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Outsourced Compliance Services

Take the stress out of compliance so you can do business better.

Imagine an alternate reality where compliance isn’t a headache but an opportunity to thrive. If you’re a forward-thinking RIA firm owner or broker-dealer, our Outsourced Compliance Department was designed just for you.


Before we get into the nitty-gritty, let’s talk about why this service is unlike any other compliance service you have experienced.


Supporting a Better Customer Experience

High-Touch, Low-Volume Service

Unlike the industry norm, we embrace a proactive, high-touch approach. Consider us your compliance partner, ensuring an in-house feel with the perks of outsourcing. Enjoy unlimited access to our compliance team, real-time troubleshooting, and customized documents for your business.

Legal Defense and Services

Your compliance attorney manages your compliance program AND provides robust defense and everyday support. We prioritize your satisfaction with a designated Customer Success Manager (CSM).

Ethical Fiduciaries

As a law firm, we are ethically bound to act as fiduciaries to you. Enjoy the flexibility to cancel your contract anytime, lock in pricing for up to 36 months, and upgrade or downgrade services as needed. Our commitment builds trust and ensures your happiness.

Compliance Nerds at Your Service

We’re not just compliance experts; we’re enthusiasts. Our mission is to navigate the legal landscape on your behalf. From gathering resources to defending you during regulatory inquiries, we’ve got your back.

Let’s talk compliance


Take Action — Doing Nothing, Changes Nothing

Our Outsourced Compliance Department comes in two levels of service.

The original Outsourced Compliance Department and Outsourced Compliance Department Plus.

Which Service Is Right for You?
Compare Our Compliance Offerings

IAR Onboarding:
  • Background check by Sterling (@cost)
  • U4 filing and 2B preparation
  • Transmission and review of initial compliance documents and attestations (including OBAs, personal securities transactions)
  • 60-minute compliance onboarding call
U4 and U5 reviews and updating
Form ADV Part 2B reviews and updating
Form ADV Part 1 review and updating
Form ADV Part 3/Form CRS review and updating
Annual 1 on 1 interviews with IARs
Annual Amendment preparation and filing
Annual Compliance Review and Report
Annual Retrospective Review
Annual Personal Holdings Review
Annual 13H report
Annual Best Execution Review
Annual Compliance Meeting
Annual Client Account Review Testing
Annual Client Custody Review
Quarterly 13 F Report
Quarterly Personal Securities Transactions Review
Quarterly Code of Ethics Attestations Review
Quarterly IAR state registration review
Quarterly Social Media and Website review
Quarterly Code of Ethics Certication Review
Quarterly Personal Securities Transaction Review
Quarterly or Monthly Fee Audit
Quarterly OBA Audit
Quarterly Branch Audit
Quarterly Client File Review
Monthly Trade Error Log Review
Monthly DOL Rollover Form Testing
Weekly Trade Review
Advertising Review
Cybersecurity Review
Response to routine state regulatory inquiries
Succession planning
Vendor due diligence  
Alternative Products Due Diligence  
Participation in Investment Committee  
Ongoing training of compliance and products with staff
Heightened Supervision Oversight  
AUDIT SUPPORT: Respond to questions and provide guidance on response to regulators
AUDIT SUPPORT: Prepare Responses
AUDIT SUPPORT: Review responsive documents and Bates number  
AUDIT SUPPORT: Communicate with regulators on behalf of firm  
AUDIT SUPPORT: Be present on site for in person portion of exam  
AUDIT SUPPORT: Phone support during on site portion of exam
Respond to client complaints led directly with state regulators or the SEC  
LEGAL: Review and update IMA
LEGAL: Review and update ERISA Fiduciary Agreement
LEGAL: Review and update IAR Agreement  
LEGAL: Review and update non-IAR employment and 1099 agreements  
LEGAL: 5 hours billable hour time with legal staff  
Development of customized compliance forms
Books and records management  
Compliance technology set-up and maintenance
Mandatory 60-minute call per month
1 60-minute call with IARs monthly
2 on site visits annually (cost of travel not included)  
Designated Chief Compliance Officer  

Compliance should fuel your success, not be a stumbling block.

As finance professionals, we understand the unique challenges you face. Tired of vague responses from your compliance team? We’re lawyers, ready to answer your questions and simplify the complexities.

Focus on what matters.

Your mission is to help clients, not grapple with legal intricacies. You are tired of being the bottle neck and dealing with compliance. You don’t like doing it, you don’t keep up with changing regulations and you don’t want to have to train or supervise the people you delegate compliance to. You want them to just do it.

We free you to focus on revenue-generating activities, ensuring you thrive in your business.

We also take the testing away from you, so you don’t have to worry about it or supervise or manage the team doing the testing, and you can rest assured that your compliance attorney is ensuring your firm is protected.

Ready to stop the compliance headache? Choose My RIA Lawyer and unlock a world of possibilities. Our Compliance Packages are crafted to empower your business. Don’t just survive; thrive with My RIA Lawyer. Your success is our mission.

Invest in Your Future, Invest in Compliance Excellence with My RIA Lawyer.

