Products / Services


Advisor Software

Broker-Dealer Software

(coming in 2019)

Private Funds

Crypto / Digital Assets

Cyber Security

Who We Are

My Compliance Blog

SEC Risk Alert - Registered Funds & ETFs


"Overall the content is great. The checklists and abundance of info greatly helps our firm go above and beyond in completing our compliance tasks."

K. Daniels, Client Relationship Manager, Summit Wealth Partners, LLC.

"I can't say enough good things about Cory. He's done a great job fixing and maintaining our compliance issues. I highly recommend Cory!"

Scott Schwartz, CFP ®, CIMA ®, Alexander Beard, USA, LLC

"Cory is an outstanding professional. As a consultant to my growing investment practice, he has added a tremendous amount of value. LinkedIN has 7 "top attribute" boxes,but limits your selection to 3. I would definitely select all 7 if given the opportunity! He works hard, knows his stuff, and provides great value. More than anything, I appreciate that Cory is an individual with strong moral values and principals, which is evidenced by his extra-curricular activities and volunteerism."

Allan Boomer. Managing Partner of Momentum Advisors

"Cory has been Financial Planning Hawaii's third-party compliance consultant for many years. He is an expert in his field and is totally responsive. I recommend his services unequivocally to any RIA."

JR Robinson, Founder at Financial Planning Hawaii, Inc. | Co-Founder, CEO at Nest Egg Guru, Inc.