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Blog Archive

Monday, June 11, 2018

Compliance Assessment - Where does your firm stand?

By Cory Roberson, Principal at FIN Compliance and FIN Lancer


Are you an Existing, Start-up or Breakaway investment advisor?

Managing your firm's compliance program can be a challenging feat when factoring in the demands of your other business activities.  Now, while the summer season approaches, could be great time to evaluate your firm’s annual and ongoing compliance obligations.  

We Invite You To Fill Out Our Brief Survey HERE:   

Contact us below regarding your assessment for a brief overview. 

For more inquiries, please contact
Cory Roberson
Roberson Ventures Group, LLC.
2950 Buskirk Ave, Suite 300, Walnut Creek, CA 94597
Phone: 650-305-2688
Email: or

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

Compliance and Business Management

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), B-D Review, a RIA/Broker-Dealer compliance management software tool, and FINLancer is a business management portal featuring:  E-signature tools; Invoicing integration, Vendor Directory, continuity directory*, business client document portal, and more (available by Q3 2019).  Access all services on one site:


FIN Missions ( provides business support group sessions for other entrepreneurs.  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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