Pricing

FIN Compliance looks great on all devices.

Overview/Breakdown

Overview/Breakdown


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.

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

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*.

We use 17hats as our payments invoicing system. Please contact us immediately if you suspect any invoicing messages were sent erroneously and/or from a non-trusted source.

RIA Registration

Registration (new firms)

Starting at

$4,295/flat
Get more info
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

$Inquire
Get more info
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
Get more info
Consulting
(included)

Compliance Officer

Filings
Unlimited Filings

Reviews
Four - Six Meetings
Compliance Calendar
Compliance Task Setup
Document Review
Policies Training
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

$1,000/month
$3,000/quarter
$12,000/year
Get more info
Consulting
(included)

Advanced

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

Reviews
Two - Three Meetings
Action Plan
Procedures Check
Document Review

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

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

Basic + Action Plan

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

Reviews
One Meeting
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
Get more info
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
Get more info
Consulting
(included)

Compliance Officer

Filings
Unlimited Filings

Reviews
Four - Six Meetings
Compliance Calendar
Compliance Task Setup
Document Review
Policies Training
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
Get more info
Consulting
(included)

Advanced

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

Reviews
Two - Three Meetings
Action Plan
Procedures Check
Document Review

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
Get more info
Consulting
(included)

Basic + Action Plan

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

Reviews
One Meeting
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
Get more info
Consulting
(included)

Basic

Filings
ADV Part 2A/B
U4, U5
Up to 1 (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)
Get more info
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)
Get more info
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)

Setup/Quarterly

Starting at

$3,600/year
$900/quarter
Quarterly Calendar

Meet to discuss requirements
Review procedures Manual
Add tasks for annual calendar
Quarterly Notification/Updates

Includes annual subscription to compliance/disclosure app

Zapier/Integration support is available (+fee applies)
Setup/Annual

Starting at

$3,000/flat
Annual Calendar

Meet to discuss requirements
Review procedures manual
Add tasks for annual calendar
Annual notifications/Updates

Includes annual subscription to compliance/disclosure app

Zapier/Integration support is available (+fee applies)

Technology Applications

Premium+ Unlimited**


Starting at

$150/month
$450/quarter
$1,800/year
Get more info
Compliance Calendar
View sample tasks
Create custom tasks

Grant calendar access rights to other staff/consultant users
(requires add-on fee per user)
($50 month/$150 quarter/$600 year)

Guidelines/Tips/Videos

SEC/State Resources
Regulatory updates
RSS news feeds

Zapier Integrations
Automate tasks to third-party apps

Forms/Templates
Procedures, Checklists

Cloud Storage
Migration available

-and-

Disclosure Client/Staff Portals
(**unlimited disclosure app users)


Ongoing reporting, deliver disclosures, and collect information from clients, staff, vendors, and prospects

Public Portal
ADV
Marketing
Calendar
Privacy Policy/Continuity
Cybersecurity

Staff Portal
ADV
Marketing
Training
Code of Ethics
Calendar
Privacy Policy/Continuity
Cybersecurity
Premium+
Limited**



Starting at

$125/month
$375/quarter
$1,500/year
Get more info
Compliance Calendar
View sample tasks
Create custom tasks

Grant calendar access rights to other staff/consultant users
(requires add-on fee per user)
($50 month/$150 quarter/$600 year)

Guidelines/Tips/Videos

SEC/State Resources
Regulatory updates
RSS news feeds

Zapier Integrations
Automate tasks to third-party apps

Forms/Templates
Procedures, Checklists

Cloud Storage
Migration available

-and-

Disclosure Client/Staff Portals
(**up to 25 public and 5 staff disclosure app users)

Ongoing reporting, deliver disclosures, and collect information from clients, staff, vendors, and prospects

Public Portal
ADV
Marketing
Calendar
Privacy Policy/Continuity
Cybersecurity

Staff Portal
ADV
Marketing
Training
Code of Ethics
Calendar
Privacy Policy/Continuity
Cybersecurity
Free
 



Starting at

$0/month
$0/quarter
$0/year
Get more info
Compliance Calendar
View sample tasks

Guidelines/Tips/Videos

SEC/State Resources
Regulatory updates
RSS news feeds
Custom App/Portals
(for 10 users)




Starting at

$3,000 deposit due
$3,000 due at delivery
$6,000/year
Get more info
Firm Login
Admin User Panel: 1
Sub-Admin/Users: 9
White label/logo branding
compliance app login

Customize any Features Available on Our Premium Plus Version

Compliance Calendar
View sample tasks
Create custom tasks

Grant calendar access rights to other staff/consultant users

Guidelines/Tips/Videos

SEC/State Resources
Regulatory updates
RSS news feeds

Zapier Integrations
Automate tasks to third-party apps

Forms/Templates
Procedures, Checklists

Cloud Storage
Migration available

-and-

Disclosure Client/Staff Portals
(**unlimited disclosure app users**)

Ongoing reporting, deliver disclosures, and information collection from clients, staff, vendors, prospects

