General Counsel for Registered Investment Advisors

My RIA Lawyer helps RIAs stay in compliance while protecting their interests with General Counsel services.

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 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. Contact us 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. Your employees must understand the laws and guidelines for RIA 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.

Registered Investment Advisors (RIA)

Mediation, Arbitration, And Litigation

Legal action is an unfortunate part of doing business as an 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 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.

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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 specialized services and advice.
  • Experienced – My RIA Lawyer has a proven record of protecting financial advisers by helping our clients support corporate governance and HR functions. We also protect you by ensuring contracts exist to govern every firm’s relationship – from employee to vendor to business continuity and everything in between.
  • 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.

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