Our FIN Compliance team supports firms with completing its regulatory filings, audit preparation,
and business tasks combined with the use of web-based software tool(s)

FIN Compliance Overview
System Login
We Offer:
Consulting
Compliance Consulting and Audit Prep
Business Referalls to Vendor Partners
Advisor Continuity Introductions/Assessments
Business Tech/Development
Software
RIA/BD Compliance and Business Management tools integrated into one-login system.
Procedures collaboration tools for principals, CCOs, staff, and consultants. Register with an online account.
Our systems can work with your existing technology vendors/stack.
Compliance Management Platform
Compliance Module
We Offer:
Online Resources
Firms can access our online compliance system for ongoing reviews using our: RIA Compliance Calendar, Forms, Checklists, Compliance Cloud, Review Resources, and more.
Our Global Network includes
Registered investment advisors (RIA)
Small RIA’s ($0-50 MM in AUM)
Medium RIA’s ($50 -500 MM in AUM)
Registered/Private Fund Advisors
Hybrid (RIA/Broker-Dealer) Firms
Robo-Advisors/FinTech
Our Progress
More than 175+ SEC, State, FINRA firms served in US and Europe who represent assets of more than $4 Billion in AUM (Since 2012).
Business Management Platform
Business Module
We Offer:
Collaboration Tools
Firms can access our system to manage projects, such as compliance, operations, or other client-based assignments.
Users can share projects with their team and send/receive documents from clients.
Network Connections
Advisors can connect with other firms for continuity, succession planning, partnerships, and deal flow on our Advisor Directory
Our Partners can list their business offers on our Vendor Directory to advertise with other firms.
Integrations
Approve Me - E-Signatures
Google Calendar
PayPal, CashApp (for vendor billing)
And More

Products / Services

How To Get Started

Review Pricing/Overview

Estimate Your Needs

Compliance Consulting
Program Setup
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Compliance
Business Software
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Audit Prep
Discrepancy Fixes
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Business Continuity
Firm Disclosures
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New Registrations
Notice Filings
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Firm Filings
Document Checks
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Advisor Partnerships
Succession Matching
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Affiliate Vendor
Partnerships
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Advertising
Marketing Review
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Register for Our Compliance Business Software

Advisor Partnerships
Succession Matching
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Solo/Multi-Users
Admin Account
Reps/Other Office Accounts
Share/Uploads to Customers
Affiliate Vendor
Partnerships
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Solo/Multi-Users
Admin Account
Reps/Staff Accounts
Share/Uploads to Customers
Advertising
Marketing Review
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Solo/Multi-Users
Admin Account
Share/Uploads to Customers

Who We Are

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Our Vendor/Resource Network

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FIN Compliance Blog

Testimonials

"Overall the content is great. The checklists and abundance of info greatly helps our firm go above and beyond in completing our compliance tasks."
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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!"
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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."
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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."
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JR Robinson, Founder at Financial Planning Hawaii, Inc. | Co-Founder, CEO at Nest Egg Guru, Inc.