Worried That Your Next SEC Audit Will End in Fines? TAKE THE ASSESSMENT

Are you a financial professional struggling to keep up with the ever-changing rules and regulations? We understand the sleepless nights spent worrying about potential compliance pitfalls. Our team helps you unravel these complexities, providing clear pathways to ensure your business operates without legal hiccups.

With My RIA Lawyer, you’re not just gaining legal insights but forming a strategic alliance. As a leading legal and compliance powerhouse, we focus on safeguarding financial firms, ensuring their operations align seamlessly with the ever-evolving legal landscape.

Our seasoned team empowers you to confidently manage compliance challenges. This is more than dodging penalties; it’s about thriving in an industry that never stands still. Whether you’re a Registered Investment Advisor, Broker-Dealer, or Alternative Investment Advisor, our tailored services cater to your unique needs.

As the financial industry changes, so do we. We understand that financial professionals today need diverse solutions to meet their entrepreneurial goals. Our services offer legal, compliance, and operations consulting in one place, making managing your journey to success that much easier.

Achieve Regulatory Compliance with Dedicated RIA Lawyers

Not your daddy's law firm

How we're different

We take a no-nonsense approach to solving your problems. Forget about one-size-fits-all solutions; we roll up our sleeves and craft strategies that fit your financial business like a glove. We’re not just lawyers – we’re compliance partners, financial enthusiasts, and problem solvers.

We get it – you need answers, and you need them now. That’s where we come in, offering a blend of big-firm resources with the kind of personal attention you’d expect from a smaller one.

But what really sets us apart? We’re all about your success. Compliance is just the start; we’re here to help you thrive. We know the ins and outs of the financial world, and we’re not afraid to think outside the box to help you reach your goals while playing by the rules.

Doing Nothing, Changes Nothing.

SEC Risk Assessment Quiz

Trusted RIA Compliance Guidance

Comprehensive RIA Compliance and
Securities Law Services

We Have Answers

What role does an RIA lawyer play in risk management?

RIA lawyers help identify and mitigate potential compliance risks that your firm might face, ensuring that your business operations are aligned with regulatory standards.

What ongoing compliance tasks can an RIA lawyer help with?

RIA lawyers assist in drafting and updating compliance policies, conducting regular audits, staying informed about regulatory changes, and addressing any compliance issues that arise within your firm. We will do all the testing, represent the firm as its Chief Compliance Officer, and respond to regulatory exams and requests.

Can an RIA lawyer help me set up my investment advisory firm?

Absolutely! An RIA lawyer can guide you through the registration process with the SEC or relevant state authorities, ensuring you meet all necessary regulatory requirements to operate your investment advisory business legally.

How can an RIA lawyer help me prepare for SEC examinations?

An RIA lawyer can simulate mock SEC exams, review your records and procedures, and provide guidance on addressing any potential compliance weaknesses before an actual examination.

How can an RIA lawyer assist me with the RIA registration process?

An RIA lawyer can play a crucial role in the RIA registration process by providing guidance on completing the necessary paperwork and ensuring all required information is accurate and comprehensive. At My RIA Lawyer, we prepare all of the registration documents, submit them and engage with the examiner until the registration is complete.  We also prepare all of the compliance documents and client-facing agreements.


What RIAs Should Be Asking Their Attorneys

as a lawyer, I can give you the insights...

We are the answer to All Your Questions.

We Are
My RIA Lawyer

“It’s important that you look at your legal provider and who it is you have invested in to protect your business, so there are a few things you should be asking your lawyer. First, do they know what the heck you’re doing? Do they know the services you provide? The fees you’re charging? Do they understand securities? One of the problems I see when there is a legal action or when there’s an enforcement action, is that so many of you are going to attorneys that have ZERO securities experience! You’re going to, God forbid, a general practitioner!! That’s not the kind of lawyer you want, you want a securities attorney! You want them to understand your business.

— Leila Shaver Founder

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