RIA Registration Lawyer

Providing Peace of Mind to Registered Investment Advisors Nationwide

We Help Investment Firms & Solo Advisors Start Your Business Right by Helping You With Your RIA Registration So You Can Show Your Clients What a ROCKSTAR You Are AND Get The Most of Every Single Dollar You Invest In Your Business.

We know this process can be overwhelming and there are so many compliance and legal documents required in order to register your firm with the state or SEC. That is why we have created our Ultimate RIA Registration Package.

Did You Know RIA Registration Requires?

  • Drafting the required documents and corresponding with the state or federal examiner could take between 20 and 60 hours of your time
  • Preparation of your compliance documents
  • Creation of client contracts
  • And more

And all of these things need to be done correctly to avoid delays, added costs, headaches and unnecessary stress.

The Team at My RIA Lawyer Will:

  1. File Form SAA to obtain your login credentials into IARD
  2. Complete Form ADV Part 1A and 1B based on your responses to our questionnaire
  3. Prepare Form ADV Part 2A Disclosure Brochure based on our discussions with you about your firm’s services, fees, investment strategies and overall business model
  4. Prepare Form ADV Part 2B for each IAR that will be associated with the firm
  5. Prepare Form ADV Part 3/Form CRS for SEC registrants
  6. Submit through IARD your fully customized and tailored ADV documents
  7. Prepare your firm’s Compliance Manual, Code of Ethics, Business Continuity Plan, Cybersecurity Policy and Privacy Policy
  8. Prepare your client services agreements to ensure clear communication of your fees with clients and their receipt of your firm’s ADV documents
  9. Interact and discuss your filings with the state or federal regulator to ensure registration of your firm
  10. File Form U4 to associate your IARs with your firm

As an added bonus to our Ultimate RIA Registration Package, we also give you:

  1. Unlimited access to our compliance and legal team to answer your registration related questions
  2. Unlimited access to our compliance team for compliance related questions for a period of 90 days from the date of your firm’s registration
  3. One license to Smart RIA pre-filled with our custom forms and tasks so that you don’t lose track of your regulatory responsibilities

What Regulatory Responsibilities Do I Have?

As the owner of a new RIA, you will be required to supervise your team, create and test your compliance systems and ensure that all advisers are meeting their responsibilities as fiduciaries to your clients. We help you accomplish this by giving you access to our compliance program for free when you utilize My RIA Lawyer for your firm’s registration needs.

What is Smart RIA?

You may come from a large RIA or are leaving your FINRA BD career behind for the freedom and flexibility of the RIA space. That also means you are giving up an in-house legal and compliance team that would guide you and keep you out of trouble.

Our firm is set up to simulate the same experience you had before, but now as an outsourced provider of your own firm. With the power of Smart RIA’s technology platform, we can automate your compliance program, maintain and store key books and records, ensure that your fiduciary duty is transparent and documented, and that regulatory obligations are fulfilled.

Through our partnership with Smart RIA, we are able to bring your newly registered RIA the sophistication and automation of a larger firm, supported by a team of attorneys and compliance officers readily available to meet the needs of your firm.

Why Choose My RIA Lawyer For RIA Registration?

  • 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.

*Required Fields

We respect your privacy. The information you provide will be used to answer your question or to schedule an appointment, if requested.

Client Reviews– My RIA Lawyer – RIA 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.