Public Portal
ADV
Marketing
Calendar
Privacy Policy/Continuity
Cybersecurity

Staff Portal
ADV
Marketing
Training
Code of Ethics
Calendar
Privacy Policy/Continuity
Cybersecurity

Includes
Hosting
Google Cloud backup
CrashPlan data backup
Multi factor authentication
Data security controls
Cybersecurity monitoring
(Advisor Armor)
API/compatibility with other tech

Zapier integration setup/maintenance consulting available (fee applies)
Custom App/Portals
(for 30 users)




Starting at

S10,000 deposit due
$10,000 due at delivery
$20,000/year
Get more info
Firm Login
Admin User Panel: 5
Sub-Admin/Users: 25
White label/logo branding
compliance app login

Customize any Features Available on Our Premium Plus Version

Compliance Calendar
View sample tasks
Create custom tasks

Grant calendar access rights to other staff/consultant users

Guidelines/Tips/Videos

SEC/State Resources
Regulatory updates
RSS news feeds

Zapier Integrations
Automate tasks to third-party apps

Forms/Templates
Procedures, Checklists

Cloud Storage
Migration available

-and-

Disclosure Client/Staff Portals
(**unlimited disclosure app users**)

Ongoing reporting, deliver disclosures, and information collection from clients, staff, vendors, prospects

Public Portal
ADV
Marketing
Calendar
Privacy Policy/Continuity
Cybersecurity

Staff Portal
ADV
Marketing
Training
Code of Ethics
Calendar
Privacy Policy/Continuity
Cybersecurity

Includes
Hosting
Google Cloud backup
CrashPlan data backup
Multi factor authentication
Data security controls
Cybersecurity monitoring
(Advisor Armor)
API/compatibility with other tech

Zapier integration setup/maintenance consulting available (fee applies)
Custom App/Portals
(more users)




Starting at

50% deposit due
50% due at delivery
$INQUIRE/year
Get more info
Firm Login
Admin User Panel: >
Sub-Admin/Users: >
White label/logo branding
compliance app login

Customize any Features Available on Our Premium Plus Version

Compliance Calendar
View sample tasks
Create custom tasks

Grant calendar access rights to other staff/consultant users

Guidelines/Tips/Videos

SEC/State Resources
Regulatory updates
RSS news feeds

Zapier Integrations
Automate tasks to third-party apps

Forms/Templates
Procedures, Checklists

Cloud Storage
Migration available

-and-

Disclosure Client/Staff Portals
(**unlimited disclosure app users**)

Ongoing reporting, deliver disclosures, and information collection from clients, staff, vendors, prospects

Public Portal
ADV
Marketing
Calendar
Privacy Policy/Continuity
Cybersecurity

Staff Portal
ADV
Marketing
Training
Code of Ethics
Calendar
Privacy Policy/Continuity
Cybersecurity

Includes
Hosting
Google Cloud backup
CrashPlan data backup
Multi factor authentication
Data security controls
Cybersecurity monitoring
(Advisor Armor)
API/compatibility with other tech

Zapier integration setup/maintenance consulting available (fee applies)
Premium+ FIN Lancer Version

Starting at

$85/month
$250/quarter
$1,000/year
Get more info
Vendor Training/Compliance Reporting
(For Firms/vendors with Covered functions to comply with proposed SEC Rule 206(4)-11 and Rule 204-2)

Vendor Compliance Calendar
Document tasks to vendors and/or automate to/from other apps

Secure File Link
Send information requests for vendors

Disclosure App/Logs
Disclosure delivery/reporting for vendors

Training Library
Distribute/upload training videos

Third Party Network Services

Visit our page at FINLancer.io to take an assessment
Operation Workflows

Starting at
Get more info

Documentation of operations, workflows, and tasks
CRM Implementation

Starting at
Get more info

Implementation of Advisor Tech CRM systems
Zapier Maintenance

Starting at
Get more info

Ongoing support with tech integrations and error monitoring
Zapier
Setup

Starting at
Get more info

Tech Support
Zapier/Integrations
Marketing
Cybersecurity Officer/CISO


Starting at

$Inquire/month*
Get more info

Large Firms / Organizations

Organizational Security Setup
Cybersecurity Officer
Glacier Cybersecurity

Full Service Cybersecurity and Training
Certification Program Available
Cybersecurity Software


Starting at

$79/month*
Get more info
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
Get more info
RIA Firms


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

Starting at

$99/yr
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
Email Archiving

Starting at

$89/month
(up to 3 users)
Get more info

Email Archiving
Social Media Archiving
13F | 13D | 13G Filings



Starting at

$150/quarter
Get more info
Quarterly 13F Edgar Filing

Compliance App

(Compliance manager for staff, teams, consultants)

Integrated with a disclosure center to transfer items to a Disclosure App


Disclosure App


(Disclosure portals for communications with clients, staff, investors, and vendors)


INQUIRE FOR COMPLIANCE, DISCLOSURE, OR TECH LICENSING SUPPORT