Outsourced Compliance Services for Growing
RIAs & Broker-Dealers
Outsourced compliance services and legal counsel, built exclusively for RIAs and broker-dealers. My RIA Lawyer works exclusively with RIAs and broker-dealers — advising on compliance architecture, regulatory defense, and the legal matters that come with growth.
- Securities Attorneys — Not Compliance Consultants
- Nationwide Coverage
- Serving RIAs with $500M–$5B AUM
Most RIAs Don't Have a Compliance Problem. They Have a Structure Problem.
Many advisory firms rely on a mix of internal staff, consultants, and outside vendors to manage compliance responsibilities. As firms grow, that structure often becomes fragmented, unclear, and difficult to defend under regulatory scrutiny.
My RIA Lawyer helps growth-stage RIAs strengthen their compliance architecture, align governance, and manage regulatory risk — with the guidance of experienced securities attorneys.
Choose the Right Level of Support
Whether you need periodic guidance or a complete compliance team, we have a service model built for where your firm is today.
CCO On Call
Securities-backed compliance guidance when you need it — 15 billable hours per month at locked rates. Access to experienced professionals without a full outsourcing commitment.
+ 60-min call
What's Included
- 15 billable hours per month
- 1 scheduled 60-minute call monthly
- Direct access to securities attorneys
- Locked-in hourly rates
- Rollover up to 5 hours per month
- Regulatory defense assistance
Best For
- Smaller RIAs needing occasional support
- Firms with in-house compliance requiring backup
- Specific projects or regulatory events
- Second opinions on compliance matters
Perfect if you:
Need expert guidance but aren’t ready for full outsourcing. Great for occasional questions, specific projects, or building compliance infrastructure.
Outsourced Compliance Department (OCD)
Our outsourced compliance services give growing RIAs a complete compliance team — manager, analysts, and attorney oversight — working alongside your existing CCO. All the infrastructure without the overhead.
Unlimited consults
What's Included
- Dedicated compliance manager + 2 analysts
- Monthly calls with Compliance Attorney
- Complete compliance program management
- All annual reviews, testing, and filings
- IAR onboarding and supervision
- Quarterly and monthly compliance tasks
- ComplianceNerdOS software included at no additional cost
- Mandatory monthly calls
- Unlimited compliance consultations
Key Differentiator
- You choose: we're named as CCO or support your existing CCO
- Flexible compliance partnership
- Adapts to your firm's structure
Perfect if you:
Need comprehensive compliance support with a full team but want flexibility on CCO designation. Built for growing RIAs with increasing complexity.
Outsourced Chief Compliance Officer (OCCO)
We become your designated Outsourced CCO — named on your Form ADV, primary regulatory contact, and fully responsible for compliance oversight. Complete governance, from day one.
+ Full CCO
Everything in OCD, PLUS:
- Compliance Attorney Designated CCO named on Form ADV
- Primary regulatory contact for all examinations
- Complete compliance responsibility
- Enhanced audit support with on-site exam presence
- 5 hours per month legal staff time
- Additional legal agreement reviews
- Heightened supervision oversight
- 2 on-site visits annually
- Books and records management
- Response to client complaints filed with regulators
Key Differentiator
- We don't just support—we ARE your compliance
- Complete CCO replacement
- Full legal backing and regulatory defense
Perfect if you:
Need complete compliance takeover for an established multi-advisor RIA. Ideal for firms facing CCO retirement, under regulatory scrutiny, or wanting to eliminate compliance as a bottleneck.
Built for Growing, Multi-Advisor RIAs
We work with RIAs managing $500M to $5B+ in assets — firms navigating the governance and regulatory complexity that comes with real scale.
Multi-Office Firms
RIAs with $500M–$5B managing multiple advisor teams across locations
M&A and PE-Backed
Firms preparing for acquisition, recapitalization, or private equity involvement
No Dedicated CCO
Firms where compliance is distributed across the owner, COO, or outside consultants
Rapid Growth Stage
RIAs scaling quickly and needing governance that can keep pace
Securities Attorneys.
Not Compliance Consultants.
Most firms are caught between two imperfect options: traditional law firms that don’t understand the RIA industry, and compliance consultants who can’t provide legal advice or regulatory defense.
