Compliance Services for Growing
RIAs & Broker-Dealers
- Attorney-Client Privilege on All Services
- Serving RIAs with $350M–$5B AUM
- Nationwide Service Coverage
- 100% Compliance Focused
See How We Solve Your Compliance Challenges
Watch how My RIA Lawyer provides attorney-led compliance solutions that protect your firm, defend against regulatory actions, and free you to focus on growth.
Unlike traditional compliance consultants, we’re a law firm—providing attorney-client privilege, regulatory defense, and legal backing on every engagement.
Compliance shouldn’t hold your firm back from growth. As your RIA or broker-dealer scales beyond the early stages, compliance becomes increasingly complex—multi-state registrations, SEC examinations, sophisticated product offerings, and growing teams all demand expertise that goes beyond basic compliance consulting.
My RIA Lawyer provides comprehensive compliance solutions designed for growing financial firms managing significant assets and navigating complex regulatory environments. Whether you need occasional guidance, full compliance support, or a complete outsourced Chief Compliance Officer, we have the right solution for your firm.
Unlike traditional compliance consultants, we’re a law firm. Every compliance service includes attorney-client privilege and access to licensed securities attorneys—not just compliance professionals. When regulators come knocking, you need more than a consultant. You need legal counsel.
Which Compliance Service Is Right for Your Firm?
Choose the level of support that matches your firm’s size, complexity, and growth stage. Not sure which option fits? Take our 2-minute quiz or schedule a consultation.
CCO On Call
Compliance guidance when you need it—flexible, expert support without full outsourcing.
1–5 Advisors
+ 60-min call
What's Included
- 15 billable hours per month
- 1 scheduled 60-minute call monthly
- Direct access to securities attorneys
- Locked-in hourly rates
- Rollover up to 5 hours per month
- Regulatory defense assistance
Best For
- Smaller RIAs needing occasional support
- Firms with in-house compliance requiring backup
- Specific projects or regulatory events
- Second opinions on compliance matters
Perfect if you:
Need expert guidance but aren’t ready for full outsourcing. Great for occasional questions, specific projects, or building compliance infrastructure.
Outsourced Compliance Department (OCD)
3–25 Advisors
Unlimited consults
What's Included
- Dedicated compliance manager + 2 analysts
- Monthly calls with Compliance Attorney
- Complete compliance program management
- All annual reviews, testing, and filings
- IAR onboarding and supervision
- Quarterly and monthly compliance tasks
- ComplianceNerdOS software included at no additional cost
- Mandatory monthly calls
- Unlimited compliance consultations
Key Differentiator
- You choose: we're named as CCO or support your existing CCO
- Flexible compliance partnership
- Adapts to your firm's structure
Perfect if you:
Need comprehensive compliance support with a full team but want flexibility on CCO designation. Built for growing RIAs with increasing complexity.
Outsourced Chief Compliance Officer (OCCO)
5–20+ Advisors
+ Full CCO
Everything in OCD, PLUS:
- Compliance Attorney Designated CCO named on Form ADV
- Primary regulatory contact for all examinations
- Complete compliance responsibility
- Enhanced audit support with on-site exam presence
- 5 hours per month legal staff time
- Additional legal agreement reviews
- Heightened supervision oversight
- 2 on-site visits annually
- Books and records management
- Response to client complaints filed with regulators
Key Differentiator
- We don't just support—we ARE your compliance
- Complete CCO replacement
- Full legal backing and regulatory defense
Perfect if you:
Need complete compliance takeover for an established multi-advisor RIA. Ideal for firms facing CCO retirement, under regulatory scrutiny, or wanting to eliminate compliance as a bottleneck.
