Leila Shaver
Founder
I’m A Securities Attorney, Compliance Nerd And RIA Expert. I have served hundreds of RIAs. I’ve consulted with start-ups. I regularly serve as Chief Compliance Officer and General Counsel to RIAs, BDs and TAMPs with billions in assets under management. I can tell you the challenges don’t go away, they grow and change and become more expensive.
You think you are doing all the rights things, then boom! a regulatory examination request arrives asking for client files, financials, trade error blotters, a copy of your compliance manual and more. You haven’t looked at your compliance manual in a few years now and it is still in template format because you never went back and updated it or reviewed it to make sure it was accurate. Not all of your clients have client agreements, and you haven’t really been documenting your reviews of their accounts.
You didn’t know that you were supposed to have disclosures in the performance information you were providing prospective clients. And what is this about reviewing emails? Best execution review? Business risk inventory?
I created My RIA Lawyer to help financial advisers and firms navigate the legal complexities of the RIA world. We are the ONLY law firm SOLEY focused on the RIA space- so naturally, we are a bunch of RIA compliance and legal nerds! And we are ready to serve you.
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