Real outcomes from RIAs and CCOs who treated compliance as a core business function — not a checkbox.
CASE STUDIES
Real outcomes from RIAs and CCOs who treated compliance as a core business function — not a checkbox.
Outsourced CCO · OCD+
A newly independent RIA scaling from launch to $1B+ AUM.
The firm transitioned from a hybrid broker-dealer model with limited, reactive compliance support. The owner wasn’t properly registered with the new RIA — a critical gap that could have triggered regulatory consequences — and the team had no framework for policies, disclosures, or ongoing testing suited to an independent RIA structure.
Leila Shaver stepped in as outsourced CCO under the OCD+ program. MRL corrected registration errors during onboarding, implemented a full compliance infrastructure including Smart RIA, designed annual review and branch audit frameworks, and managed ongoing oversight of marketing materials under the SEC Marketing Rule.
Compliance became integrated into daily operations rather than a reactive obligation. With MRL owning the compliance function entirely, leadership focused on growth — scaling to over $1 billion in assets under management. The firm’s leadership now treats MRL as a strategic extension of their own team.
“Partnering with My RIA Lawyer has completely transformed the way we handle compliance. They quickly identified critical issues that had been overlooked by our prior firm, got our registrations and systems in order, and gave us the structure we needed to scale responsibly.”
— Owner, RIA Client
Outsourced CCO · General Counsel Partnership
A 3+ year engagement building compliance architecture for an established independent RIA.
Paul Winkler Inc. needed more than periodic compliance checkups. As the firm grew, they required a consistent, deeply integrated compliance partner — one that understood the firm’s structure, culture, and client relationships well enough to build policy architecture that would actually hold under scrutiny.
MRL took on the outsourced CCO role alongside an ongoing general counsel partnership. The engagement covered custom policy architecture, HR and supervisory frameworks, firm-specific compliance training, and day-to-day legal support — all built around the firm’s specific business model rather than a generic template.
Over three-plus years, Paul Winkler Inc. has maintained a compliance program that stands up under real-world conditions. The depth of the relationship means MRL understands the firm’s decisions before they’re made — evaluating business choices through a risk management lens, not just reacting after the fact.
“Before engaging My RIA Lawyer, compliance felt reactive. We were relying on templates, outside opinions, and internal guesswork. It worked — until we realized it wasn’t scalable and left too much room for risk. Over the past three years, that’s completely changed. Every disclosure, training, and policy is built around how our firm actually operates. We’re a more disciplined, better-run firm because of it. With My RIA Lawyer, compliance isn’t a bottleneck or a blind spot — it’s a core part of how we grow.”
— Paul Winkler, Founder, Paul Winkler Inc.
Compliance-U · CCO on Call
From theory to action — building a real compliance program from inside the CCO role.
Lucy Lam, CCO of WRP Wealth, had the knowledge and intent — but not the infrastructure to execute. Competing priorities made it difficult to move from understanding the rules to actually running a program. She needed more than guidance. She needed implementation support and someone to help her lead compliance within the firm.
Lucy started with Compliance-U to build foundational structure, then transitioned to CCO on Call as the firm grew. MRL helped her build and execute testing requirements, provided practical training resources for the team, and coached her on leading compliance — setting expectations, communicating with leadership, and building real accountability into the program.
Team engagement around compliance shifted noticeably. Lucy established clearer expectations firm-wide, built a more direct communication rhythm with leadership, and moved from managing compliance reactively to running it with authority.
“They didn’t just provide guidance — they helped me actually implement a real compliance program. From building and executing our testing requirements to providing practical training resources, they gave me the tools and support to move from theory to action. With their support, I’ve been able to establish clearer expectations, communicate more effectively with our team, and start building a true culture of compliance.”
— Lucy Lam, CCO, WRP Wealth
Whether you need a full outsourced CCO or support for an existing program, let’s talk about what your firm needs.