RIA Compliance & SEC Lawyers - Ensuring Regulatory Compliance

Are you a financial professional struggling to keep up with the ever-changing rules and regulations? We understand the sleepless nights spent worrying about potential compliance pitfalls. Our team helps you unravel these complexities, providing clear pathways to ensure your business operates without legal hiccups.

With My RIA Lawyer, you’re not just gaining legal insights but forming a strategic alliance. As a leading legal and compliance powerhouse, we focus on safeguarding financial firms, ensuring their operations align seamlessly with the ever-evolving legal landscape.

Our seasoned team empowers you to confidently manage compliance challenges. This is more than dodging penalties; it’s about thriving in an industry that never stands still. Whether you’re a Registered Investment Advisor, Broker-Dealer, or Alternative Investment Advisor, our tailored services cater to your unique needs.

As the financial industry changes, so do we. We understand that financial professionals today need diverse solutions to meet their entrepreneurial goals. Our services offer legal, compliance, and operations consulting in one place, making managing your journey to success that much easier.

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Achieve Regulatory Compliance with Dedicated RIA Lawyers

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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.

Trusted RIA Compliance Guidance

I had a specific legal issue that was of significant importance to our firm, and a sensitive matter where there was disagreement about what was required from a compliance standpoint. My RIA Lawyer quickly wrote a powerful “second opinion” memo on the topic that led to the resolution of the issue. I could not have been more pleased with their work.

Will Carter

Making the jump to start your own firm is a big decision. Its stressful, hard work, and you have to learn a ton. This why I decided to hire a professional team to help establish my RIA the right way the first time. My RIA Lawyer’s team is absolutely amazing. They have demonstrated expert knowledge, personable staff, and they have shown us how much they genuinely care about setting us up for success by giving us the tools we need to help others. Thank you Leila and Liz for all of your hard work!

Eric Gomez

The initial consultation was extremely valuable. I definitely recommend speaking with them. I had very custom needs, and they rose to the task!

Caleb Anderson

Excellent support for independent RIAs seeking the latest compliance support on both SEC and state rules.

Brett Janis

I worked with Leila as I was getting my new RIA firm up and running. Leila provided expert legal advice as a complement to the national compliance firm who was assisting me with my registration. I was introduced to Leila after I had already begun the process and not sure how I would have made it through without her. She was an invaluable resource and I look forward to working together again in the future!

Nicholas Chiricosta

I have used My RIA Lawyer for filing my Annual Amendments in the past and was very happy with their services and professionalism. Leila Shaver is very responsive, communicative, and extremely knowledgeable. I highly recommend their services!

Rafael G.

Leila is an expert with compliance but she also offers a wealth of knowledge as a business owner. We discussed everything including compliance, marketing, business partnerships, and more. Even though my firm is not yet at a point to work with her, she has sent me multiple emails offering assistance with the things we spoke about during our meeting.

Angela M.

The attorneys at MyRIALawyer are always extremely attentive, responsive and competent. We look forward to expanding our relationship, as we continue to grow.

Chad M.

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We Have Answers

What role does an RIA lawyer play in risk management?

RIA lawyers help identify and mitigate potential compliance risks that your firm might face, ensuring that your business operations are aligned with regulatory standards.

What ongoing compliance tasks can an RIA lawyer help with?

RIA lawyers assist in drafting and updating compliance policies, conducting regular audits, staying informed about regulatory changes, and addressing any compliance issues that arise within your firm. We will do all the testing, represent the firm as its Chief Compliance Officer, and respond to regulatory exams and requests.

Can an RIA lawyer help me set up my investment advisory firm?

Absolutely! An RIA lawyer can guide you through the registration process with the SEC or relevant state authorities, ensuring you meet all necessary regulatory requirements to operate your investment advisory business legally.

How can an RIA lawyer help me prepare for SEC examinations?

An RIA lawyer can simulate mock SEC exams, review your records and procedures, and provide guidance on addressing any potential compliance weaknesses before an actual examination.

How can an RIA lawyer assist me with the RIA registration process?

An RIA lawyer can play a crucial role in the RIA registration process by providing guidance on completing the necessary paperwork and ensuring all required information is accurate and comprehensive. At My RIA Lawyer, we prepare all of the registration documents, submit them and engage with the examiner until the registration is complete. We also prepare all of the compliance documents and client-facing agreements.

What RIAs Should Be Asking Their Attorneys

as a lawyer, I can give you the insights...

We are the answer to All Your Questions.

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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.“