Service Comparison: Find Your Fit
| Feature | CCO On Call | OCD | OCCO (OCD+) |
|---|---|---|---|
| Commitment Level | As-needed | Ongoing partnership | Complete takeover |
| Named CCO on Form ADV | No | Optional | Yes |
| Primary Regulatory Contact | You | Shared | Us |
| Monthly Hours Included | 15 billable hours | Unlimited consults | Unlimited + 5 legal hours |
| Compliance Team | Attorney access | Manager + 2 analysts | Manager + 2 analysts + attorney |
| ComplianceNerdOS | No | Included | Included |
| On-Site Exam Support | Consulting only | Guidance | On-site presence |
| Best For Firms With: | $100M–$500M AUM | $350M–$2B AUM | $500M–$5B AUM |
| Typical # of Advisors | 1–5 | 3–15 | 5–20+ |
Why Choose My RIA Lawyer for Compliance Services?
When it comes to compliance, you need more than a consultant checking boxes. You need legal protection, strategic guidance, and a team that fights for you when regulators come knocking.
We're a Law Firm
Attorney-client privilege on everything
We’re not just compliance professionals—we’re securities attorneys who provide legal counsel, regulatory defense, and attorney-client privilege on every engagement.
Legal Privilege
Attorney-client privilege protects all your communications with us
Defense Included
Legal defense is bundled in, not billed separately when you need it
Court Ready
Licensed attorneys who can practice law and defend you in proceedings
Regulatory Response
Respond to regulators under privilege with strategic legal counsel
The Difference: Compliance consultants can tell you what to do. We can defend you in court and respond to regulators under privilege.
Crisis Expertise
We get firms out of tough situations
We specialize in helping firms navigate regulatory examinations, deficiency letters, Wells notices, and enforcement actions. We don’t just manage compliance—we defend it.
Crisis Response
Immediate deployment when regulatory issues arise
Exam Experience
SEC, FINRA, and state examination expertise
Deficiency Remediation
Strategic response preparation and implementation
Track Record
Proven success with challenging regulatory situations
Client Result: “When the SEC showed up, having My RIA Lawyer was invaluable. Zero deficiencies.” — Managing Partner, $1.2B AUM
RIA Specialists
Your compliance nerds
We’re not generalist lawyers dabbling in compliance. We exclusively serve RIAs, broker-dealers, private fund managers, and financial professionals.
SEC & FINRA Focus
Investment adviser regulations, not general corporate law
Financial Firms Only
We understand your unique structures and challenges
Industry Expertise
15+ years exclusively in financial services compliance
Best Practices
Proven strategies from working with 500+ RIAs
We Live This: We don’t dabble in compliance—we eat, sleep, and breathe SEC and FINRA regulations.
ComplianceNerdOS Included
Complete solution with software
We’re not just compliance professionals—we’re securities attorneys who provide legal counsel, regulatory defense, and attorney-client privilege on every engagement.
Legal Privilege
Attorney-client privilege protects all your communications with us
Defense Included
Legal defense is bundled in, not billed separately when you need it
Court Ready
Licensed attorneys who can practice law and defend you in proceedings
Regulatory Response
Respond to regulators under privilege with strategic legal counsel
The Difference: Compliance consultants can tell you what to do. We can defend you in court and respond to regulators under privilege.
Flexible & Scalable
Service levels that grow with you
We specialize in helping firms navigate regulatory examinations, deficiency letters, Wells notices, and enforcement actions. We don’t just manage compliance—we defend it.
Crisis Response
Immediate deployment when regulatory issues arise
Exam Experience
SEC, FINRA, and state examination expertise
Deficiency Remediation
Strategic response preparation and implementation
Track Record
Proven success with challenging regulatory situations
Client Result: “When the SEC showed up, having My RIA Lawyer was invaluable. Zero deficiencies.” — Managing Partner, $1.2B AUM
Proven Track Record
Results that matter
We’re not generalist lawyers dabbling in compliance. We exclusively serve RIAs, broker-dealers, private fund managers, and financial professionals.
