Concierge Desk

Our Concierge Desk is here to help financial advisers, whether or not you are a client.

Our Concierge Desk can help with the following:

  • Make referrals to other legal providers for services you or your clients may need (criminal law, family law, elder law, estate planning, etc.)
  • Check on the status of an arbitration or litigation
  • Provide recommendations for everything from mortgage lenders to florists to car dealerships
  • Visiting from out of town? Need a quiet place to work? Come visit our office where you will have free access to our conference room, WiFi, and all the coffee you can drink
  • Comprehensive review of your business plan and strategic goals

Legal Defense

Our Fee Recuperation

As part of our fight against money-hungry and abusive regulators, we are going after low quality compliance providers who are risking your license, business, and lifestyle for a quick buck and an empty promise.  Our Fee Recuperation attorneys engage these providers, demanding return of your money as well as payment of any fees you paid your regulator. We will utilize all legal remedies to get your money back and remind these providers of their responsibilities.


Whether you are fighting your former employer over a promissory note or a former client over investments in their portfolio, our team of experienced attorneys are here to fight back.  The arbitration process can be a long and burdensome process with multiple prehearing conferences, discovery requests, and motions.  Our attorneys have experience fighting for financial advisers and getting results, including FINRA, AAA, JAMA, and other arbitration forums.

Did you know? If you want get an expungement, you have to go through the arbitration process.  Unless expungement was requested during your dispute with your client or employer, you will have to initiate an arbitration to start the expungement process.

Did you know non-FINRA member investment advisers can elect to have FINRA arbitrate industry and client complaints?

Regulatory Defense

There is nothing worse than facing a fine, enforcement action, or litigation at the hands of a state regulator, the SEC, or FINRA.  Our attorneys know at the end of the day, the end game for regulators is to scare you into filling their coffers.  Our attorneys empower you to fight back against regulators by tirelessly advocating on your behalf, no matter how difficult or hopeless your case may seem.  Regulators stick to their tried and true strategy.  Their salaries don’t compensate creativity.

Are you an ‘asshole’ and can’t seem to stop annoying regulators?  It’s okay.  We can take from here.  We know how to work with you and make you seem less offensive to regulators.

Are other attorneys afraid to take your case because of all of the hard work involved?  That’s okay, we’ve got your back.

Our Breakaway Broker & Financial Adviser Transitions

Whether you are leaving one firm to join another, deciding to leave the BD world for the RIA world, or starting your own independent advisory firm, we will review your contracts, advise you on the best strategy to depart your firm, and respond to your soon to be ex-employer when they try to get aggressive when clients leave with you.  We’ll also review your contracts to ensure that you don’t get screwed over by your new firm.  We take a close look at any promissory notes, non-compete agreements, non-solicit agreements, and non-accept agreements.


My RIA Lawyer provides clients with robust policies and procedures customized to their business and able to respond to the changing regulatory landscape. Our compliance offerings are based on an AUM (Assets Under Management) system. Determine the right services for your firm below.

Compliance Bootcamp | $0-$75 M AUM

Over the course of 12 weeks, get trained on the compliance requirements and regulations governing your RIA business.  Each week, login for a 30-45 minute lesson followed by a Q&A session with the boot camp leader and roundtable discussion with your fellow advisers. Recordings of each weekly call will be available.  You will also be provided form template documents to get your compliance in shape with the most up to date information available.

Check our latest schedule and enroll today!

Compliance Consulting | $75-$150 M AUM

Creating a foundational understanding of your compliance responsibility with the My RIA Lawyer Compliance Boot camp, advisers will also have the benefit of one-on-one compliance consulting with one of our compliance team members who will assist advisers with completing their regulatory requirements, including amendments for Form ADV and conducting annual compliance reviews, to review advertising and social media content to ensure conformity with state and SEC requirements.

Outsourced Compliance Dept. | +$150 M AUM

As your firm grows, so does the burden of your compliance responsibility.  You could begin to hire compliance staff in house, train them, pay salaries, deal with turnover and maintain oversight or hand the responsibility over to us.  We have trained compliance staff that will serve as your compliance department.


  • Create and implement policies and procedures that are reasonably designed to ensure the broker-dealer and registered investment adviser are complying with applicable laws, rules and regulations
  • Communicate securities compliance procedures and policies to firm’s staff
  • Respond to information requests and inquiries from securities regulators such as FINRA, the SEC and state securities departments
  • Reviews new and amended laws, rules and regulations, and ensure proper implementation of policies and procedures
  • Conduct compliance testing and ad-hoc reviews to ensure policies and procedures are achieving compliance with the applicable rules and regulations
  • Review and assist with securities-related compliance matters handled by other Home Office personnel
  • Advise senior management, field leadership and operational units on legal and regulatory matters
  • Manage Form ADV and amendments
  • Conduct annual compliance meeting
  • Manage regulatory filings, including notice-filing in different states
  • Provide ongoing compliance consultation
  • Email reviews
  • Quarterly fee reconciliation
  • Includes My RIA Lawyer Compliance Boot camp for key personnel

You can also add on services when you engage us as your outsourced compliance department.  These services include:

  • Suitability review
  • Outsourced CCO service
  • Intake review
  • General Counsel service

A la Carte Services

Mock Examination

The time you invest in a mock SEC exam will save you time and stress during an actual exam. It will identify your firm’s strengths and help you demonstrate to the SEC that you take compliance seriously. You will know what to expect and how to respond, which will make your document request process and interviews with SEC staff less stressful.  A mock SEC exam is also a great way to conduct due diligence on a firm your are acquiring or merging with.