Work With Us


Customized RIA Compliance Solutions

Our compliance services for financial advisers include:

  • SEC Compliance
  • SEC Mock Exams
  • RIA Registrations
  • RIA Compliance University
  • Broker-Dealer Compliance Services
  • Broker-Dealer Registration Services


SEC Compliance: Protecting Your Firm’s Bottom Line

As a financial advisor, your main focus is on serving your clients and building the life you’ve envisioned. Naturally, your time and energy are dedicated to revenue-generating activities. However, amidst your busy schedule, it’s easy to overlook the importance of SEC compliance. Let’s face it, compliance is not exactly enjoyable. But here’s the truth: SEC compliance is just as crucial to your firm’s bottom line as acquiring and servicing clients. Neglecting compliance can expose your firm to financial risks.

At My RIA Lawyer, we specialize in SEC compliance for Registered Investment Advisors (RIAs). Our team of experienced SEC compliance lawyers understands the intricacies of regulatory requirements and the impact they can have on your firm.


Preparing for SEC Compliance Exams: SEC Mock Exams

Are you ready in case the SEC conducts a compliance exam? Whether you’re anticipating your first exam or concerned about follow-up action due to past deficiencies, an SEC mock exam is essential to your success. At My RIA Lawyer, we offer a comprehensive mock exam service that includes both on-site and off-site examinations. Our service is designed to help your Chief Compliance Officer and compliance staff prepare for future exams and address any compliance issues before the SEC becomes involved.


Streamline Your RIA Registration Process

Navigating the RIA registration process can be time-consuming and labor-intensive, often requiring over 40 hours of dedication. Mistakes during the process can further prolong the timeline and cause frustration. Save yourself valuable time and headaches by engaging the services of an experienced RIA registration lawyer.

We handle the intricate requirements of RIA registration, allowing you to focus on delivering expert investment advice. From incorporating your entity and managing the registration process to drafting essential documents like Investment Management Agreements (IMAs) and compliance manuals, we ensure compliance with the Investment Advisers Act. With our support, you can efficiently navigate the complexities of FINRA, SEC, and state securities regulations.


Stay Compliant with RIA Compliance University

Stay informed and compliant with RIA Compliance University offered by My RIA Lawyer. This comprehensive program equips registered investment advisors with valuable resources, including live Q&A sessions, video training, templates, guides, and tailored topics. Clients gain access to a wealth of information that helps them navigate the complexities of SEC regulations and avoid costly violations. Keep your firm on the right track and prioritize compliance by joining RIA Compliance University today.


Enhance Broker-Dealer Compliance

In the midst of a complex regulatory landscape, broker-dealer compliance programs must operate with utmost efficiency. Compliance management for broker-dealers presents a myriad of challenges, ranging from meticulous tracking of deals to address conflicts, anti-money laundering, and anti-fraud, to ensuring strict adherence to customer protection regulations. Cutting corners on compliance processes is simply not an option.

Recent years have witnessed hefty fines imposed on several prominent broker-dealers due to non-compliance. The SEC and FINRA’s active enforcement actions have sent a clear message that even small and medium-sized broker-dealers face the risk of significant penalties for non-compliance, potentially amounting to millions of dollars.

We boast a team of seasoned broker-dealer compliance specialists who possess extensive experience in providing guidance on the legal, regulatory, and compliance implications associated with broker-dealer activities.


Simplify Broker-Dealer Registration

When it comes to broker-dealer registration, the process encompasses the entire lifecycle of a firm, from meeting initial membership standards to ongoing updates and renewals. At My RIA Lawyer, we provide comprehensive guidance to broker-dealers, assisting them in becoming FINRA members, meeting filing and qualification requirements, expanding their business, or withdrawing their registration.

Whether you’re registering a new BD firm, managing a branch office, terminating a BD firm’s registration, or updating your BD firm registration as a Continuing Member, our team of broker-dealer registration experts is here to assist you. We will handle the drafting and filing of all necessary forms, coordinate the registration process, manage correspondence with regulators, and ensure that all regulatory obligations are met.


Why Choose My RIA Lawyer to Outsource Your Compliance?

We’re Not Your Daddy’s Law Firm

In a world where compliance can be overwhelming, we’re the modern solution that bridges the gap between legal, compliance, and operations. Forget templated forms and cookie-cutter approaches; we provide a one-stop solution designed for your unique needs.

Compliance Nerds and Financial Aficionados

We live and breathe compliance. Our team understands the ever-evolving regulatory landscape, offering you peace of mind. From legal nuances to tailored solutions, we’re the nerds and aficionados you want in your corner.


Empower Your Business with our Outsourced Compliance Department

Take control of your compliance journey and subscribe to our Outsourced Compliance Department services today. Say goodbye to sleepless nights and anxiety surrounding annual examinations, SEC or FINRA scrutiny, and potential financial penalties.

With unlimited access to our compliance team, real-time troubleshooting, and customized documents, you’ll have the benefits of an in-house compliance department without the overhead.

Don’t let compliance challenges hold you back.

Join our community of compliance nerds who are passionate about navigating the legal landscape for you.

Sign up for our Outsourced Compliance Services and unlock compliance success!

Get Started

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.

We Are
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

Questions or Schedule an Appointment? Click to Call

(770) 462-2118