Compliance Management Solutions
Segmented for Registered Investment Advisors (RIAs), Broker-Dealers, Funds, and more
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FIN Compliance is now a part of the member/partner vendor network of
National Association of Personal Financial Advisors is an American financial planning trade organization created in 1983 to expand the use of fee-only financial advisors by individual consumers.
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Operations and systems development resource for investment advisors and other businesses.
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K. Daniels, Client Relationship Manager, Summit Wealth Partners, LLC.
Scott Schwartz, CFP ®, CIMA ®, Alexander Beard, USA, LLC
Allan Boomer. Managing Partner of Momentum Advisors
JR Robinson, Founder at Financial Planning Hawaii, Inc. | Co-Founder, CEO at Nest Egg Guru, Inc.
RIA Review – Compliance Management Software
(for those who want to try it out)
(w/o annual review program)
(w/annual review program)
RIA Consults - Compliance Services
B-D Review - Compliance Management Software (add-on)
FIN Ventures - Sucession Planning/Deal Flow/Partnerships
RIA Consults - New Firm Registration
RIA Consults - Compliance Consulting