C-Suite Services Law Firm

My RIA Lawyer provides C-suite services to help companies maintain SEC compliance while maximizing profits.

C-Suite Services

C-suite executives play critical roles in the operations of broker-dealers and registered investment advisors. They must stay on top of regulatory issues and implement strategies to maximize outcomes for their companies and clients. Finding C-suite executives in-house is challenging for companies. Those who want to maximize profits while ensuring compliance can outsource C-suite services nationwide.

My RIA Lawyer provides expert C-suite services to businesses nationwide. Our C-suite services include Chief Legal Officer/General Counsel, Chief Operating Officer, Chief Financial Officer and Chief Compliance Officer. We designed these services to eliminate the leadership challenges that businesses face. Instead of hiring full-time executives and hoping they stay on top of regulations and compliance issues, you’ll have a legal team in your corner. It’s much easier to stay within the law when you have attorneys, so contact our firm about our C-suite services today.

Available C-Suite Services

In addition, we provide a wealth of services to support our outsourced C-suite Services.


These services include:

  • Compliance
  • RIA Registration
  • Mergers and Acquisitions
  • Mock Examination
  • Private Fund Services
  • Regulatory Defense
  • Arbitration

Contact us today to find out how our C-suite services can help your company.

Chief Legal Officer (CLO)/general Counsel

The Chief Legal Officer/General Counsel plays a vital role in RIA firms nationwide, especially hybrid firms or registered with multiple regulatory agencies. RIA firms should consult with General Counsel before making decisions that could impact employees, clients, and the business. The wrong decision could trigger a lawsuit and other issues, including lost clients or state department of labor action on behalf of former employees. My RIA Lawyer’s C-suite services will protect you during each step of the decision-making process. Whether you are contemplating terminating an employee, bringing on new partners, or reorganizing your corporate structure, we will provide legal guidance to clarify each decision.

Our C-suite services will also protect your RIA firm in other ways. We will assist with corporate governance, executive issues and compensation, contracts, employment and human resource matters, mergers and acquisitions, and more. We can also assist with risk management, litigation, and alternative dispute resolution. With each service, our main goal will be protecting your company and its interests.

Chief Operating Officer (COO)

The Chief Operating Officer provides strategic leadership and vision to coordinate and align divisions and processes. Without having an individual with the expertise and resources necessary to accomplish that alignment, many RIAs struggle to deliver services efficiently and profitably. The good news is that through My RIA Lawyer’s Outsourced COO program, any size RIA can reap the benefit of effective strategic guidance without needing to incur the expense of a full-time COO.

Small and mid-sized businesses can access the same level of operations expertise and resources that larger corporations find indispensable. My RIA Lawyer’s COOs work with the team to determine what actions the company needs to take to manage all aspects of operations effectively. These specific operations-related strategies can cover change management, service improvements, risk management, process management, and cost reductions. All these areas can be critical to build and maintain profitability. Below are just a few examples of steps that a COO from My RIA Lawyer can help an RIA take to help it grow and thrive.

We set up job descriptions, onboarding processes, and team training and create key performance indicators while building out the standard operating procedures for the firm to maximize efficiency and create consistency in delivery.

Chief Financial Officer (CFO)

My RIA Lawyer offers 3 levels of services for CFO consulting services, as well as Ancillary Services, allowing you to pick a solution that fits your budget while meeting your needs. These levels of services (Basic, Upgrade, and Premium) are designed to help you make accurate financial decisions when operating your company. These services can help you reduce tax liabilities, improve pricing strategies, and more to maximize profitability. We can work in tandem with your company or your CPA firm when analyzing data and making decisions.

Chief Compliance Officer (CCO)

Maintaining regulatory compliance is one of the most challenging and critical aspects of operating your firm. In the early stages, you might be able to do this yourself. However, as your business grows, it becomes increasingly challenging to stay on top of changes and maintain compliance across the board. My RIA Lawyer provides CCO outsourcing services for firms of all sizes. We will assess your business practices and provide solutions as needed. Our C-suite service providers will find issues before they escalate to violations. Then, we will address and fix the problems, so your firm remains compliant.

This service is included in the Diamond Tier of our Compliance Package. Click here for more information.

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Why Choose My Ria Lawyer?

  • Experts in the RIA Space – My RIA Lawyer is the only law firm solely focused on the RIA space. By focusing the firm on investment advisers, our clients receive exceptional services and advice.
  • Experienced – My RIA Lawyer has a proven record of protecting financial advisers by helping them create robust 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.
  • Free Consultation – Take part in a free, 30-minute online strategy session to go over your case.
  • Satisfaction Guarantee – We guarantee your satisfaction, or you get your money back.

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