at no charge with Gold or Platinum Compliance Consulting
RegReview.io – From $79/mo

À La Carte

BD Document Creation

Starting at

$5,000 per engagement

For: FINRA-Registered Broker-Dealers & FINTech Firms

What's Included

Written Supervisory Procedures (WSPs) — All lines of business, rep oversight, and branch supervision
AML/BSA Compliance Program — CIP, SAR protocols, and OFAC screening policies
FINRA Rule 2210 Marketing Policies — Retail, institutional, and correspondence supervision
Books & Records Policies (SEA 17a-4) — SEC/FINRA-aligned recordkeeping policies
Business Continuity Plan (BCP) — FINRA Rule 4370-compliant emergency and recovery plans
Supervisory Control Procedures — Rule 3120 framework with review and escalation
Code of Ethics & Personal Trading — Employee conduct and personal securities policies
Redlined & Clean Documents — Tracked-changes and implementation-ready versions

Optional Add-Ons

Ongoing Compliance Consulting (Platinum, Gold, or Silver tiers)
RegReview.io – From $79/mo
InvestPrep.io – From $99/mo
ADScanner.io – From $49/mo

À La Carte

Staff Document Review & Training

Starting at

$3,500/flat

One firm-wide session · up to 15 staff · $4,950 for BDs & multi-office firms (Rule 3110 branch supervision content, up to 35 reps)

For: SEC & State RIAs, BDs, and Private Fund Advisers

What's Included

Annual Compliance Training — Live or recorded session tailored to your manual/WSP, ADV, and business lines
Code of Ethics & Personal Trading Training — Access-person duties, pre-clearance, gifts & entertainment, outside activities
Marketing & Advertising Training — Rule 206(4)-1 / FINRA Rule 2210 review workflow, testimonials, and social media use
Privacy, Cybersecurity & AI Use Training — Reg S-P safeguarding, incident response, and approved AI tool usage
Staff Document Walkthroughs — Role-based review of manual, Code of Ethics, BCP, and attestations with staff Q&A
Attestations & Acknowledgements — Distribution, collection, and tracking of signed staff certifications
Training Materials Package — Slide deck, handouts, and quiz/knowledge check for internal reuse
Documentation & Recordkeeping — Attendance logs, completion memo, and exam-ready evidence file

Optional Add-Ons

Additional sessions or new-hire onboarding cohort — $750 each
Included at no charge with Gold or Platinum Compliance Consulting and all CCO Services
Ongoing Compliance Consulting (Platinum, Gold, or Silver tiers)
RegReview.io – From $79/mo
ADScanner.io – From $49/mo

À La Carte

ADV Filings Support

Starting at

$2,500/flat

For: SEC and State Registered RIAs and ERAs

What's Included

Form ADV Preparation & Updates — Parts 1, 2A, and 2B filings and amendments
ADV Disclosure Consistency Review — Cross-check against services, fees, and policies
Material Changes Summary — Summary of Material Changes for ADV updates

IARD & EDGAR

IARD submission support and amendment guidance
EDGAR filing assistance for ADV-related disclosures

Filing Confirmation

Confirmation records and acceptance documentation
Recordkeeping for audit and exam readiness

Optional Add-Ons

Ongoing Compliance Consulting (Platinum, Gold, or Silver tiers)
RegReview.io – From $79/mo
ADScanner.io – From $49/mo

À La Carte

Securities Filings Support

Starting at

$2,500/flat

For: Funds, GPs, SPV Managers, and Issuers

What's Included

Form D Filings — Reg D 506(b) / 506(c) notice filings and amendments
Form 13F & Related Filings — Institutional holdings and disclosure submissions
Blue Sky Notice Filings — State-by-state notice filings and ongoing tracking

IARD & EDGAR

EDGAR filer credentials setup and submission support
IARD coordination for adviser-affiliated filings

Filing Confirmation

Filing receipts, acceptance records, and jurisdiction tracking
Recordkeeping for investor reporting and audits

Optional Add-Ons

Ongoing Compliance Consulting (Platinum, Gold, or Silver tiers)
RegReview.io – From $79/mo
InvestPrep.io – From $99/mo

Per Filing · À La Carte

Form D Filing Service

For: Funds, GPs, SPV managers, and issuers running Reg D 506(b) / 506(c) offerings — priced per filing, no monthly commitment required.

