Compliance and Legal Services
For Financial Services Companies

Get The Legal Help You Need

We began as the only law firm solely focused on the RIA space. But, just as the financial investment world is evolving, so is My RIA Lawyer.  fine. So why spend the time on it?

We are expanding our RIA services to keep up with the growth of the financial sector and the entrepreneurial spirit of the advisors and firms in the RIA space. My RIA Lawyer is now providing legal, compliance and operations consulting services to Registered Investment Advisors, Broker-Dealers, Investment Managers, Registered Representatives, Insurance Providers, Investment Bankers, ERISA fiduciaries, Commodities Trading Advisors, Digital Asset Managers and Alternative Investment Advisors.

BrokersBrokers have adapted to a changing regulatory environment by (1) leaving the FINRA broker-dealer world to go into the RIA world or (2) by also providing advisory asset management and financial planning services through an RIA in addition to acting as a broker. So many of these brokers and hybrid advisors are also acting as insurance agents, commodities brokers or private fund managers. As financial services have evolved and the average advisor has become immensely entrepreneurial, we have evolved as well.

 

Whatever your focus in the financial services industry, our one-stop, full-service, holistic, legal, compliance and operations solutions allow you to focus on growing your business, worry and hassle-free.

We are changing the game. Where you would go to multiple vendors to get subpar services, you can now consolidate your needs to one quality vendor- My RIA Lawyer. Gone are the days where you had to tell your needs to 6 different people at 6 different firms. No more worrying about whether your compliance consultant understands your business. No more hearing from your compliance consultant that they aren’t a lawyer and that you need to go get counsel. No more being rejected by a “in the box” provider because you do business a little differently than most. As a law firm, we are well informed about regulatory changes, and more importantly, the gray areas in which you can function and thrive. We take your goal and find a legal and compliant way to accomplish it, even if it requires “outside the box” thinking.

You can judge our success by one simple standard – the professional QUALITY of our work.  

 

We do not offer cookie-cutter, fill-in-the-blank, ready-made, templated solutions.  Unlike non-attorney service providers, we are lawyers, compliance nerds, and financial services. We have the talent associated with big law firms and the effectiveness, efficiency, and easy-to-reach benefits of a small law firm. With clear communication within 48 business hours, our firm merges the best of big and small law firms into one. Our services are tailor-made to address the exclusive needs and goals of your business. Give My RIA Lawyer a call today to learn more about our new and more expansive RIA services and how they can help protect you and your clients. 



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