RIA Legal And Compliance Experts

Let’s be real. You would rather meet with prospective clients and provide them services than do compliance tasks. Why? Because working with clients MAKES YOU MONEY. Compliance is not a revenue generating activity. BUT, a robust compliance program can SAVE you money. Of course, you can’t see and feel the savings in your bank account everyday. You really only feel the pain of not investing in your compliance program when you have to pay a hefty fine. So why spend the time on it?

Watch this video if you want to know how a routine examination can cost your firm almost $800,000!

So you don’t want to do it, but you are REQUIRED BY LAW to do it.

Why not hand off the work to a bunch of lawyers who are compliance nerds and are long-time practitioners in the RIA field? As a matter of fact, why not hand off the work to the ONLY law firm SOLELY focused on the RIA space?