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RIA Attorneys

Whether you’re a breakaway advisor, an existing RIA, a hybrid RIA, or a new RIA, you have one goal – to grow your business – whatever that means to you.

Few RIA owners have the time or the expertise to keep track of constantly changing SEC and State regulations.  Most RIA owners don’t know all the rules and regulations they need to comply with, nor whether their program would pass regulatory scrutiny.  This means many owners are left nervous, anxious, and worried about what is going to happen during their next exam. Our team of My RIA Lawyer attorneys and compliance staff consists of securities lawyers and compliance professionals ready to provide integrated compliance and legal support, allowing you to experience peace of mind and confidence going into your next regulatory exam.

We are securities attorneys that specialize in a broad range of legal and compliance services to address various regulatory issues facing financial services professionals and firms. We know only too well what best practices would keep regulators happy and keep the auditors away.

Our custom entity formation, registration, and ongoing compliance services provide a turnkey solution for your RIA firm to catapult into a fully operational business. Our RIA compliance team regularly monitors, reviews, and documents your firm’s activities and developments so you can consistently demonstrate a culture of compliance and focus on building your practice.

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...

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.

— Leila Shaver Founder

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(770) 462-2118