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Compliance and Legal Services For Financial Services Companies

We began as the only law firm solely focused on the RIA space. But, just as the financial investment world is evolving, so is My RIA Lawyer.

My RIA Lawyer is provides legal, compliance and operations consulting services to Registered Investment Advisors, Broker-Dealers, Investment Managers, Registered Representatives, Insurance Providers, Investment Bankers, ERISA fiduciaries, Commodities Trading Advisors, Digital Asset Managers and Alternative Investment Advisors.

Brokers have adapted to a changing regulatory environment by (1) leaving the FINRA broker-dealer world to go into the RIA world or (2) by also providing advisory asset management and financial planning services through an RIA in addition to acting as a broker. So many of these brokers and hybrid advisors are also acting as insurance agents, commodities brokers or private fund managers. As financial services have evolved and the average advisor has become immensely entrepreneurial, we have evolved as well.

Whatever your focus in the financial services industry, our one-stop, full-service, holistic, legal, compliance and operations solutions allow you to focus on growing your business, worry and hassle-free.

We are changing the game. Where you would go to multiple vendors to get subpar services, you can now consolidate your needs to one quality vendor- My RIA Lawyer. Gone are the days where you had to tell your needs to 6 different people at 6 different firms. No more worrying about whether your compliance consultant understands your business. No more hearing from your compliance consultant that they aren’t a lawyer and that you need to go get counsel. No more being rejected by a “in the box” provider because you do business a little differently than most. As a law firm, we are well informed about regulatory changes, and more importantly, the gray areas in which you can function and thrive. We take your goal and find a legal and compliant way to accomplish it, even if it requires “outside the box” thinking.

You can judge our success by one simple standard – the professional QUALITY of our work.

We do not offer cookie-cutter, fill-in-the-blank, ready-made, templated solutions.  Unlike non-attorney service providers, we are lawyers, compliance nerds, and financial services specialists. We have the talent associated with big law firms and the effectiveness, efficiency, and easy-to-reach benefits of a small law firm. With clear communication within 48 business hours, our firm merges the best of big and small law firms into one. Our services are tailor-made to address the exclusive needs and goals of your business. Give My RIA Lawyer a call today to learn more about our new and more expansive RIA services and how they can help protect you and your clients.

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Comprehensive RIA Compliance and
Securities Law 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

W

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
E

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
C

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
B

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

Brett Janis
N

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
R

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.
A

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.
C

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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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

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