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Legal and Compliance Services

My RIA Lawyer is the premier provider of legal and compliance services to financial professionals that help ensure you and your team remain compliant with all applicable laws and regulations. Proudly headquartered in Atlanta, we serve clients in all 50 states. Our team has more than 75 years of combined experience and can use that knowledge to help protect you and your clients. We offer a variety of options for our clients, including general securities, broker dealer, and RIA services. Our one-two punch of legal and compliance teams allows us to provide complete coverage. For more information on any of our RIA or BD services, give the professionals at My RIA Lawyer a call today!

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SEC Compliance Services

My RIA Lawyer has three options for RIAs that need help with SEC compliance. These options are:

  • Compliance University – Great for start-ups, small state-registered firms, and those looking for additional resources for their in house compliance team. This is a monthly service.
  • Ongoing monthly outsourced compliance consulting services (4 tiers) where we take the day-to-day compliance tasks off your plate and build your compliance program to grow with your firm.
  • Outsourced Compliance Department with Outsourced CCO (Diamond Package) – We take over your compliance program and give you peace of mind that your program complies with SEC and state requirements. Your outsourced CCO does everything from cleaning up your compliance program to managing your regulatory exams and vet, hiring, and training in-house compliance staff. Don’t let compliance take another minute of your time. Our outsourced compliance department solution takes away the anxiety of being your firm’s CCO.

Questions or Schedule An Appointment? Click to Call (770) 525-1715

Why Choose My RIA Lawyer For FINRA Expungements?

  • Experts in the RIA Space – My RIA Lawyer is the only law firm solely focused on the RIA space.
  • Confidential Strategy Session – During your phone or online video consultation, we will listen to you and help you determine your next steps.
  • Focused Legal Practice – By focusing the firm on investment advisers, our clients receive specialized services and advice that finally allow them to take control and live the life they dream of.
  • Satisfaction Guarantee – We are guaranteeing your satisfaction or you get your money back.
  • Experienced – My RIA Lawyer has a proven record of protecting financial advisers by helping them when issues, violations or the regulators themselves threaten your business and livelihood. We routinely help clients with expungements and are proud of our success rate.
  • Highly Responsive – We strive for rapid return calls. No going dark or waiting days to hear back.
  • Proactive Approach – Our goal is to keep nosy regulators out of your business and out of your wallet. When we aren’t helping firms avoid regulators by putting in place robust compliance systems, we are vigorously defending them against client and regulatory actions.
  • Our Vision – My RIA Lawyer Wants to See Advisors fulfilling their purpose without the Worry of Compliance Tasks.
  • Highly Reviewed & Rated – Excellent rating by respected legal website Avvo, Super Lawyers Rising Star for 2021, 5–Star average review rating on Google. See some of our client reviews below.

Questions or Schedule An Appointment? Click to Call (770) 525-1715

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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

What RIAs Should Be Asking Their Attorneys

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

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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

Questions or Schedule an Appointment? Click to Call

(770) 462-2118