You’re a professional. You’re a business owner. ACT LIKE IT.
Don’t waste your time with a compliance consultant.
This is NOT Your Daddy's Law Firm...
Buying an office with 20 IARs?
Just added another $500 million in assets under your management?
Freaking out about your next exam?
Or maybe you’re just sick and tired of dealing with compliance headaches…
We do the compliance AND the legal for you.
You won’t have to worry about ONE person who’s probably working with
EIGHTY OTHER FIRMS…
(and doesn’t even have time to answer your call)
Take control of your compliance
Don't Let Compliance Be A Pain In The Ass
Get an outsourced compliance DEPARTMENT.
A whole TEAM OF PEOPLE to call your own.
UNLIMITED ACCESS.
Unlock a world-class team of compliance nerds, including attorneys and officers, at a fraction of the cost of hiring an individual compliance officer.
This is the backbone of our firm. From our seasoned attorneys with decades of experience to our compliance heroes, every member of the My RIA Lawyer team shares an unwavering dedication to providing exceptional service and achieving outstanding results.
Whether it’s diving deep into the latest regulatory changes, exploring cutting-edge compliance technologies, or brainstorming creative solutions to complex challenges, you can count on this team to be at the forefront of the industry.
We pride ourselves on fostering a dynamic, collegial environment where everyone feels empowered to share their unique perspectives and insights. This collaborative spirit allows us to leverage our diverse expertise and backgrounds to deliver holistic, well-rounded advice that truly resonates with our clients.
Leila Shaver
Founder
Tracie Behr
Managing Director
Kim May
Compliance Officer
Amber Davis
Training & Development Officer
Micaela Michael
Operations Officer
Erin Washom
Compliance Attorney
Deb Connor
Senior Compliance Officer
Trina Glass
Managing Attorney
Which Service is Right For You?
| OCD | OCD+ | |
IAR Onboarding:
|
✓ | ✓ |
| 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 | ✓ |
Ditch the Bullshit Compliance Consultants
Regulation is going to come, and you have to be ready.
YOU are the trusted professional.
Stop dealing with consultants.
Get a real team.
