Nicole Barfield

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

In her role at My RIA Lawyer, Nicole works with our clients performing compliance testing including, but not limited to:

Email archiving and supervision
Billing Review
Licensing and registrations
RIA registrations and notice-filing
Advertising and marketing review

Before she took some time off to be a full time Mom, Nicole held the Series 7, 10, 24, 27, 63, 65 licenses. She also held various insurance licenses and spent time on the sales side as a stockbroker and in insurance sales.

Outside of work, Nicole enjoys reading, travelling, being outside and watching soccer. Nicole has 2 children that play at the collegiate level and one child that plays in high school.

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.

Trusted RIA Compliance Guidance

Making the jump to start your own firm is a big decision. Its stressful, hard work, and you have to learn a ton. This why I decided to hire a professional team to help establish my RIA the right way the first time. My RIA Lawyer’s team is absolutely amazing. They have demonstrated expert knowledge, personable staff, and they have shown us how much they genuinely care about setting us up for success by giving us the tools we need to help others. Thank you Leila and Liz for all of your hard work!

Eric Gomez

The initial consultation was extremely valuable. I definitely recommend speaking with them. I had very custom needs, and they rose to the task!

Caleb Anderson

I worked with Leila as I was getting my new RIA firm up and running. Leila provided expert legal advice as a complement to the national compliance firm who was assisting me with my registration. I was introduced to Leila after I had already begun the process and not sure how I would have made it through without her. She was an invaluable resource and I look forward to working together again in the future!

Nicholas Chiricosta

I have used My RIA Lawyer for filing my Annual Amendments in the past and was very happy with their services and professionalism. Leila Shaver is very responsive, communicative, and extremely knowledgeable. I highly recommend their services!

Rafael G.

Leila is an expert with compliance but she also offers a wealth of knowledge as a business owner. We discussed everything including compliance, marketing, business partnerships, and more. Even though my firm is not yet at a point to work with her, she has sent me multiple emails offering assistance with the things we spoke about during our meeting.

Angela M.

The attorneys at MyRIALawyer are always extremely attentive, responsive and competent. We look forward to expanding our relationship, as we continue to grow.

Chad M.

Schedule a consultation

Comprehensive RIA Compliance and
Securities Law Services

Four Reasons to Hire a Law Firm Instead of a Compliance Firm

and help them understand what it is they actually need to be asking for.

We are the answer to All Your Questions.

We Are
My RIA Lawyer

“In life, it’s not that we don’t have enough time; it’s that we lose so much of it. We waste time on things that can be outsourced instead of spending time on things and people we love. I’d rather pay someone to clean my house and take that time to spend with my children. Our clients are happier letting us ‘clean house’ while they work with their clients. In the end, they have more satisfaction in their businesses and they’re happier overall.”

— Leila Shaver Founder

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Leadership

Leila Shaver

Founder
Tracie Behr

Managing Director

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Schedule
a consultation

How we're different

Doing Nothing, Changes Nothing.

Trusted RIA Compliance Guidance

Comprehensive RIA Compliance and
Securities Law Services

Four Reasons to Hire a Law Firm Instead of a Compliance Firm

We Are
My RIA Lawyer

Leadership

Questions or Schedule an Appointment? Click to Call

Nicole Barfield

Schedulea consultation

How we're different

Doing Nothing, Changes Nothing.

Trusted RIA Compliance Guidance

Comprehensive RIA Compliance and Securities Law Services

Four Reasons to Hire a Law Firm Instead of a Compliance Firm

We Are My RIA Lawyer

Leadership

Questions or Schedule an Appointment? Click to Call

Schedule
a consultation

Comprehensive RIA Compliance and
Securities Law Services

We Are
My RIA Lawyer