RIA Compliance & SEC Lawyers - Ensuring Regulatory Compliance

Tired of compliance headaches keeping you up at night? We understand the pressure you’re under. The rules never stop changing, and one mistake can derail everything you’ve built.

We are THE compliance law powerhouse for financial firms. Unlike generic consultants, our compliance nerds live and breathe securities regulation — and we’ve got the legal muscle to defend your compliance program when it matters most.

Whether you’re an RIA, broker-dealer, or alternative investment advisor, My RIA Lawyer helps you get out of tough situations and stay ahead of compliance challenges.

As the financial industry changes, so do we. We understand that financial professionals today need diverse solutions to meet their entrepreneurial goals. Our services offer legal, compliance, and operations consulting in one place, making managing your journey to success that much easier.

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Achieve Regulatory Compliance with Dedicated RIA Lawyers

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Choose Your Compliance Journey

Do It Yourself - Learn & Implement

Perfect for firms that want to keep costs low and handle compliance in-house

Perfect for: Solo advisors, small to medium RIAs, newly registered firms, cost-conscious practices, firms with internal compliance staff who need training, owners who have to be the CCO, firms who are tired of the traditional compliance model. You want to learn and understand what you don’t know, not just have it done for you.

Template library and SOPs
Compliance courses and certifications
Self-service compliance frameworks and software
Expert-designed training from regulatory compliance lawyers
Filing & Formatting Tools

Common Pain Points:

“I’m drowning in compliance requirements but can’t afford a full-time CCO”
“I know I need policies and procedures but don’t know where to start”
“I’m spending too much time on compliance instead of serving clients”
“I need quick, easy, and effective compliance training for my staff”
“I’m tired of the traditional model”
“I’m looking for a sense of community”

Do It With You - Project-Based Support

When you need regulatory compliance lawyers for specific challenges

Perfect for: Growing RIAs ($50M-$500M AUM), firms facing SEC exams or deficiencies, practices going through registration, established firms with specific compliance challenges, firms with part-time CCOs that needs extra support, Large firm that needs extra support or fractional support.

- Mock Audits and SEC Exams – Get exam-ready with expert preparation
- RIA and Broker-Dealer Registrations – Navigate complex filing requirements
- Form ADV Filings – Ensure accurate and compliant submissions

Responding to regulators

CCO On Call – Access regulatory compliance lawyers when you need them. (time based – you get 15 hours per month of support)

Common Pain Points:

“We have an SEC exam coming up and we’re not prepared”
“Our ADV filing was rejected and we don’t know how to fix it”
“We need to register as an RIA but the process is overwhelming”
“Our current CCO is overwhelmed and needs backup support”
“We’re growing fast and our compliance is falling behind”
“We got cited for deficiencies and need help remedying them”

Do It For You - Complete Takeover

When you want the Compliance Nerds to handle everything

Perfect for: Established RIAs ($100M+ AUM), busy firm owners who want to focus on growth, firms tired of compliance headaches, firms dealing with compliance failures, multi-location firms needing centralized compliance

Outsourced Compliance Department (OCD) with appointed compliance officer
Complete compliance takeover with compliance lawyer oversight
ComplianceNerdOS included at no additional cost
We handle all regulatory dealings – you focus on growing your business

Common Pain Points:

“Compliance is taking over my life and I can’t focus on my clients”
“We failed our last SEC exam and need serious help”
“I’m tired of being the bottleneck for every compliance decision”
“Our internal compliance person quit and we’re scrambling”
“We’re growing rapidly and compliance is holding us back”
“I lose sleep worrying about regulatory issues”
“I’m tired of dealing with regulators”

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.

Trusted RIA Compliance Guidance

I had a specific legal issue that was of significant importance to our firm, and a sensitive matter where there was disagreement about what was required from a compliance standpoint. My RIA Lawyer quickly wrote a powerful “second opinion” memo on the topic that led to the resolution of the issue. I could not have been more pleased with their work.

Will Carter

Making the jump to start your own firm is a big decision. Its stressful, hard work, and you have to learn a ton. This why I decided to hire a professional team to help establish my RIA the right way the first time. My RIA Lawyer’s team is absolutely amazing. They have demonstrated expert knowledge, personable staff, and they have shown us how much they genuinely care about setting us up for success by giving us the tools we need to help others. Thank you Leila and Liz for all of your hard work!

Eric Gomez

The initial consultation was extremely valuable. I definitely recommend speaking with them. I had very custom needs, and they rose to the task!

Caleb Anderson

Excellent support for independent RIAs seeking the latest compliance support on both SEC and state rules.

Brett Janis

I worked with Leila as I was getting my new RIA firm up and running. Leila provided expert legal advice as a complement to the national compliance firm who was assisting me with my registration. I was introduced to Leila after I had already begun the process and not sure how I would have made it through without her. She was an invaluable resource and I look forward to working together again in the future!

Nicholas Chiricosta

I have used My RIA Lawyer for filing my Annual Amendments in the past and was very happy with their services and professionalism. Leila Shaver is very responsive, communicative, and extremely knowledgeable. I highly recommend their services!

Rafael G.

Leila is an expert with compliance but she also offers a wealth of knowledge as a business owner. We discussed everything including compliance, marketing, business partnerships, and more. Even though my firm is not yet at a point to work with her, she has sent me multiple emails offering assistance with the things we spoke about during our meeting.

Angela M.

The attorneys at MyRIALawyer are always extremely attentive, responsive and competent. We look forward to expanding our relationship, as we continue to grow.

Chad M.

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We Have Answers

What role does an RIA lawyer play in risk management?

RIA lawyers help identify and mitigate potential compliance risks that your firm might face, ensuring that your business operations are aligned with regulatory standards.

What ongoing compliance tasks can an RIA lawyer help with?

RIA lawyers assist in drafting and updating compliance policies, conducting regular audits, staying informed about regulatory changes, and addressing any compliance issues that arise within your firm. We will do all the testing, represent the firm as its Chief Compliance Officer, and respond to regulatory exams and requests.

Can an RIA lawyer help me set up my investment advisory firm?

Absolutely! An RIA lawyer can guide you through the registration process with the SEC or relevant state authorities, ensuring you meet all necessary regulatory requirements to operate your investment advisory business legally.

How can an RIA lawyer help me prepare for SEC examinations?

An RIA lawyer can simulate mock SEC exams, review your records and procedures, and provide guidance on addressing any potential compliance weaknesses before an actual examination.

How can an RIA lawyer assist me with the RIA registration process?

An RIA lawyer can play a crucial role in the RIA registration process by providing guidance on completing the necessary paperwork and ensuring all required information is accurate and comprehensive. At My RIA Lawyer, we prepare all of the registration documents, submit them and engage with the examiner until the registration is complete. We also prepare all of the compliance documents and client-facing agreements.

What RIAs Should Be Asking Their Attorneys

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

We are the answer to All Your Questions.

We Are
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.“