Legal Services for RIAs and Broker-Dealers
A securities law firm focused exclusively on financial firms. We advise RIAs and broker-dealers on regulatory risk, governance structure, and the legal matters that come with running a sophisticated financial practice.
- Securities Attorneys, Not Generalists
- Regulatory Defense & Litigation Experience
- Built for Financial Advisory Firms
Legal Counsel Built for Financial Firms
As your firm grows, legal complexity grows with it. Employment matters, vendor contracts, M&A opportunities, regulatory inquiries — these are a normal part of operating a financial advisory business at scale.
Most firms handle them reactively: calling a general practitioner who has to learn the industry first, or deferring until problems become urgent. Neither approach serves a firm that’s managing hundreds of millions in client assets.
My RIA Lawyer is a securities law firm built to back RIAs and broker-dealers with the legal counsel they need — including the work of an SEC compliance attorney when regulatory matters arise. We know the business model, the regulatory structure, and the legal challenges that come with running this kind of firm. When legal matters come up, you don’t have to explain where you’re starting from.
Why Financial Firms Choose My RIA Lawyer:
- Financial services only — no generalist work, no learning curve
- We execute, not just advise
- Legal and compliance under one roof. A coordinated strategy
- Predictable pricing through Subscription General Counsel
- We ALSO provide general business advice and strategy
Our Legal Services
We provide legal counsel across every area that matters to financial advisory firms. Each service is available as a standalone engagement or as part of our Subscription General Counsel arrangement.
Subscription General Counsel
Your firm’s legal department, without the overhead. Fifteen billable hours per month at locked-in rates — covering regulatory matters, employment, contracts, M&A support, and more.
- 15 billable hours/month at tiered rates
- Rollover up to 5 unused hours/month
- 1 strategic monthly call included
- Regulatory defense on standby
- Employment, contracts, M&A coverage
Regulatory Defense & Events
Representation when regulators initiate contact. SEC examinations, Wells notices, OTRs, FINRA enforcement actions, and deficiency letter responses. Handled by attorneys who know the process.
- SEC investigation response & defense
- Wells notice review and strategy
- OTR preparation and attendance
- Deficiency letter remediation
- FINRA enforcement defense
Private Fund Legal Services
Comprehensive legal support for private fund advisers — fund formation, PPM drafting, partnership agreements, ongoing fund compliance, and SEC registration.
- Fund formation and structure
- PPM and partnership agreement drafting
- Form PF and Form ADV amendments
- Ongoing fund compliance support
Expungements
Remove inaccurate or defamatory customer disputes and disclosures from your BrokerCheck record. We handle the FINRA arbitration process from filing through award.
- Case evaluation and eligibility assessment
- FINRA arbitration filing and representation
- Evidence gathering and hearing preparation
- Post-award expungement processing
Additional Legal Services
Beyond the four primary service areas, we also handle: M&A transactions and deal structure, employment and advisor transition matters, corporate governance, contract review and negotiation, and FINRA arbitration management. These are covered under Subscription General Counsel or available as project-based engagements.
Built For Financial Firms
My RIA Lawyer works exclusively with RIAs, broker-dealers, and private fund advisers as their securities attorney of record. Our clients aren’t explaining the business to us — they’re bringing us in because we already understand it.
The firms we serve are managing real complexity: multiple advisors, significant AUM, regulatory obligations that grow as the business grows. They need legal counsel that keeps pace with that — not a generalist who’s learning the industry on their clock.
“Not every attorney understands what’s at stake when a regulator calls. We do.”
SEC-Registered RIAs
$100M–$5B AUM, growing teams, increasing regulatory surface area. Working with an RIA attorney who already knows your business model means employment matters, vendor contracts, M&A transactions, and regulatory defense get handled without a learning curve — so principals can stay focused on the business.
Broker-Dealers & Hybrid Firms
FINRA member firms managing customer disputes, expungement needs, advisor transitions, and enforcement matters. Hybrid structures that need both RIA and BD legal coverage.
Private Fund Advisers
Hedge fund managers, private equity, venture capital, and real estate fund advisers who need fund formation, ongoing compliance, and legal support through the full lifecycle of their fund.
Frequently Asked Questions
Both options are available. Subscription General Counsel is structured for firms with regular legal needs — predictable monthly hours at locked rates. Project-based engagements are available for specific one-time matters like expungements, regulatory defense, or fund formation. Most clients start with a project and move to subscription as ongoing needs become clear.
Yes. Our attorneys are licensed in multiple states and handle federal securities matters nationwide. For state-specific matters requiring local counsel, we coordinate with local attorneys while managing overall strategy.
No issue. Many firms work with us for securities-specific matters while maintaining other legal relationships for general business needs. We’re comfortable handling RIA law, regulatory defense, and broker-dealer matters while you keep existing counsel for other areas.
For matters involving SEC examination defense, regulatory risk, or compliance governance, the difference is significant. A general securities lawyer may handle litigation competently but won’t know the RIA regulatory structure, Form ADV obligations, or SEC examination process from the inside. An RIA compliance attorney who works exclusively in this space can anticipate issues a generalist would miss — and respond in the language regulators expect.
Subscription General Counsel clients receive priority response for urgent matters — typically within hours. For new engagements involving Wells notices, OTR requests, or regulatory inquiries, we schedule an initial consultation within 24–48 hours and begin work immediately upon engagement.
Ready to Talk with a SEC Compliance Lawyer?
My RIA Lawyer is a securities law firm providing legal counsel exclusively to financial firms. We understand your business, execute on your behalf, and offer predictable pricing through subscription general counsel.
Schedule a consultation to discuss your firm’s legal needs.