My RIA Lawyer was built to fill that gap. We are securities attorneys who work exclusively with RIAs, broker-dealers, and financial professionals.
“Our clients don’t hire us to learn their industry. They hire us because we already know it.”
We Only Serve Financial Firms
There is no learning curve. We already understand RIA business models, custody rules, governance structures, and the operational pressures of scaling a financial firm.
We Solve Structural Risk
Large RIAs often have fragmented compliance: responsibilities spread across ownership, operations, and outside vendors. We don’t just advise on checklists. We help firms build compliance governance that can withstand regulatory scrutiny.
We Only Serve Financial Firms
Compliance governance is not about policies. It’s about defensibility under scrutiny. As your firm grows, acquires advisors, or prepares for M&A, the compliance architecture needs to evolve with it. We make sure it does.
Frequently Asked Questions
Most clients are fully onboarded within 2-3 weeks of signing up. We’ll schedule an initial consultation, conduct a compliance assessment, review your current compliance program, and begin providing services immediately. For urgent situations (like pending examinations), we can accelerate the timeline.
OCD (Outsourced Compliance Department) provides a full compliance team and program management, but YOU decide whether we’re named as CCO on your Form ADV or we support your existing CCO.
OCCO (Outsourced Chief Compliance Officer) means we ARE your CCO—we’re named on Form ADV, we’re the primary regulatory contact, and we take complete compliance responsibility. It includes everything in OCD plus enhanced services like on-site exam presence and additional legal support.
We provide immediate support for regulatory examinations, including:
- Document preparation and review
- Mock exams and preparation sessions
- On-site support during the examination (OCCO clients)
- Deficiency response and remediation
- Strategic defense and negotiation with regulators
Our exam pass rate is 100%. As a law firm, we provide attorney-client privilege and regulatory defense—not just compliance consulting.
Yes! ComplianceNerdOS is included with all OCD and OCCO services at no additional cost. Unlike other providers who charge separately for compliance software, we bundle our proprietary platform into your service fee. There are no hidden software costs, no per-user fees, and no surprise vendor bills.
ComplianceNerdOS provides complete workflow management, document storage, task tracking, IAR onboarding, and audit trails—everything you need in one platform.
An in-house CCO is a full-time employee — typically costing $150K–$300K+ in salary and benefits — responsible solely for your firm’s compliance program. For many growing RIAs, that’s significant overhead for a role that may not require full-time attention at their current stage.
Outsourced compliance services give you access to an entire team of securities attorneys and compliance professionals at a fraction of that cost. Rather than one person managing your compliance program, you get a dedicated team with deeper regulatory expertise, attorney-client privilege, and legal defense capability built in — none of which an individual in-house hire can provide on their own.
The right choice depends on where your firm is. Firms with $100M–$500M AUM typically benefit most from outsourced compliance services as a cost-effective, legally-backed alternative to a full-time hire. Larger firms at $500M–$5B often find that outsourcing compliance to a law firm provides stronger regulatory defensibility than an in-house CCO working alone — particularly as governance complexity grows with the firm.
Yes. As a law firm, we’re ethically bound to act as fiduciaries to our clients. You can cancel your service at any time without long-term lock-in contracts. We offer this flexibility because we’re confident in the value we provide—most clients stay with us for years because we become an integral part of their business.
We work with both RIAs and broker-dealers. Our team has extensive experience with FINRA regulations, supervisory procedures, and broker-dealer compliance requirements. Whether you’re an RIA, BD, or hybrid firm, we have the expertise to support your compliance needs.
Ready to Strengthen Your Firm's Compliance?
Schedule a consultation to discuss your firm’s structure, regulatory obligations, and the right level of legal support for where you are today.
Schedule Your Consultation
- 30–45 minute call
- No sales pressure, just honest guidance
- Custom recommendations for your firm
- Discuss pricing and timeline
Download Service Guide
- Detailed breakdown of all services
- Pricing considerations
- Decision framework
- Implementation timeline
- Serving RIAs with $350M–$5B in AUM
- ComplianceNerdOS Included (OCD/OCCO)
- No Long-Term Lock-In Contracts