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 advisors regularly monitor, review, and document your firm’s activities and developments, so you can consistently demonstrate a culture of compliance and focus on building your practice.
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