Undergoing a mock SEC examination will:

  • Help your CCO, compliance staff, and the rest of your firm understand the manner in which your information will be picked through and examined
  • Validate the importance of each employee’s day-to-day responsibilities in maintaining compliance by putting context around the nuances of their tasks
  • Build confidence in the key employees who would be interviewed by the SEC
  • Provide upper management peace of mind and a roadmap of how they may consider reallocating resources


My RIA Lawyer’s Mock Examination is executed in four stages:


Off-Site Review

As the SEC would do, our expert compliance professionals request a series of compliance documents to understand the firm’s unique business practices and then use those documents to prepare for an onsite examination.  Our requests are based on the most current requests coming from SEC examiners.

Onsite Mock SEC Exam

Our compliance professionals visit your firm’s offices and conduct a live mock SEC Exam through a series of exercises and interviews of the firm’s staff and personnel. We conduct live testing of your firm’s client files, email retention, books and records storage and more.  We may request additional documents and information because of our on-site examination.

Off-site Exam Report 

Upon completion of the onsite review, My RIA Lawyer will provide a written summary of the findings as well as a recommended schedule for remediation of deficiencies. We also categorize deficiencies by risk level so that you can tackle the biggest issues first.


Once we have approval of our plan for remediation, we begin by addressing deficiencies in order of risk, starting with high risk items. We work with your senior management and compliance team to ensure proper execution and continue providing training to ensure key staff members understand their compliance.

*Our mock examination services is a required prerequisite for our Outsourced Compliance Department service.


Is a Mock SEC Exam Right for Your Firm?

A mock SEC exam might be right for you if your firm…

  • Has had significant changes in key personnel
  • Has launched a new line of business
  • Has undergone a merger or acquisition
  • Has never been examined
  • Hasn’t been examined in 5 years or more
  • Has had high turnover of compliance staff
  • Has the CEO as the CCO
  • Recently become SEC registered

Entity Formation

We routinely assist advisers with setting up their entity by providing the following services:

  • Register entity with Secretary of State
  • Obtain Federal Tax ID
  • Obtain employer tax and worker’s compensation documentation in local jurisdiction
  • Draft operating agreement


Registration Services

  • Preparing and filing Parts 1A and 1B of Form ADV with the IARD for your firm
  • Preparing registration forms for each proposed investment adviser representative, after confirming each proposed individual’s obligation to register
  • Preparing and filing Forms U-4 with FINRA’s Central Registration Depository (“CRD”) online system for each of your firm’s investment adviser representatives (“IARs”)
  • Drafting Parts 2A and 2B of your firm’s Form ADV – known as the Investment Adviser “brochure, ” where you explain your qualifications, investment strategies, and practices
  • Monitoring your firm’s filings through regular and constant communication with the appropriate examiners.
  • Interfacing with regulatory personnel and responding to any deficiency letters


Contract Review, Drafting, & Negotiation

  • Preparing a customer account agreement for investment management services to be used with your advisory clients, which is customized based on Georgia’s specific regulations and policies (some states prohibit hedging clauses, arbitration clauses, etc.)
  • Registered representatives and investment adviser representatives have unique relationships with their employers. These industries are governed by complex rules that dictate much of the terms of employment, and where the parties are left to contract for themselves, they often do so using industry terms, regulations and metrics that require a detailed knowledge of industry laws, rules, standards, and practices. My RIA Lawyer represents both firms and individuals with respect to their contracts, including drafting and negotiation. We also handle disputes that arise when an employment relationship is strained, is coming to an end, or is terminated.


Initial Compliance Services

  • Developing a set of policies and procedures (i.e. a Compliance Manual and Code of Ethics) that coordinates with your firm’s business operations.
  • Preparing a privacy policy statement
  • Preparing a business continuity plan to document your firm’s preparedness in the event of a disaster or loss of key personnel.
  • Assisting with the implementation of your firm’s compliance procedures by establishing a “compliance calendar,” recommended compliance file system, and providing compliance training which includes an overview of the State’s record keeping requirements
  • Providing basic compliance support during the first 90 days of your firm’s operations following the effective registration date


* The fixed fee does not include costs of registration, including but not limited to, state fees, Secretary of State fees, IARD fees.

