CyberProtection
With the inevitable tightening of RIAs’ cybersecurity requirements, it’s important to know what’s needed and find a service that meets the needs of your business.
Cyber
Protection
CyberProtection
With the inevitable tightening of RIAs’ cybersecurity requirements, it’s important to know what’s needed and find a service that meets the needs of your business.
Managed Security
& Compliance
Managed Security & Compliance
Managed Security
& Compliance
Secure your RIA's future and stay current with regulatory mandates by leveraging our comprehensive cybersecurity services. We provide the necessary managed security, essential compliance support, and the deep industry expertise you need to stop worrying about threats and start managing risk with confidence. Our base service is engineered to maintain a robust and compliant RIA environment through continuous System Security Monitoring (checking patches, antivirus, and encryption daily), Managed Anti-Virus with centralized reporting across all endpoints, and Endpoint Detection and Response (EDR) for continuous surveillance and proactive threat hunting to meet local logging requirements.
Secure your RIA's future and stay current with regulatory mandates by leveraging our comprehensive cybersecurity services. We provide the necessary managed security, essential compliance support, and the deep industry expertise you need to stop worrying about threats and start managing risk with confidence. Our base service is engineered to maintain a robust and compliant RIA environment through continuous System Security Monitoring (checking patches, antivirus, and encryption daily), Managed Anti-Virus with centralized reporting across all endpoints, and Endpoint Detection and Response (EDR) for continuous surveillance and proactive threat hunting to meet local logging requirements.
What Our Clients Say
What Our
Clients Say
What Our
Clients Say
"Best Decision Ever! My choice to hire AdvisorLaw was, without a doubt, the best career choice that I have ever made. The team is stacked with powerful, relentless, intelligent, and compassionate professionals. Thank you, AdvisorLaw, for giving my career the turbocharge that I never knew it could get!!"
- Bruce Kriens⭐⭐⭐⭐⭐
"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 ⭐⭐⭐⭐⭐
"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 ⭐⭐⭐⭐⭐
"Michelle Atlas-Quinn at Advisor Law is an extremely talented Attorney. I consider her my "Corporate Guardian Angel"
- Brad Tiche⭐⭐⭐⭐⭐
"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⭐⭐⭐⭐⭐
"Very professional. Everyone called when they said they would call. There was plently of follow up and follow through. Effective communication made this very easy for me! Thank you!"
- Lisa Murray⭐⭐⭐⭐⭐
"The team at Advisor Law is great!"
- Kevin Pentz⭐⭐⭐⭐⭐
What Our Clients Say
What Our
Clients Say
What Our
Clients Say
"Best Decision Ever! My choice to hire AdvisorLaw was, without a doubt, the best career choice that I have ever made. The team is stacked with powerful, relentless, intelligent, and compassionate professionals. Thank you, AdvisorLaw, for giving my career the turbocharge that I never knew it could get!!"
- Bruce Kriens⭐⭐⭐⭐⭐
"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 ⭐⭐⭐⭐⭐
"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 ⭐⭐⭐⭐⭐
"Michelle Atlas-Quinn at Advisor Law is an extremely talented Attorney. I consider her my "Corporate Guardian Angel"
- Brad Tiche⭐⭐⭐⭐⭐
"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⭐⭐⭐⭐⭐
"Very professional. Everyone called when they said they would call. There was plently of follow up and follow through. Effective communication made this very easy for me! Thank you!"
- Lisa Murray⭐⭐⭐⭐⭐
"The team at Advisor Law is great!"
- Kevin Pentz⭐⭐⭐⭐⭐
Documentation, Training, & Regulatory Support
Documentation, Training,
& Regulatory Support
Documentation, Training, & Regulatory Support
AdvisorLaw offers tailored ongoing regulatory compliance solutions for both SEC and state-registered RIAs. Our seasoned team of attorneys and specialists navigates the complex regulatory landscape for you, providing proactive strategies to minimize business risk and maintain optimal compliance.
