*AdvisorLaw is not a law firm and does not provide legal services.

Financial Advisor Lawyers Providing Proactive RIA Compliance, SEC/FINRA Defense & M&A/Recruiting Solutions

We proudly stand as unwavering counsel, exclusively committed to financial advisors.

*AdvisorLaw is not a law firm and does not provide legal services. Accordingly, no attorney-client relationship, nor the protections thereof, exists with AdvisorLaw or its staff.

Financial Advisor Lawyers Providing Proactive RIA Compliance, SEC & FINRA Defense, & M&A Recruiting Solutions

We proudly stand as unwavering counsel, exclusively committed to financial advisors.

$0B+

AUM UNDER
COMPLIANCE

0+

DEFENSE &
EXPUNGEMENT CASES

$0B+

IN REVENUE
TRANSITIONED

*AdvisorLaw is not a law firm and does not provide legal services.

Financial Advisor Lawyers Providing Proactive RIA Compliance, Defense, & M&A Recruiting Solutions

Financial Advisor Lawyers Providing Proactive RIA Compliance, SEC & FINRA Defense, & M&A Recruiting Solutions

$0B+

$75B+

COMBINED ASSETS MANAGED

AUM UNDER COMPLIANCE

3,000+

0+

DEFENSE &
EXPUNGEMENT CASES

$1.5B+

IN REVENUE
TRANSITIONED

DEFENSE CASES

0+

DEFENSE CASES

0+

ADVISOR CLIENTS

0+

DEFENSE CASES

$0B+

COMBINED ASSETS MANAGED

AUM UNDER COMPLIANCE

0+

DEFENSE & EXPUNGEMENT CASES

DEFENSE CASES

0B+

IN REVENUE
TRANSITIONED

0+

DEFENSE CASES

0+

ADVISOR CLIENTS

$0B+

COMBINED ASSETS MANAGED

0+

DEFENSE CASES

0+

ADVISOR CLIENTS

*AdvisorLaw is not a law firm and does not provide legal services.

How We Help Your Business Thrive

Explore our four core service pillars designed to build, protect, and scale your business at every stage.

Launch

Experienced counsel to confidently launch and register your SEC or state RIA.

Compliance

Tailored, flat-rate, ongoing RIA compliance solutions for both SEC and state-registered RIAs.

Defense

Defense to protect against investor complaints, regulatory investigations, and termination disputes.

Growth

Whether you are looking to scale, monetize, or migrate, we provide the oversight to secure your future.

What Our Clients
Say About Us

What Our Clients Say About Us

Hear what our clients have to say about our work as a leading consulting firm.

"I had 2 frivolous disclosures on my record and asked AdvisorLaw to help me get them removed. They were successful in both cases. My experience was they were well organized and knowledgeable and most importantly they were effective at getting the job done. I highly recommend them."

- Glen Anderson ⭐⭐⭐⭐⭐

"Have worked in detail with the team of Erika and Wren to create and file ADVs. Doc Kennedy has supported along the way on legal issues. Great firm to work with, would highly recommend them for any advisor drafting documents or needing ongoing compliance support."

- Shane Farina ⭐⭐⭐⭐⭐

"As I left a major wirehouse, I was unjustly and unfairly accused. The kind folks at AdvisorLaw guided me through the system. I had given up on clearing my name but they were able to handle everything honestly and with the regulators agreeing. I couldn't get it done by myself. Thank you!"

- Montee Sneed ⭐⭐⭐⭐⭐

"AdvisorLaw has been diligent in helping us through our compliance. They have a good process and they follow up regularly. Our entire team is very much in tune with the compliance requirements. I recommend them highly to fellow RIAs."

- Raj Rajendran ⭐⭐⭐⭐⭐

"Listened to my needs, thorough and methodical process to get me from the start to completion, and attention to detail. "

- Steve Kennedy ⭐⭐⭐⭐⭐

"Hiring the best = worth It! I hired AdvisorLaw in early 2020 to help me remove 1 termination and 3 customer claims from my BrokerCheck page. With Covid and the economy and everything else going on, I was worried about the expense. But the disclosures on my record were doing so much damage that I knew removing them could pay for itself."

- Sara McClain ⭐⭐⭐⭐⭐

"Michelle Atlas-Quinn at Advisor Law is an extremely talented Attorney. I consider her my "Corporate Guardian Angel"

- Brad Tiche⭐⭐⭐⭐⭐

"They did exactly what they promised."

- Tom Freeman ⭐⭐⭐⭐⭐

"Advisor Law knew exactly what needed to be done...I've recommended the firm to several former colleagues... and wd do so again...many thanks to you all."

- John Brewer⭐⭐⭐⭐⭐

"Advisor Law has been a great resource and advocate for me as a professional. Through countless conversations and a successful engagement, they have acted as true professionals delivering perfect results along the way. Thank you!"