Financial Consulting Services

Chief Financial Officer (CFO) Consulting Services

Work with our CFO Consultant to evaluate your current financial health and to set up the roadmap for success for your firm.   Services include:

  • Creating a budget for your business
  • Create key performance indicators for your marketing and sales that will accomplish your goals.
  • Assistance with creating a business plan for your growth
  • Creating revenue projections
  • Creation and ongoing monitoring of financial statements and reporting, ensuring adherence to state and federal requirements
  • Training with your accountant or book keeper to ensure proper tracking of expenses and revenue
  • Ongoing monthly one-on-one consulting with your CFO

Fund Chief Financial Officer (CFO) Consulting Services

  • Provide input to developing sophisticated transaction structuring on any transactions as needed
  • Oversee and manage financing of Firm’s portfolio and manage the financing requirements for newly originated or new investments throughout the firm’s portfolio.
  • Optimize the debt structure on all investments within the portfolio (pricing, structure, term, etc.).
  • Identify and structure vehicles to hedge interest rate risk and explore credit enhanced financing alternatives.
  • Develop, enhance, implement and enforce financial policies and procedures that will improve the overall operation and effectiveness of the business.
  • Oversee preparation of annual budget and periodic forecast updates.
  • Oversee the preparation of regular financial reports (monthly, quarterly, annually or more often as requested) to assist the team in tracking performance and making decisions.
  • Provide regular financial reports (monthly, quarterly, annually or more often as requested)
  • Supply timely and accurate analysis of budgets and financial
  • Direct and analyze studies of general economic, business, regulatory and financial conditions and their impact on the organization’s policies and operations.
  • Develop financial projections
  • Draft language for financial controls and operations portion of prospectus

Marketing Services

Social Media Review

  • A comprehensive review of all social media platforms used by the business, in addition to a review of compliance policies and procedures
  • Post and policy recommendations


Digital Marketing Plan

  • We’ll develop a weekly marketing plan across all of your accounts
  • Discuss & choose effective hashtags
  • Demonstrate scheduling apps and other helpful tools
  • Develop graphics for use and distribution


Launch Email Campaigns

  • Introduction and demonstration of MailChimp
  • Prepare a template for distribution
  • Create graphics for email campaigns


Marketing Brainstorm Session

  • Discussion of current marketing efforts
  • Establish goals and objectives of future campaigns
  • Provide ideas based on budget and target market
  • Review current marketing plan
  • Answer questions

NFA and CFTC Regulation, Compliance and Defense

My RIA Lawyer provides compliance and legal services to Commodity Pool Operators (CPOs)/Commodity Trading Advisers (CTAs) and National Futures Association (NFA)-registered entities and persons. Our services are tailored to our specific client’s needs while also helping them meet NFA and Commodity Futures Trading Commission (CFTC) regulatory standards.

We will also act as the your outsourced NFA CCO to help meet the needs of clients and business partners in this space.

Stage 1- CPO/CTA Registration

  • Assist with your entity’s registration as a CPO or CTA and the registration of personnel to become Principals and/or Associated Persons of the CPO/CTA.
  • Assist in annual renewal filings to secure exemptive relief relevant to the CPO/CTA’s organizational structure/operating environment.

Stage 2- Develop a CPO/CTA Compliance Program

  • We will work with your firm to develop Written Supervisory Procedures (WSPs) and a customized Compliance Program Risk and Organizational Matrix for each of your commodity pools.
  • If you have an existing compliance program that requires modification to incorporate rules and regulations of a CPO/CTA, we will conduct a gap analysis aimed at leveraging your firm’s existing policies and procedures. This will allow you to administer a robust compliance program while avoiding the costly, fixed expenses associated with hiring in-house compliance specialists and attorneys.

Stage 3- Ongoing CPO/CTA Compliance Consulting

We will assist you with your specific compliance needs, including each CPO’s/CTA’s annual & quarterly NFA obligations, in addition to:

  • Annual questionnaires and registration updates.
  • PQR Filings.
  • Self-examination checklists.
  • Business continuity reviews.
  • Full compliance training.
  • Quarterly CPO filings.
  • Financial statement filings.
  • Mock NFA examinations.
  • Full Compliance training

NFA Investigations, Examinations and Disciplinary Proceedings

Disciplinary actions resulting from these investigations and examinations can have a significant impact on any registered “members” and “associate members” careers. Sanctions for violations of the Commodity Exchange Act (CEA) and NFA rules and regulations, may result in: a reprimand, substantial fines, orders to repay customers (restitution) for their losses, suspensions and you being expelled from association with any NFA member firm. The issues raised in these investigations, examinations and disciplinary proceedings are very rule intensive and can involve the minutiae of the commodities industry.

Don’t try to go through it alone.  Get an experienced attorney on your side.

Starting your own RIA?  Check out our comprehensive RIA registration services?

Are you departing a Protocol firm? We are well versed in Protocol and can help you understand the information you are entitled to take with you.

Don’t see what you need listed here?  Don’t worry. Give us a call today and we will let you know if we can help you.