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    Adviser Back-Office Support

    Insurance Operations Support for RIAs

    Keep insurance operations organized alongside your advisory practice.

    For RIAs with licensed life and annuity producers or an affiliated insurance agency. We confirm requested tasks, delivery fit and responsibilities before agreeing to a scope.

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    Build the right scope for your firm

    Licensing & appointment records

    Organize producer records, current status and open items supplied by your team; confirm any filing work separately.

    Renewal & CE calendars

    Coordinate renewal dates, continuing-education evidence and follow-up responsibilities.

    Documentation & handoffs

    Organize existing insurance records and outstanding requests between your advisory team and insurance affiliate.

    Marketing-review coordination

    Route life and annuity communications for pre-checks and required firm or carrier review; retain approval records.

    Potential workstreams—not a fixed package. Staffing, state coverage, system access, workload limits and fees are confirmed in writing before work begins.

    A fit for regulated advisory teams

    • RIAs with licensed life or annuity producers managing records and recurring deadlines.
    • Advisory firms coordinating work with a separately licensed insurance affiliate.
    • Wealthtechs and insurance platforms with licensed teams, subject to jurisdiction and delivery fit.

    Professional decisions stay with you

    FIN Group does not provide client investment recommendations, manage assets or place trades through these services. Insurance support excludes placement, underwriting, policy suitability or best-interest approval and carrier authorization. Your licensed professionals, firm reviewers and carriers retain their respective responsibilities. Legal and tax advice are excluded.

    Human support first. Software when it fits.

    Paraplanning uses your existing planning tools and CRM. Insurance coordination starts with a review of your systems and access. No automatic integrations or new subscriptions are promised.

    RegReview: broader agency workspace

    Optional compliance operations, calendars, licensing records and included marketing review. Software and human support are separately scoped unless expressly included.

    RegReview for insurance RegReview compliance workspace

    AD/Risk Scanner: focused pre-checks

    Risk-rated marketing pre-checks for teams not needing the broader workspace. You do not need both subscriptions. Human and required carrier approvals remain in place; portfolio checks are not insurance suitability reviews.

    Insurance marketing pre-checks AD/Risk Scanner review workspace

    Frequently asked questions

    Which RIAs is this support intended for?

    RIAs with licensed life or annuity producers or an affiliated insurance agency. We confirm the entities, states, staffing and requested tasks before agreeing to an engagement; this is not a general insurance-placement service.

    What does an insurance operations engagement include?

    Potential scope includes licensing and appointment records, renewal and CE calendars, documentation, marketing-review coordination and follow-up workflows. Delivery capacity, access, responsibilities, workload limits and fees must be confirmed in a written scope before work begins.

    Does FIN Group recommend, sell or approve insurance policies?

    No. This support does not include insurance placement, underwriting, policy suitability or best-interest approval, or carrier authorization. Licensed professionals retain recommendations, and designated firm reviewers and carriers retain required approvals. Legal and tax advice are excluded.

    Do we have to purchase RegReview and AD/Risk Scanner?

    No. Human support can be scoped around your existing systems, subject to access and fit. RegReview is the optional broader agency compliance workspace with included marketing review. AD/Risk Scanner is the focused risk-rated marketing pre-check alternative; two subscriptions are not required. Software and human services are separately scoped unless expressly included.

    Can wealthtechs or insurance platforms use this support?

    Potentially, when they have a licensed advisory or life/annuity agency team needing operational support. We first confirm jurisdictions, systems, permissions and delivery fit. This is not a blanket offer for every fintech or a promise of international regulatory coverage.

    Tell us where your team needs support

    Include your firm type, licensed entities, states, systems, workload and target start date. We will confirm fit and scope before quoting.

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