Whether you need fundamental support or extensive compliance management, we tailor our services to your firm's unique demands. Enhance your operations with AdvisorLaw's Nexus Enterprise Platform, which centralizes crucial compliance tasks into one streamlined system. Nexus automates workflows and furnishes vital insights, enabling RIAs to concentrate on delivering top-tier client service while adhering to regulatory standards.
AdvisorLaw offers tailored ongoing regulatory compliance solutions for both SEC and state-registered RIAs. Our seasoned team of attorneys and specialists navigates the complex regulatory landscape for you, providing proactive strategies to minimize business risk and maintain optimal compliance.
Whether you need fundamental support or extensive compliance management, we tailor our services to your firm's unique demands. Enhance your operations with AdvisorLaw's Nexus Enterprise Platform, which centralizes crucial compliance tasks into one streamlined system. Nexus automates workflows and furnishes vital insights, enabling RIAs to concentrate on delivering top-tier client service while adhering to regulatory standards.
AdvisorLaw offers tailored, flat-rate, ongoing regulatory compliance solutions for both SEC and state-registered RIAs. Our seasoned team of attorneys and specialists navigates the complex regulatory landscape for you, providing proactive strategies to minimize business risk and maintain optimal compliance.
Our services extend beyond technology so that your documentation and personnel are fully prepared. We assist in preparing essential documents to demonstrate due care and due diligence, including updating your Written Information Security Program (WISP), verifying "no open port" requirements, and creating both Hardware and PII Inventories. We also conduct reviews of user access/MFA status, network architecture, and data back-up strategies. Crucially, we deliver continuous Security Awareness Training via interactive modules and periodic phishing campaigns to minimize human error. Finally, we provide Annual Regulatory Review Assistance and ongoing access to our full policy library, helping you satisfy cybersecurity requirements and maintain a right-sized, compliant security posture.
Enhance your operations with AdvisorLaw's Nexus enterprise platform, which centralizes crucial compliance tasks into one streamlined system. Nexus automates workflows and furnishes vital insights, enabling RIAs to concentrate on delivering top-tier client service while adhering to regulatory standards.
Our services extend beyond technology so that your documentation and personnel are fully prepared. We assist in preparing essential documents to demonstrate due care and due diligence, including updating your Written Information Security Program (WISP), verifying "no open port" requirements, and creating both Hardware and PII Inventories. We also conduct reviews of user access/MFA status, network architecture, and data back-up strategies. Crucially, we deliver continuous Security Awareness Training via interactive modules and periodic phishing campaigns to minimize human error. Finally, we provide Annual Regulatory Review Assistance and ongoing access to our full policy library, helping you satisfy cybersecurity requirements and maintain a right-sized, compliant security posture.
AdvisorLaw offers tailored, flat-rate, ongoing regulatory compliance solutions for both SEC and state-registered RIAs. Our seasoned team of attorneys and specialists navigates the complex regulatory landscape for you, providing proactive strategies to minimize business risk and maintain optimal compliance.
Our services extend beyond technology so that your documentation and personnel are fully prepared. We assist in preparing essential documents to demonstrate due care and due diligence, including updating your Written Information Security Program (WISP), verifying "no open port" requirements, and creating both Hardware and PII Inventories. We also conduct reviews of user access/MFA status, network architecture, and data back-up strategies. Crucially, we deliver continuous Security Awareness Training via interactive modules and periodic phishing campaigns to minimize human error. Finally, we provide Annual Regulatory Review Assistance and ongoing access to our full policy library, helping you satisfy cybersecurity requirements and maintain a right-sized, compliant security posture.
Enhance your operations with AdvisorLaw's Nexus enterprise platform, which centralizes crucial compliance tasks into one streamlined system. Nexus automates workflows and furnishes vital insights, enabling RIAs to concentrate on delivering top-tier client service while adhering to regulatory standards.
Have You Completed Your Annual SEC Review (Rule 206(4)-7)?
Is your Form ADV Part 2 still compliant with the fiduciary duty?
