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Thursday, March 19, 2020

FIN Compliance joins member benefits program w/ Association of African American Advisors ("AAAA")



Cory Roberson, Principal FIN Compliance/Lancer

March 19, 2020.  FIN Compliance has entered into a agreement to join the member benefits program with the Association of African American Advisors (“AAAA”).   In partnership with the organization, FIN Compliance will provide special offers to AAAA members.  


AAAA will feature our firm as a part of its members directory of services providers at: https://www.aaafainc.com


                   About Association of African American Financial Advisors  (AAAA)


The Association of African American Financial Advisors (AAAA) was created to address the needs and concerns of African American Financial Professionals. AAAA is a non-profit membership organization for African American financial advisors and affiliated professionals. We work in alliance with academic leaders at HBCUs that support financial planning degree programs, legislative and regulatory bodies, financial services firms and consumer interest organizations. 

AAAA fosters the value of financial planning and advances the financial planning profession.    



FIN Compliance Products and Services 


RIA Registration Services:  New/existing firms.
RIA Compliance Consulting:  Ongoing/annual services.
Compliance Management System: Online portal.
Business Management System: Online portal. 
Advisor Transition Support:  RIA Matchmaking/continuity services.

Business/Referral Network: Inquire about advertising/consulting projects. 




Our Approach

Compliance Management - We work with companies who are seeking to manage their compliance obligations - serving more than 175+ firms with compliance services and a system of SEC and state regulatory resources located on one site.

Business Management - We provide firms with task-management processes and a business directory to connect with other firms for continuity, succession planning, partnerships, and deal flow.  Also, we have a small network of referral partners for practice management, operations workflows, accounting, and website design.

Needs Analysis Workflow - We work with firms in determining their compliance management priorities.  During/after a need’s analysis, we provide firms with compliance/business service options to address those needs and will provide firms with sample workflows for task delegation purposes.

Audit Preparation - We help firms in addressing compliance deficiencies while acting as an intermediary for resolving issues between (you) the advisor and regulators/examiners. We can also assist firms in audit prep measures.

Regulatory Changes - We research regulatory updates from state, SEC, and/or FINRA jurisdictions. We’re here to help as some rules/regulations may be amended over time.

About FIN Compliance 

FIN Compliance  (FinCompliance.iois a consortium of compliance, consulting, and business management solutions designed to help boutique investment firms to structure, maintain, and develop their internal regulatory review programs.  

Our product line consists of:  RIA Consults-Roberson Consults Group, a compliance consulting firm, RIA Review, a compliance-management system, B-D Review, a Hybrid-management system (est. in 2020)*, and FIN Lancer, a Business/Task Management system. 

Impact/Missions

FIN Ventures focuses on business strategy consulting for impact-based projects (FINVentures.io).  


FIN Missions (FINmissions.com) provides business/vision support group sessions for other entrepreneurs and youth mentoring.  In addition, Cory has volunteered for more than fifteen youth programs in locations such as like S. Korea, China, S. Africa, Thailand, and India.

Contact:  Cory Roberson - Cory@RIAconsults.com 

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