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Wednesday, February 6, 2019

FIN Compliance partners with NAPFAs network

February 7, 2019.  FIN Compliance has entered into a partner program agreement with the National Association of Financial Planners (“NAPFA”).   In partnership with the organization, FIN Compliance will provide special compliance offers to NAPFA members.  NAPFA will feature our firm as a part of its vendor directory to provides services to its network of more than 3000 firms. 
About FIN Compliance

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), and more.  Its network of clients (past/present) includes: Investment Advisors, Hybrid RIA/Broker-dealers, funds, private funds, and more.  

 Compliance Offerings

RIA Consults - Compliance Consulting Services: Compliance Reviews, Filings, Mock Audits, Registration, Forms, and more.

RIA Review – Compliance Management System (online): Online management system featuring: Calendars, To-Do Lists, News, Cloud Directory, Forms, Checklists, Agreements, Review Center, and more.


Established in 1983, the National Association of Personal Financial Advisors (NAPFA) began when a group of consultants simply wanted to help their customers without interfering with commissions. Today, NAPFA is the leading professional association of fee-only financial advisors in the country, with the aim to be the beacon of independent, impartial financial advice for families and individuals. 
The NAPFA Mission

NAPFA aims to be the standard bearer for the emerging industry of financial advisory firms. Managed by the NAPFA Board of Directors and supported by four Regional Boards, NAPFA has developed high standards in the field. Every consultant is responsible for upholding their fiduciary duties and must sign the NAPFA Code of Ethics annually.  It's all part of the NAPFA mission. 

Advocacy and Strategic Partnership Framework

NAPFA has developed a strategic framework to pursue this mission and to promote financial planning towards acceptance as a profession. This framework is the backbone of NAPFA and serves to guide the organization in making a fair strategic decision. The framework measures success based on three key performance indicators:

Business Model Sustainability
Public Awareness & Standing
Member Satisfaction

Based on these indicators, NAPFA seeks to establish long-term partnerships that align with their highest priorities. NAPFA ultimately aims to lead an advocacy program that benefits NAPFA’s target audiences and supports the evolution of financial planning into a recognized and regulated profession. In the pursuit to increase awareness, NAPFA advocates for other organizations and public policies that are most consistent with their values and beliefs.
The association provides resources to support the professional success of fee-only financial advisors through networking, education, and business development opportunities.  The NAPFA network consists of more than 3000 practitioners throughout the country.

How to access the NAPFA network

There are five membership levels: NAPFA-Financial Advisor; NAPFA Associate; Pathway Member; Academic Affiliate; Student Affiliate; and Retired Member.  Paid members will have access to offers through its member/vendor marketplace directory.  NAPFA registered advisors can connect with other professionals through its internal network.  Financial consultants can register for a free professional profile at, this profile alone has proven to drive website traffic and build a substantial online presence for thousands other NAPFA members.

Details about searching for an advisor

All members gain access to the NAPFA network of fee-only financial planners by searching the entire member directory, posting to the public forum, engaging in Q&A inside the network, and gaining insight on the latest solutions in the industry.  In addition, the public can enlist the services of an advisor through searching for a NAPFA advisor in their area: HERE

Who are fee-only financial planners?

As a requirement for NAPFA-advisor level membership, fee-only financial planners are registered investment consultants responsible for acting in the best interests of their customers.  In addition, they do not accept any commission based on sales of products or services. Fee-only consultants have fewer inherent conflicts of interest and generally, offer more comprehensive advice.

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.

Compliance Webinars 
To advance the customization of advisory compliance programs, we launched a training video series as a part of our regulatory management system with our product.  RIA Review is a documentation-based solution to help boutique investment advisors to maintain an internal compliance review program.  This system is a part of our solutions at: FIN Compliance. 

Our Premium and Premium Plus users will have access to our recorded webinar library that contains insight on compliance topics and regulations issued by the: Securities & Exchange Commission (“SEC”), Office of Compliance Inspections & Examinations, Division of Investment Management, FINRA, state securities agencies, and the North American Securities Administrators Association (NASAA).

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.  Moving to FINLancer soon.

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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