Three Disputes Cleared From Louisiana Rep’s Records
The Awkward Truth: Why Multi-Owner RIAs Need Outsourced CCO
CE Course: Insights for Advisors Considering Succession, Sale, or Growth through M&A
Have You Completed Your Annual SEC Review (Rule 206(4)-7)?
Is your Form ADV Part 2 still compliant with the fiduciary duty?
Three Disputes Cleared From Louisiana Rep’s Records
The Awkward Truth: Why Multi-Owner RIAs Need Outsourced CCO
CE Course: Insights for Advisors Considering Succession, Sale, or Growth through M&A
Have You Completed Your Annual SEC Review (Rule 206(4)-7)?
Is your Form ADV Part 2 still compliant with the fiduciary duty?
Three Disputes Cleared From Louisiana Rep’s Records
The Awkward Truth: Why Multi-Owner RIAs Need Outsourced CCO
CE Course: Insights for Advisors Considering Succession, Sale, or Growth through M&A
Meet Your Experts
Meet Your Experts
Michelle Atlas-Quinn, J.D.
Vice President of RIA Operations
Josh Barber
CIO & Co-Founder
Noah Baum
Executive Assistant
Erika Binnix, J.D.
Senior Associate
Cody Branson
Compliance Analyst
Sara Bries
Compliance Analyst
Christina Duncan
Senior Compliance Analyst
Samantha Fow, J.D.
Associate Attorney
Wren Green
Compliance Analyst Manager
Shannon Hemphill
Compliance Analyst
Joel Hergenreter
Senior Compliance Analyst
Jake Jacobsen, J.D.
Senior Associate
Samira Kadam
Compliance Analyst
Joseph Keep
Compliance Analyst
Jason Kirkland
Executive Director
Amy Luna
Account Development
Representative
Samuel Lyman
Compliance Analyst
Liz Manteau
Senior Compliance Analyst
Christopher Marks
Senior Compliance Analyst
Janet Messer
Senior Compliance Analyst
& Senior Nexus Specialist
Tim Monaco
Compliance Analyst
Ainsley Norman
Nexus Specialist
Bree Pate
Compliance Analyst
Courtney Raymond
Director of RIA Development
Dave Reichert
Senior Compliance Analyst
Ruth Thortvedt
Compliance Analyst
Matt Tuerk, J.D.
Contract & Client Services
Specialist Associate
Molly Wheeler
Compliance Analyst
Petra Zunt
Compliance Consultant
Meet Your Experts
Meet Your Experts
Michelle Atlas-Quinn, J.D.
Vice President of RIA Operations
Josh Barber
CIO & Co-Founder
Noah Baum
Executive Assistant
Erika Binnix, J.D.
Senior Associate
Cody Branson
Compliance Analyst
Sara Bries
Compliance Analyst
Christina Duncan
Senior Compliance Analyst
Samantha Fow, J.D.
Associate Attorney
Wren Green
Compliance Analyst Manager
Shannon Hemphill
Compliance Analyst
Joel Hergenreter
Senior Compliance Analyst
Jake Jacobsen, J.D.
Senior Associate
Samira Kadam
Compliance Analyst
Joseph Keep
Compliance Analyst
Jason Kirkland
Executive Director
Amy Luna
Account
Development
Representative
Samuel Lyman
Compliance Analyst
Liz Manteau
Senior Compliance Analyst
Christopher Marks
Senior Compliance Analyst
Janet Messer
Senior Compliance Analyst & Senior Nexus Specialist
Tim Monaco
Compliance Analyst
Ainsley Norman
Nexus Specialist
Bree Pate
Compliance Analyst
Courtney Raymond
Director of
RIA Development
Dave Reichert
Senior Compliance Analyst
Ruth Thortvedt
Compliance Analyst
Matt Tuerk, J.D.
Contract & Client Services Specialist Associate
Molly Wheeler
Compliance Analyst
Petra Zunt
Compliance Consultant