Pricing

Summary of Services

Our Compliance and Business Management Solutions

How we compare

FIN Compliance vs. Popular Competitor
Registration
Starting at $3,595 (for all firms)
No discounts when bundling

Ongoing Compliance*
Bundling packages technology, limited filings, and consulting
Starting at $2,395/yr (for State-registered firms)
Starting at $3,495/yr (for SEC-registered firms)

Breakdown of Products/Services
Technology (features: calendar, forms, templates + mobile app)
Filings (2 included: add-on fee for additional filings)
Consulting (General Q&A included: add-on fee for other work)
Technology/App (included)
Add-ons/other services (inquire)
RIA Registration
Starting at $4,000 (state firms)
Starting at $6,000 (SEC firms)
some discounts if bundling

Ongoing Compliance
Bundling technology, unlimited filings, and consulting
Starting at $7,800/yr (for state-registered firms)
Starting at $12,900/yr (for SEC-registered firms)

Breakdown of Products/Services
Technology (features: calendar, forms, templates + mobile app)
Filings (unlimited)
Consulting (General Q&A, 3 additional state registrations,
procedures manual, marketing reviews)
Add-ons/other services (inquire)

Our Value
Why the starting price difference?
We give our smaller/boutique-sized firms the option to price in services based on the amount of outsourced assistance needed. Note: Some of our pricing may be comparable to our competitors when adding services. Competitor pricing estimates are based on a website review and the actual fees may change depending on several factors. We cannot guarantee the accuracy of any competitor estimates.

RIA Registration

Startup your practice and receive ongoing support options
Registration
Starting From
$3595/yr
(depending on type/# of jurisdictions)
Consulting Support
Registration Process

ADV Form Part 1A/B; Part 2A & B Brochure Filings

Compliance Services
Inquire on ongoing customized/bundled packages

Compliance Technology
Desktop Solution

Compliance/Business Manager
Premium Version
Premium+ Version

Mobile Solution

FIN Disclosure Application
Basic Version
Unlimited Version

Compliance Consulting

Bundled with Desktop and Mobile Technology Services
Tier 1: Gold
Starting From

$5995/yr
(or $500/month)
Custom Options

Filings:

Up to 6 (add-on available)

Registrations

Partial Registration
SEC to State registration
State to SEC registration
Additional states

Reviews

Quarterly/Ongoing Reviews
Periodic Reviews of books/records
Action Plan
Policies/Procedures Check
Mock Audit

Technology

(Up to 3 users)

Desktop Solution

Premium Version
*Premium+ version addon available

Mobile Solution

Basic Version**
*Unlimited version addon available

Tier 2: Silver
Starting From

$3995/yr
(or $350/month)
Custom Options

Filings:

Up to 4 (add-on available)

Registrations

Partial Registration
SEC to State registration
State to SEC registration
Additional states

Reviews

Quarterly/Ongoing Reviews
Policies/Procedures Check

Technology

(Up to 1 users)

Desktop Solution

Premium Version
*Premium+ version addon available

Mobile Solution

Basic Version**
*Unlimited version addon available

Tier 3: Bronze
Starting From

$2395/yr
(or $200/month)
Custom Options

Filings:

Up to 2 (add-on available)

Reviews

Policies/Procedures Check

Technology

(Up to 1 users)

Desktop Solution

Premium Version
*Premium+ version addon available

Mobile Solution

Basic Version**
*Unlimited version addon available


Tier 1
Gold


Starting From

$8995/yr
(or $750/month)
Custom Options

Filings:

Up to 6 (add-on available)

Registrations

Partial Registration
SEC to State registration
State to SEC registration
Additional states

Reviews

Quarterly/Ongoing Reviews
Periodic Reviews of books/records
Action Plan
Policies/Procedures Check
Mock Audit

Technology

(Up to 3 users)

Desktop Solution

Premium Version
*Premium+ version addon available

Mobile Solution

Basic Version**
*Unlimited version addon available

Tier 2
Silver


Starting From

$5995/yr
(or $600/month)
Custom Options

Filings:

Up to 4 (add-on available)

Registrations

Partial Registration
SEC to State registration
State to SEC registration
Additional states