- Travis Jeffrey⭐⭐⭐⭐⭐

"I was very happy will the level of service I received and the results. Was worth every penny to hire this firm. I highly recommend."

- Ted Peroulakis⭐⭐⭐⭐⭐

"I had 2 frivolous disclosures on my record and asked AdvisorLaw to help me get them removed. They were successful in both cases. My experience was they were well organized and knowledgeable and most importantly they were effective at getting the job done. I highly recommend them."

- Glen Anderson ⭐⭐⭐⭐⭐

"Have worked in detail with the team of Erika and Wren to create and file ADVs. Doc Kennedy has supported along the way on legal issues. Great firm to work with, would highly recommend them for any advisor drafting documents or needing ongoing compliance support."

- Shane Farina ⭐⭐⭐⭐⭐

"As I left a major wirehouse, I was unjustly and unfairly accused. The kind folks at AdvisorLaw guided me through the system. I had given up on clearing my name but they were able to handle everything honestly and with the regulators agreeing. I couldn't get it done by myself. Thank you!"

- Montee Sneed ⭐⭐⭐⭐⭐

"AdvisorLaw has been diligent in helping us through our compliance. They have a good process and they follow up regularly. Our entire team is very much in tune with the compliance requirements. I recommend them highly to fellow RIAs."

- Raj Rajendran ⭐⭐⭐⭐⭐

"Listened to my needs, thorough and methodical process to get me from the start to completion, and attention to detail. "

- Steve Kennedy ⭐⭐⭐⭐⭐

"Hiring the best = worth It! I hired AdvisorLaw in early 2020 to help me remove 1 termination and 3 customer claims from my BrokerCheck page. With Covid and the economy and everything else going on, I was worried about the expense. But the disclosures on my record were doing so much damage that I knew removing them could pay for itself."

- Sara McClain ⭐⭐⭐⭐⭐

"Michelle Atlas-Quinn at Advisor Law is an extremely talented Attorney. I consider her my "Corporate Guardian Angel"

- Brad Tiche⭐⭐⭐⭐⭐

"They did exactly what they promised."

- Tom Freeman ⭐⭐⭐⭐⭐

"Advisor Law knew exactly what needed to be done...I've recommended the firm to several former colleagues... and wd do so again...many thanks to you all."

- John Brewer⭐⭐⭐⭐⭐

"Advisor Law has been a great resource and advocate for me as a professional. Through countless conversations and a successful engagement, they have acted as true professionals delivering perfect results along the way. Thank you!"

- Travis Jeffrey⭐⭐⭐⭐⭐

"I was very happy will the level of service I received and the results. Was worth every penny to hire this firm. I highly recommend."

- Ted Peroulakis⭐⭐⭐⭐⭐

Industry Insights

Keep up with developments in the industry that matter the most to financial advisors, wealth managers, and RIAs.

RIA Valuations in 2026: How to Maximize Your Sale Price in a Cooling Market

Learn what drives RIA valuations in 2026, how acquisition multiples are changing, and how to maximize your practice’s value before…

Josh Barber

FINRA Panel Expunges Erroneous Unsuitability Claim For Veteran Michigan Financial Advisor

A Michigan financial advisor with more than three decades serving the industry sought FINRA expungement of a customer dispute that…

Doc Kennedy, MBA, J.D.

SEC Exam Priorities for Q4 2026: Reg S-P, Alt Investments & AI

The SEC’s Q4 2026 exam priorities target Reg S-P compliance, alternative investment suitability, and AI oversight. Get your RIA exam-ready…

Michelle Atlas-Quinn, J.D.

Should financial advisors resign while under investigation? (What Actually Happens)

If your firm has opened an internal investigation, you’re probably asking one question: Should I resign now—or wait to see…

Doc Kennedy, MBA, J.D.

The SEC’s New Digital Asset Framework: What RIAs Should Be Thinking About

Explore the SEC’s new digital asset framework. Understand how the 5-part token taxonomy, investment contract rules, and marketing focus impact…

Joel Hergenreter

Succession Planning: Why A “Wait-and-See” Strategy Could Cost You Millions In Valuation

Delaying your financial advisor succession planning? Discover why a “wait-and-see” strategy kills firm valuation and how to protect your equity.…

Josh Barber

Engage Our Experts

Engage with our experts!

(303) 952-4025

Our roster of specialists, including financial advisor lawyers and many other experienced professionals, is ready to assist you with RIA compliance programs, defense support for all matters, as well as launching your own firm and taking the next step with mergers and acquisitions.

Count on a seamless, integrated, and comprehensive approach to your firm’s needs and your needs as an individual RIA. AdvisorLaw focuses exclusively on supporting you and your firm, addressing the many complexities of an RIA’s career path to support development, defense, regulatory compliance, risk management, and growth.

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