Filing	Price	What It Covers
New Form D filing	$750	Initial Reg D 506(b) / 506(c) notice filing on EDGAR, including offering data review and filing confirmation
Annual amendment	$395	Rule 503(a) annual amendment for a continuing offering, with updated amounts sold and issuer data
Delinquent catch-up	$995	Late or missed filings brought current, including prior-year amendments and a remediation memo for your files
State notice filing (Blue Sky)	$150/state	Per-state notice filing prepared and submitted; state filing fees passed through at cost
EDGAR onboarding	$495	EDGAR filer credentials (CIK, CCC, Form ID) setup — waived when bundled with a filing

State, EDGAR, and other regulator filing fees are passed through at cost. Firms on Bronze or Silver Compliance Consulting receive Form D filings within their annual allowance (2 or 4 per term); these rates apply beyond the allowance or without a consulting plan. Gold and Platinum include unlimited routine Form D filings and amendments.

Paired Tier	Monthly Discount	Pay Annual Upfront	Best For
Bronze · Essentials	10% off	+ 2 months free	New registrants with in-house CCO
Silver · Support	12% off	+ 2 months free	Firms scaling without dedicated CCO bandwidth
Gold · Assistant Recommended	15% off	+ 2 months free	Firms with marketing activity preparing for exam
Platinum / CCO · Officer	18% off	+ 2 months free + waived onboarding fee	Firms wanting a named/fractional CCO or FINOP

How It Works

• Full setup paid at signing
• 12-month consulting commitment
• Auto-pay (ACH or card) required
• Monthly discount applied for the term

Pay Annual Upfront

• Pay setup + 12 months at signing
• Get 2 months free (pay 10, get 12)
• Stacks with tier discount above
• Best cash incentive we offer

If Payment Stops

• Setup is non-refundable
• Services suspended at 15 days past due
• Named CCO/FINOP withdrawn at 30 days
• Discount reverts to standard rate for unpaid months

Setup pricing: RIA (state or SEC) from $4,895 · registration switch from $3,095 · ERA from $3,095 · FINRA BD from $15,000 · Private Fund from $7,500. Bundle discounts apply only with a signed 12-month commitment at registration. Available for new and existing clients adding registration work.

Request a Bundle Quote

Filing Services & Allowances — Common Questions

How much does Form D filing cost?

FIN Group files Form D on a per-filing basis: $750 for a new filing, $395 for an annual amendment, $995 for a delinquent catch-up, $150 per state notice filing plus state fees at cost, and $495 for EDGAR onboarding (waived when we file for you). Bronze includes 2 Form D filings per year, Silver 4, and Gold/Platinum unlimited routine filings.

What filings are included in each consulting tier?

Bronze includes 1 annual Form ADV amendment plus Form CRS, 2 other-than-annual ADV amendments, 4 Form U4/U5 filings, 2 Form D filings, and 1 additional state registration per 12-month term. Silver includes 4 other-than-annual amendments, 10 U4/U5, 4 Form D, 3 additional states plus one notice-filing batch of up to 10 states. Gold and Platinum include unlimited routine ADV/CRS, U4/U5, Form D, and state notice filings.

What happens if we go past the filing allowance?

Work beyond the allowance is billed at $275/hour, or per filing: $150 per Form U4/U5, $350 per ADV amendment, $450 per Form D, and $450 per additional state registration. State, EDGAR, and IARD/CRD fees always pass through at cost.

Does the additional state registration allowance cover a new firm's initial registration?

No. The included additional-state registrations apply to firms already registered — the IARD notice filing or state registration plus the ADV amendment. A new firm's initial registration, a state-to-SEC (or SEC-to-state) switch, and deficiency-letter cycles are covered by the setup fees: RIA from $4,895, ERA / fund setup from $3,095, registration switch from $3,095.

Pricing

Compliance Consulting Services

Compliance Essentials

Compliance Support

Compliance Assistant

Compliance Officer

Fair Use & Scope — SEC-Registered RIAs

What triggers a step-up (all firm types)

Compare Plans

Annual Filing Allowances

Optional Tools

Compliance Tech

Risk & Security

Fund & Marketing Tools

Your consultant works inside RegReview & InvestPrep

RIA/Fund Registration Services

RIA Setup

ERA/Fund Setup

Fund/SPV Setup

Launch Bundles — Registration + Technology + Ongoing

Compare Registration Packages

Document Services

Document Review

Annual Review

Annual Review & Testing — Three Ways

BD Document Creation

Staff Document Review & Training

Filing Services

ADV Filings Support

Securities Filings Support

Form D Filing Service

Setup + Ongoing Consulting Bundles

Advertising & Sponsorships

Bronze

Silver

Gold

Platinum

Filing Services & Allowances — Common Questions

How much does Form D filing cost?

What filings are included in each consulting tier?

What happens if we go past the filing allowance?

Does the additional state registration allowance cover a new firm's initial registration?

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