RIA Compliance Lawyer

Providing Peace of Mind to Registered Investment Advisors Nationwide

We Help Investment Firms Solo Advisors Get Into And Remain In Regulatory Compliance So You Can Focus On What You’re Best At, Avoid Hefty Fines AND Disclosures on Your U4

Situations And Reasons Why Advisors Like You Hire Us

Advisors come to us when one or more of these situations apply. How many pertain to you?

  • You plan to register as an investment adviser and need to set up a compliance program.
  • Your Chief Compliance Officer knows that he or she is behind on the firm’s compliance tasks, has an outdated manual, or lacks the experience, support, and resources internally to efficiently create and manage a high-quality compliance program.
  • Your Chief Compliance Officer has other duties in the firm and doesn’t have time to perform routine compliance testing and monitoring.
  • You have appointed a new Chief Compliance Officer who has no compliance background.
  • The Chief Compliance Officer resigned, and no one at the firm can (or will) take the position.
  • Your firm recently received its SEC examination initial request list, and you need someone with experience and expertise to help you answer the questions and guide you through the exam process.
  • You have received a lengthy deficiency letter from the SEC that says the staff has concerns related to your Chief Compliance Officer’s understanding of the rules and regulations applicable to investment advisers.
  • The RIA is merging with or acquiring another firm with a new set of investment products and investment advisory representatives in out-of-state offices.
  • You or your firm have/has attracted institutional investors who require an independent review of the compliance program before they will invest.

Why Choose My RIA Lawyer For RIA Regulatory Compliance?

  • Experts in the RIA Space – My RIA Lawyer is the only law firm solely focused on the RIA space.
  • Confidential Strategy Session – During your phone or online video consultation, we will listen to you and help you determine your next steps.
  • Focused Legal Practice – By focusing the firm on investment advisers, our clients receive specialized services and advice that finally allow them to take control and live the life they dream of.
  • Satisfaction Guarantee – We are guaranteeing your satisfaction or you get your money back.
  • Experienced – My RIA Lawyer has a proven record of protecting financial advisers by helping them create strong compliance systems and empowering them to fight back when regulators threaten their business and livelihood.
  • Custom Solutions – You and your business are unique. That’s why we don’t use fill-in-the-blank form documents. Unlike non-attorney service providers, we customize documents for your business. Personal attention is central to our mission.
  • Highly Responsive – We strive for rapid return calls. No going dark or waiting days to hear back.
  • Proactive Approach – Our goal is to keep nosy regulators out of your business and out of your wallet. When we aren’t helping firms avoid regulators by putting in place robust compliance systems, we are vigorously defending them against client and regulatory actions.
  • Our Vision – My RIA Lawyer Wants to See Advisors fulfilling their purpose without the Worry of Compliance Tasks.
  • Highly Reviewed & Rated – Excellent rating by respected legal website Avvo, awarded by Super Lawyers, 5- Star average review rating on Google. See some of our client reviews below.

Ask A Question
Describe Your Situation
Or Request A Consultation

Call (770) 870-1765 or fill out the short form below. We will usually respond within 1 business day but often do so the same day. Don’t hesitate,your questions are welcome.

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Real Clients, Real Reviews

My RIA Lawyer – RIA Compliance/Registration

Actual Words Clients Have Used to Describe Us & Their Experience:

“absolutely amazing”, “expert with compliance”, “gets results”, “genuinely care”, “extremely professional & organized”, “demonstrated expert knowledge” ,” personable staff “, “setting us up for success” “very happy with their services and professionalism”, “very responsive, communicative, and extremely knowledgeable”, “highly recommend their services”, “offers a wealth of knowledge as a business owner”, “conducts herself very professionally”, “recommend her services without reservation”, “jumped in to resolve the issues”, “provided expert legal advice”, “invaluable resource”, “look forward to working together again”, “advice was helpful and thorough”, “work is top notch”, “excellent to work with, very knowledgeable and detail oriented”, “excellent, capable”

Video Answers

Compliance Consulting Service

Compliance Bootcamp

Mock SEC Exam Service

What To Do Now:

We welcome your questions and want to understand your situation to help you move forward and achieve the peace of mind that comes with having everything done properly and efficiently. You work hard to grow your business and create the life of your dreams. Now you need to protect it. Don’t let everything you’ve worked for just slip away due to a lack of proper planning. Invest the time now to learn your options by speaking with us and make the choices that best protects your business and lifestyle. Call us for one-on-one assistance at (770) 870-1765 with your questions, a description of your situation or to schedule a consultation. You may also simply fill out the form above on this page. Your form will be directly emailed to our office. You can expect a reply within 1 business day and often within hours the same day. All information is confidential.