As advisory firms scale, compliance responsibilities become distributed across leadership, consultants, and outside providers. That structure grows fragmented — and increasingly difficult to defend under regulatory scrutiny.
We work exclusively with RIAs and broker-dealers
Legal, compliance, and regulatory defense
Attorneys, not consultants
— Leila Shaver, Securities Attorney
You don’t have to be in crisis for your compliance structure to be a problem. Most of the firms we work with are operating and growing — they just know something isn’t quite right.
01
Compliance is distributed across your COO, an outside consultant, and a lawyer you call when something goes wrong. Nobody owns it clearly — and under examination, that ambiguity becomes your problem.
02
The compliance structure that served your firm at an earlier stage isn’t built for a multi-office, multi-advisor firm that’s still scaling. The gaps widen as you grow, not the other way around.
03
Buyers and investors scrutinize compliance governance closely. Firms with fragmented oversight structures are harder to value, harder to close, and harder to integrate.
04
Regulators no longer check whether a review happened. They want to see that it actually caught something — and that your firm did something about it. Checkbox compliance doesn’t produce that evidence.
This isn’t a checklist audit. It’s a legal assessment of how your compliance architecture is structured — and where it creates exposure.
How compliance authority is designated, distributed, and documented across your firm’s leadership
Whether your program can demonstrate substantive operation — not just procedural existence — under SEC examination
The qualifications, authority, and capacity of whoever currently holds CCO responsibilities at your firm
Where your compliance architecture will break down as you add advisors, offices, or cross regulatory thresholds
Requesting a review doesn’t require preparation, paperwork, or a significant time investment on your end. We do the work of understanding your firm’s structure. You show up to a conversation.
We are securities attorneys — not compliance consultants. The guidance you receive is backed by legal expertise, not just industry experience.
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After you submit, a member of our team reviews your intake personally and follows up to discuss next steps.
A focused conversation about your firm's structure
We ask about how compliance responsibility is held, where the gaps are, and what's prompting you to look at this now. No prep needed — just an honest conversation.
A clear picture of where you stand
By the end of the conversation you'll have a clear sense of where your program is exposed and what it would take to make it defensible.
No obligation to proceed
The review is a starting point. Firms that want to move forward into an OCD or OCCO engagement can — but there's no pressure to have the conversation.
We work with a limited number of firms at a time. The firms we take on are growth-stage RIAs who have moved past the point where a compliance consultant is sufficient — and who need legal oversight and governance structure behind their program. Size matters less than complexity.
There’s no shortage of compliance firms. The difference is in what we actually are — and what that means for you when it matters most.
Securities attorneys, not consultants
We are securities attorneys — not compliance vendors or consultants. We advise on legal risk, build defensible compliance architecture, and defend firms when regulators come knocking.
Exclusively RIAs and broker-dealers
We work with financial firms only. We understand the regulatory expectations of the SEC and the governance challenges of scaling an advisory firm — because it's all we do.
Structure problems, not checklist problems
Most compliance providers manage tasks. We assess governance. There's a meaningful difference — and under the SEC's current examination posture, that difference is what determines whether your program holds up.
Engagements are limited. We maintain a small number of active reviews to ensure the quality of oversight we provide to each firm.
A conversation costs nothing. Waiting might.