SEC & FINRA Focus
Investment adviser regulations, not general corporate law
Financial Firms Only
We understand your unique structures and challenges
Industry Expertise
15+ years exclusively in financial services compliance
Best Practices
Proven strategies from working with 500+ RIAs
We Live This: We don’t dabble in compliance—we eat, sleep, and breathe SEC and FINRA regulations.
Meet Your Compliance Team
Our team of securities attorneys, compliance managers, and analysts work together to provide comprehensive compliance support for your growing RIA.
We’re not just compliance consultants—we’re licensed attorneys who can defend you when regulators come knocking. That’s the My RIA Lawyer difference.
Built for Growing, Multi-Advisor RIAs
Typical Client Profile
Firm Characteristics:
- AUM Range: Typically $350M–$5B in assets under management
- Team Size: 3–20+ investment advisor representatives
- Registration: SEC-registered or multi-state registered RIAs
Complexity Indicators:
- Multi-state registrations (5+ states)
- Complex fee structures or alternative products
- Private fund management
- Hybrid structures (RIA + broker-dealer)
- Multiple office locations or branch offices
Growth Stage:
Common Compliance Pain Points
- Current compliance approach isn't scaling
- Owner/principal buried in compliance work
- CCO overwhelmed or leaving
- Preparing for or recovering from regulatory examination
- Concerned about deficiencies or regulatory risk
- Want to focus on growth, not compliance headaches
If You're Earlier Stage (Under $350M AUM)
- For Smaller RIAs ($100M–$350M): CCO On Call gives you expert guidance without full outsourcing commitment
- For Startup RIAs (Under $100M): RIA Compliance University provides courses, templates, and training
Growth Stage:
Frequently Asked Questions
Most clients are fully onboarded within 2-3 weeks of signing up. We’ll schedule an initial consultation, conduct a compliance assessment, review your current compliance program, and begin providing services immediately. For urgent situations (like pending examinations), we can accelerate the timeline.
OCD (Outsourced Compliance Department) provides a full compliance team and program management, but YOU decide whether we’re named as CCO on your Form ADV or we support your existing CCO.
OCCO (Outsourced Chief Compliance Officer) means we ARE your CCO—we’re named on Form ADV, we’re the primary regulatory contact, and we take complete compliance responsibility. It includes everything in OCD plus enhanced services like on-site exam presence and additional legal support.
We provide immediate support for regulatory examinations, including:
- Document preparation and review
- Mock exams and preparation sessions
- On-site support during the examination (OCCO clients)
- Deficiency response and remediation
- Strategic defense and negotiation with regulators
Our exam pass rate is 100%. As a law firm, we provide attorney-client privilege and regulatory defense—not just compliance consulting.
Yes! ComplianceNerdOS is included with all OCD and OCCO services at no additional cost. Unlike other providers who charge separately for compliance software, we bundle our proprietary platform into your service fee. There are no hidden software costs, no per-user fees, and no surprise vendor bills.
ComplianceNerdOS provides complete workflow management, document storage, task tracking, IAR onboarding, and audit trails—everything you need in one platform.
Yes. As a law firm, we’re ethically bound to act as fiduciaries to our clients. You can cancel your service at any time without long-term lock-in contracts. We offer this flexibility because we’re confident in the value we provide—most clients stay with us for years because we become an integral part of their business.
We work with both RIAs and broker-dealers. Our team has extensive experience with FINRA regulations, supervisory procedures, and broker-dealer compliance requirements. Whether you’re an RIA, BD, or hybrid firm, we have the expertise to support your compliance needs.
Ready to Solve Your Compliance Challenges?
Schedule Your Consultation
- 30–45 minute call
- No sales pressure, just honest guidance
- Custom recommendations for your firm
- Discuss pricing and timeline
Download Service Guide
- Detailed breakdown of all services
- Pricing considerations
- Decision framework
- Implementation timeline
- Serving RIAs with $350M–$5B in AUM
- Attorney-Client Privilege on All Services
- ComplianceNerdOS Included (OCD/OCCO)
- No Long-Term Lock-In Contracts