SEC Compliance Lawyer

My RIA Lawyer protects RIAs from expensive penalties with SEC compliance services.

SEC Compliance

Your primary focus in business is serving your clients while creating the lifestyle of your dreams. Thus, you spend most of your time and energy on revenue-making activities. With so much time devoted to serving your clients, you might forget about SEC compliance. While SEC compliance doesn’t generate revenue, it can protect your firm from losing money. SEC compliance is as important to your firm’s bottom line as acquiring and servicing clients.

You need a team of experts at your side to ensure SEC compliance. Our firm focuses exclusively on SEC compliance for Registered Investment Advisors (RIAs), including those who are dually registered as FINRA Broker-Dealers or with the NFA and CFTC. We have numerous service options, from our Compliance University to our ongoing compliance packages of services and the outsourced compliance department, we are here to meet your demands. Contact us today to find out how our SEC compliance attorneys and Compliance Officers can protect your firm.

SEC Compliance Services

My RIA Lawyer has three options for RIAs that need help with SEC compliance. These options are:

  • Compliance University – Great for start-ups, small state-registered firms, and those looking for additional resources for their in house compliance team. This is a monthly service.
  • Ongoing monthly outsourced compliance consulting services (4 tiers) where we take the day-to-day compliance tasks off your plate and build your compliance program to grow with your firm.
  • Outsourced Compliance Department with Outsourced CCO (Diamond Package) – We take over your compliance program and give you peace of mind that your program complies with SEC and state requirements. Your outsourced CCO does everything from cleaning up your compliance program to managing your regulatory exams and vet, hiring, and training in-house compliance staff. Don’t let compliance take another minute of your time. Our outsourced compliance department solution takes away the anxiety of being your firm’s CCO.

Compliance University

We recommend the RIA Compliance University for all firms, whether you are both owner and CCO or have an in-house team that needs training and ongoing support. The Compliance University contains pre-recorded webinars that go over the compliance regulations and requirements for RIAs. My RIA Lawyer will also provide you with resources (including forms, templates, and checklists) that you can use to ensure that you stay in compliance when creating documents. Our templates are up-to-date, which is essential for compliance.

Many people find that if they use non-attorney service providers to stay in compliance, they end up with outdated templates that no longer meet the guidelines. Then, they end up out of compliance, even when seeking outside help. That’s one reason why enrolling in our Compliance University program is essential to your company’s success so you can keep up to date with the changes in the industry.

For more information about our Compliance University, please visit

Compliance Consulting For Firms

If you need additional help with compliance, we recommend our compliance consulting services. You will receive one-on-one compliance consulting that covers compliance and how it affects the rest of your business. Along with covering documents and forms, we will advise you on social media policy to ensure that you don’t break any state or federal guidelines while utilizing compliance technology to create efficiencies. We ensure that your compliance program is robust, meets state federal regulations, and keeps you out of the grip of the regulators.

Your My RIA Lawyer compliance team will conduct annual compliance reviews and help you make necessary changes to comply with guidelines. If anything is out of compliance, the attorney will help you make changes to comply with guidelines. You can also add additional services, such as our SEC mock exam, a 4-stage process that will certify your compliance program and ensure your policies and procedures achieve compliance with SEC requirements. The packages also include unlimited access to our compliance team via email and telephone because we believe that we can best serve you when you aren’t spending time counting the number of billable hours you must pay. All of our compliance services include customized tasks and forms delivered via an automated compliance calendar that we provide via a compliance technology called Smart RIA.

Outsourced Compliance Department

We recommend our Diamond Package using our Outsourced Compliance Department. We will provide a Chief Compliance Officer to ensure that your firm follows all rules and guidelines. The CCO will assess the firm’s practices and find solutions to help you save time and money while following legal requirements. Benefits include outsourcing to a team of compliance officers and attorneys that are compliance nerds who focus solely on this vital area of your business. You can reclaim your time to focus on revenue-generating activity while your outsourced provider cleans up your program and gets you SEC exam ready.

Protect Communications With Attorney-client Privilege

When you use an SEC compliance lawyer, you will benefit from attorney-client privilege. Everything you say to your attorney is protected under the rule of law. You will not get the same protection if you use a non-attorney service provider. Instead, the provider can divulge your conversations, which could get you in trouble. Between the protection and sound legal advice, hiring an attorney from My RIA Lawyer is a wise choice.

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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.
  • Confidential Strategy Session – During your phone or online video consultation, we will listen to you and help you determine your next steps.
  • Focused Legal Practice – By focusing the firm on investment advisers, our clients receive specialized services and advice that finally allow them to take control and live the life they dream of.
  • Satisfaction Guarantee – We are guaranteeing your satisfaction or you get your money back.
  • Experienced – My RIA Lawyer has a proven record of protecting financial advisers by helping them create strong 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.
  • Proactive Approach – Our goal is to keep nosy regulators out of your business and out of your wallet. When we aren’t helping firms avoid regulators by putting in place robust compliance systems, we are vigorously defending them against client and regulatory actions.
  • Our Vision – My RIA Lawyer Wants to See Advisors fulfilling their purpose without the Worry of Compliance Tasks.
  • Highly Reviewed & Rated – Excellent rating by respected legal website Avvo, awarded by Super Lawyers, 5- Star average review rating on Google. See some of our client reviews below.

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