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

General Counsel for RIAs

Every decision you make will have an impact on your financial services firm. You are likely locked into the financial impact of each decision, but what about legal and compliance issues? That’s where our general counsel services can help.

My RIA Lawyer can provide legal guidance and insight into each decision and outcome, from terminating employees to handling unemployment claims and dealing with clients. We look at the big picture with each decision and help you make the best choice for your business.

We will also help protect your interests with proper contracts and documents, advice on employee and human resource matters, and assistance with mergers and acquisitions. Our General Counsel will also guide you through arbitration, mediation, and litigation if necessary. today to find out why General Counsel is necessary for registered investment advisors and broker-dealers.

General Counsel Services

Our General Counsel performs numerous services for financial advisors. Our areas of expertise include:

  • Corporate governance matters
  • Contract drafting, review, and negotiation
  • Executive issues and compensation
  • Employment and human resource matters
  • Mergers and acquisitions
  • Privacy and data security
  • Risk management
  • Arbitration, mediation, and litigation

Employment and Human Resource Matters

A General Counsel for financial advisors will protect your firm while handling employment and human resource matters. This includes employee terminations. If done incorrectly, you could face lawsuits or unemployment claims. Your attorney can also assist with non-compete and non-solicit agreements to ensure that former employees don’t steal clients from your firm. Without such agreements in place, your firm could hemorrhage clients and money.

Proper workplace training is also essential when hiring employees for your RIA or BD. Your employees must understand the laws and guidelines for RIA compliance and BD compliance. Your General Counsel can train them, so they will be assets to your firm. In addition, your General Counsel can help create the employee handbook to ensure it includes everything necessary to protect your company. Other areas of expertise include employee hiring and retention.

Mediation, Arbitration, And Litigation

Legal action is an unfortunate part of doing business as a financial advisor. You might find yourself on both sides of legal issues throughout your career. Our General Counsel can represent you whether you are defending your actions or want to hold another party accountable.

Most cases can be settled successfully through mediation or arbitration. However, if the case needs to go to trial, My RIA Lawyer can move forward with litigation. We can represent you in court, or supervise or evaluate local or special counsel. Regardless of your choice, we will assist in ensuring that you receive proper representation during the case.


Ironclad, favorable contracts are the foundation of a successful RIA. Your General Counsel for registered investment advisors can negotiate, draft, and review contracts on your behalf. This can include license agreements, non-disclosure agreements, professional service agreements, and more. Also, your attorney can assist with leases and other commercial contracts. With your attorney’s help, you will enter agreements that will hold up in a court of law. These agreements will protect your rights and interests, so you can grow your business.

Corporate Governance Matters

Your General Counsel for RIAs and BDs will play a vital role in assisting with corporate governance matters. For example, the General Counsel can draft minutes at board meetings. The attorney can also prepare your firm’s corporate governance documents, draft and administer equity plans and advise on officer and director fiduciary duties and exposure to claims. It’s easy to stay within the law and comply with guidelines when you have access to a General Counsel from My RIA Lawyer.

Executive Issues and Compensation

In the dynamic landscape of registered investment advisers, Executive Issues and Compensation hold paramount importance. Navigating the complexities of compensation structures, performance incentives, and regulatory compliance demands astute legal guidance.

Our Counsel for Executive Issues and Compensation delivers comprehensive advice in aligning executive remuneration with company goals, ensuring adherence to pertinent laws and regulations. We offer tailored solutions for equity-based compensation, deferred compensation plans, and executive contract negotiations, safeguarding your organization’s interests while maintaining ethical standards.

Mergers and Acquisitions

The realm of Mergers and Acquisitions (M&A) necessitates meticulous legal oversight. Our adept team specializes in facilitating seamless transitions, addressing legal intricacies, and mitigating potential risks in M&A transactions.

M&A Legal Counsel is integral to assessing due diligence, structuring agreements, and orchestrating negotiations. Our experienced attorneys collaborate across departments, ensuring compliance with regulatory frameworks and safeguarding your interests throughout the process. With a deep understanding of financial intricacies, we strive to optimize outcomes while upholding the highest standards of professionalism and integrity.

Privacy and Data Security

In the digital age, safeguarding sensitive information is paramount. Our Privacy and Data Security Counsel offers insightful guidance to registered investment advisers in managing data privacy challenges and complying with evolving regulations.

We assist in crafting robust privacy policies, conducting audits, and implementing measures to fortify data security. Through adept legal strategies, we address intricate matters like data breaches, consent mechanisms, and cross-border data transfers, empowering you to maintain client trust and meet stringent compliance standards.

Risk Management

Effective risk management is the cornerstone of a resilient registered investment adviser. Our Risk Management Counsel aids in identifying, assessing, and mitigating legal and operational risks, bolstering your organization’s stability.

From regulatory compliance to dispute resolution, our experienced Risk Management Attorneys collaborate with your team to implement proactive strategies. By offering strategic advice and navigating complex legal frameworks, we enable you to make informed decisions that align with your organization’s objectives, ensuring a robust risk management approach.

Contact Our RIA Lawyers for a Consultation Today

At My RIA Lawyer, we understand the intricate legal challenges that registered investment advisers face. Our team of experienced attorneys is dedicated to providing you with exceptional counsel across a spectrum of crucial areas, from executive issues and compensation to mergers and acquisitions, privacy and data security, and risk management.

Elevate your organization’s legal strategies with our tailored guidance. Contact us today to embark on a journey of ethical growth, regulatory compliance, and strategic success in the world of registered investment advising. Let our expertise be your legal advantage.

Click here to view our general counsel services.


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

Four Reasons to Hire a Law Firm Instead of a Compliance Firm

and help them understand what it is they actually need to be asking for.

We are the answer to All Your Questions.

We Are
My RIA Lawyer

“In life, it’s not that we don’t have enough time; it’s that we lose so much of it. We waste time on things that can be outsourced instead of spending time on things and people we love. I’d rather pay someone to clean my house and take that time to spend with my children. Our clients are happier letting us ‘clean house’ while they work with their clients. In the end, they have more satisfaction in their businesses and they’re happier overall.”

— Leila Shaver Founder

Questions or Schedule an Appointment? Click to Call

(770) 462-2118