Reviews

Quarterly/Ongoing Reviews
Policies/Procedures Check

Technology

(Up to 1 users)

Desktop Solution

Premium Version
*Premium+ version addon available

Mobile Solution

Basic Version**
*Unlimited version addon available

Tier 3
Bronze


Starting From

$3995/yr
(or $350/month)
Custom Options

Filings:

Up to 2 (add-on available)

Reviews

Policies/Procedures Check

Technology

(Up to 1 users)

Desktop Solution

Premium Version
*Premium+ version addon available

Mobile Solution

Basic Version**
*Unlimited version addon available

Enterprise

Custom Options

FinTechs

Regulatory Mapping
Jurisdictional
Framework/research
Compliance Portals

Financial Networks*

Compliance*
Operations*
*Joint projects with partners

Compliance/Business Management Desktop

Desktop Application service only - no consulting services included
Alternatives
Starting From

$1595/yr
(or $135/month)
Desktop

(1 user - $500 add user)

For Crypto, DeFi, and Blockchain Asset Firms


Disclosure Center
Public Disclosures
Staff Disclosures

Download via weblink
Request via email
Request via mailed

Other Business Activities
Holdings Reports
Employee Attestations/Certification
Audit Logs

Mobile

Basic Version
(5 staff + up to 25 public)
Included

Unlimited Version
(25 staff + unlimited public)
Add $600/yr
(or S50/month)

Premium+
Starting From

$1495/yr
(or $125/month)
Desktop

(1 user - $500 add user)

For SEC and State Firms


Compliance Calendar
Guidelines
Alerts
Checklists
Maps
Forms
Disclosures/Filings
Video Library
Review Center
Integrations

File Portals
Cloud Storage Directory
Secure Files Portal
Client Center
Project Center
Document Portal

Disclosure Center
Public Disclosures
Staff Disclosures

Networking
Advisor Directory
Vendor/Offers Directory

Mobile

Basic Version
(5 staff + up to 25 public)
Included

Unlimited Version
(25 staff + unlimited public)
Add $600/yr
(or S50/month)

Premium
Starting From

$1295/yr
(or $110/month)
Desktop

(1 user - $500 add user)

For SEC and State Firms


Compliance Calendar
Guidelines
Alerts
Checklists
Maps
Forms
Video Library
Review Center
Integrations

File Portals
Cloud Storage Directory
Secure Files Portal
Client Center
Project Center
Document Portal

Disclosure Center
Public Disclosures
Staff Disclosures

Networking
Advisor Directory
Vendor/Offers Directory

Mobile

Basic Version
(5 staff + up to 25 public)
Included

Unlimited Version
(25 staff + unlimited public)
Add $600/yr
(or S50/month)

Free


$0
(free trial for all firms)
Desktop


Compliance Calendar
SEC/State Guidelines

Networking
Vendor/Offers Directory

Disclosure Mobile Application

Mobile Application Service only - no consulting services included
Starter
Starting From

Included in Paid Packages


Mobile App

Staff Dashboard(up to 5 admin)
Public Dashboard(up to 25 users)
Unlimited
Starting From

$1200/yr
(or $50/month)
when purchased with a paid package
Mobile App

Staff Dashboard(up to 5 admin)
Public Dashboard(unlimited)

Inquire for larger user packages & enterprise integrations.

Cybersecurity

Service offered w/Glacier Cybersecurity
Tier 1 Platinum
Starting From

$2000/mo
Setup fee: $1000
Access to cyber expert
Risk assessment/audit
Training
Dark Web Monitoring
Policy Development
Quarterly Scans
Tier 2
Gold
Starting From

$1000/mo
Setup fee: $1000
Access to cyber expert
Training
Dark Web Monitoring
Policy Development
Quarterly Scans
Tier 3 Bronze
Starting From

$750/mo
Setup fee: $500
Access to cyber expert
Policy Development
Quarterly Scans
Tier 4 Software
Starting From

$250/mo
Setup fee: $500
Quarterly Scans

  • Setup an Account Profile

  • Review Compliance Calendar

  • Discuss Service Needs

ACCESS COMPLIANCE CALENDAR AND MANAGE TASKS