Worried That Your Next SEC Audit Will End in Fines? TAKE THE ASSESSMENT

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 consulting and legal services nationwide.

My RIA Lawyer provides 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 consulting and legal services today.

Available C-Suite Services

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


Compliance services ensure adherence to regulations and guidelines. Our team collaborates with c-suite executives, including chief executive officers and chief financial officers, to develop risk management strategies and navigate intricate regulatory landscapes. We offer tailored solutions to achieve and maintain compliance, allowing businesses to focus on their growth and operations.

RIA and BD Registration

Streamline RIA registration and BD registration with the guidance of our professionals. Our c-suite services include assistance from chief operating officers, chief technology officers, and other key executives. We offer comprehensive support, helping you to be detail-oriented, expedite registration processes, and address regulatory requirements, ensuring a smooth transition for your business.

Mergers and Acquisitions

Navigate complex mergers and acquisitions with confidence. Our team collaborates closely with C-level executives such as chief executive officers, chief financial officers, and senior executives to develop strategic approaches. With a focus on financial modeling, risk management, and competitive advantage, we facilitate seamless transactions and support your business objectives.

Mock Examination

Prepare for regulatory examinations with our comprehensive mock examination services. We work closely with C-level executives, including chief operating officers and chief information officers, to simulate real-world scenarios. By focusing on technical skills, regulatory defense strategies, and compliance readiness, we help your company build confidence in its preparedness.

Private Fund Services

Elevate your private fund management with our specialized services. Collaborate with C-level executives, including chief financial officers and chief executive officers, to develop business strategies and drive growth. Our experience spans from cash flow management to operational efficiency, enabling you to make informed decisions and achieve optimal results.

Regulatory Defense

Navigate regulatory challenges with our robust regulatory defense services. Our team collaborates with senior executives to develop effective strategies. With a keen focus on mitigating risks and leveraging competitive advantages, we provide comprehensive support to safeguard your company’s interests.


Resolve disputes efficiently through our arbitration services. Our team collaborates with C-level executives, including chief executive officers and chief legal officers, to develop strategies that align with your business objectives. With a focus on detail-oriented analysis and new initiative development, we assist you in achieving favorable outcomes while maintaining your company’s reputation.

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 firms with affiliates registered with multiple regulatory agencies. RIA and BD firms should consult with the 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.

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 resources necessary to accomplish that alignment, many RIAs and BDs struggle to deliver services efficiently and profitably.

The good news is that through My RIA Lawyer’s Outsourced COO program, any size RIA or BD 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.


Chief Financial Officer (CFO)

My RIA Lawyer offers three 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.

Contact My RIA Lawyer for C-Suite Services Today

Ready to take your business to the next level? Our team is here to help you craft effective business strategies and implement risk management strategies that truly matter.

With insights from experienced chief financial officers and senior executives, we’re equipped to guide your journey toward success.
Whether you’re a key executive seeking competitive advantage or one of many business leaders driving innovation, our tailored solutions are designed to empower your growth.

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

Not your daddy's law firm

How we're different

We take a no-nonsense approach to solving your problems. Forget about one-size-fits-all solutions; we roll up our sleeves and craft strategies that fit your financial business like a glove. We’re not just lawyers – we’re compliance partners, financial enthusiasts, and problem solvers.

We get it – you need answers, and you need them now. That’s where we come in, offering a blend of big-firm resources with the kind of personal attention you’d expect from a smaller one.

But what really sets us apart? We’re all about your success. Compliance is just the start; we’re here to help you thrive. We know the ins and outs of the financial world, and we’re not afraid to think outside the box to help you reach your goals while playing by the rules.

Doing Nothing, Changes Nothing.

SEC Risk Assessment Quiz

Trusted RIA Compliance Guidance

What RIAs Should Be Asking Their Attorneys

as a lawyer, I can give you the insights...

We are the answer to All Your Questions.

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My RIA Lawyer

“It’s important that you look at your legal provider and who it is you have invested in to protect your business, so there are a few things you should be asking your lawyer. First, do they know what the heck you’re doing? Do they know the services you provide? The fees you’re charging? Do they understand securities? One of the problems I see when there is a legal action or when there’s an enforcement action, is that so many of you are going to attorneys that have ZERO securities experience! You’re going to, God forbid, a general practitioner!! That’s not the kind of lawyer you want, you want a securities attorney! You want them to understand your business.

— Leila Shaver Founder

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