Compliance Management Solutions
Segmented for Registered Investment Advisors (RIAs), Broker-Dealers, Funds, and more
We believe in products that are segmented based on geographic locations as opposed to the one-size-fits all compliance platforms that seek to service every market in the financial services industry.
We believe in a framework to allow firms to customize to its individual model.
FIN Compliance (FinCompliance.io) is a consortium of segmented compliance services including: RIA Consults-Roberson Consults Group, a compliance consulting firm for advisors and FinTech entrepreneurs, RIA Review, a compliance-management software tool; RegTech Products is a product notification portal for product offerings in financial service markets, such as: RIA's, Broker-Dealers, Insurance, Blockchain, AML and more.
Overall, our network includes 160+ firms, 130+ RIA Review users, 20+ states represented, 3 countries, and consulting clients served with a total of more than $3.70+ billion in assets under management.