My RIA Lawyer is a specialized legal and compliance firm dedicated exclusively to serving financial services professionals, offering a unique combination of legal expertise and regulatory compliance support. As a powerhouse for financial firms, the firm stands out by integrating legal, compliance, and operational consulting into a single, streamlined service model, providing clients with comprehensive protection and strategic guidance.
The firm takes a proactive, no-nonsense approach to compliance challenges, offering tailored strategies rather than one-size-fits-all solutions. With a team of compliance-focused attorneys and specialists who live and breathe securities regulation, they cater primarily to registered investment advisors (RIAs), broker-dealers, fund managers, and other financial entities. Their value proposition includes crisis support for urgent regulatory matters, fractional compliance leadership, and proprietary software designed to simplify compliance management.
Services Offered
- Outsourced Compliance
- SEC Compliance
- Broker-Dealer Compliance
- RIA Registration
- Broker-Dealer Registration
- SEC Mock Exams
- Compliance Training
- General Counsel Services
- FINRA Arbitration
- FINRA Expungements
- C-Suite Services
- CFO Consulting
- Securities Litigation
- Private Investment Funds Compliance
- ERISA Fiduciary Guidance
- Compliance Policy Drafting and Updates
- Regulatory Exam Response and Representation
- Form ADV Filings
- Form 13F Filing Assistance
- Compliance Risk Assessments
- Mock Audits
- CCO On-Call Support
- Crisis Support for Urgent Compliance Matters
Serving clients nationwide, the firm supports a diverse clientele including solo advisors, growing RIAs, established firms, and multi-location financial enterprises. Their proprietary ComplianceNerdOS software is included with full-service compliance programs, enhancing efficiency and integration for clients seeking end-to-end regulatory solutions.
