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Sunday, September 16, 2018

FIN Compliance - Management Solutions

By Cory Roberson, Principal of FIN Compliance and FIN Community

September 15, 2018.  

We've merging our compliance websites onto one platform: FINCompliance.  

FIN Compliance ( is a consortium of compliance services including: RIA Consults -Roberson Consults Group, RIA Review, RegTech Products, and more.  All of the previous domains (,,, and will route to this site. 


RIA Consults - Roberson Consults Group, a consulting firm providing compliance, operations, and business development services ( Since 2011, RIA Consults – Roberson Consults Group has served more than 160 SEC & State Registrants across the country. International clients include: London and Czech Republic.  Services: Tier 1, 2, and 3. 

RIA Review is a user-friendly online compliance and documentation-based platform to help boutique investment advisors to structure, maintain, and develop their internal compliance review programs. 130 users and growing.  Hybrid version (RIA/broker-dealer) coming soon


RIA Review Dashboard (v.2.3) - premium plus version shown

RIA Review Overview: There are three online versions available including:  

Free Version
 - for those who want to try out a limited version; 
Premium Version - for state-registrants with basic reporting needs, and 

Premium Plus Version - for SEC and State Registrants that also require an annual review.

Our Mission: “Serving the Investment Community to Make a Social Impact”


FIN Compliance ( is a consortium of compliance services including: RIA Consults-Roberson Consults Group, a compliance consulting firm, RIA Review, a compliance-management software tool (SaaS), RegTech Products is a product notification portal for product offerings in financial service markets.

Business Listings

FIN Community ( is a business listing and network for providers in the Financial Services, FinTech, RegTech, Crypto and Blockchain communities.  We believe in supporting the gig economy through building business opportunities.


SoCap Missions ( provides business support group sessions.  In addition, Cory has volunteered for more than fifteen youth programs in locations such as like S. Korea, China, S. Africa, Thailand, and India.

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