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As we celebrate ten years of relentless advocacy and innovation, AdvisorLaw continues to set the standard in the financial services industry. From day one, our mission has been clear: to serve only individual advisors, investment adviser representatives, and registered investment advisers (RIAs)—never broker-dealers or investors—with unmatched expertise and dedication.
Over the past decade, we've grown into the premier consulting partner for financial professionals. With a 60-person team of attorneys, compliance specialists, and industry analysts, AdvisorLaw offers fully-integrated solutions with a combination of legal, compliance, and consulting insight—an approach unmatched by competitors. From startup to succession, we handle every challenge that advisors may face throughout their careers.
Headquartered in Colorado, our unique model—powered by our close partnership with HLBS Law—fuses legal representation with high-level consulting for IAR’s and Brokers across all 50 states. The result? Seamless, all-in-one support that protects, defends, and strengthens your practice, every step of the way.
Comprehensive RIA Compliance: Tailored, Attorney-Led, & Contract-Free
AdvisorLaw’s RIA division leads the way in outsourced SEC and state compliance for all sizes of firms—offering truly comprehensive, hands-on support that goes far beyond cookie-cutter templates. While others rely on generic forms, we deliver fully-customized solutions, crafted and overseen by experienced attorneys who understand the nuances of your specific business model.
From precise Form ADV updates, to bespoke written supervisory procedures, privacy policies, and investment advisory agreements, every element of your compliance program is tailored to you. Our elite, 25-person compliance team actively manages regulatory oversight for RIAs with more than $70 billion in AUM, providing the kind of proactive compliance that protects and empowers your firm for the long term.
What makes our approach truly innovative?
- Tailored Compliance: Every solution, including our customized compliance calendars, is tailored to the RIA’s needs, ensuring relevance and precision.
- Rapid Response Times: We pride ourselves on swift, actionable support to keep your business compliant and thriving.
- Expert Opinions: We provide comprehensive guidance from real attorneys—a rarity in the consulting space—giving advisors confidence in complex regulatory matters.
- Transparent, Flexible Pricing: Our monthly, flat-rate compliance services are tailored to your firm’s needs, with no hidden fees or long-term contracts.
Driving our compliance services is Nexus Enterprise—a powerful, all-in-one platform built to simplify and streamline compliance management. With Nexus, our clients gain a centralized dashboard that brings together workflows, documents, tasks, and alerts in real time.
We take the complexity out of compliance and deliver a seamless experience for entrepreneurial RIAs, equipping you with clarity, control, and peace of mind from a single, trusted partner.
Unrivaled Defense Division: Protecting Advisors With Industry-Leading Expertise
Legal and regulatory challenges are inevitable in the financial industry—but with AdvisorLaw’s Defense division, advisors don’t face these challenges alone. Led by our founder, Doc Kennedy, who is nationally recognized as the authority in advisor defense, our team of full-time litigation attorneys sets the industry benchmark for strategic, aggressive representation.
We don’t just defend—we protect your career, reputation, and independence with relentless precision. Our attorneys act swiftly and decisively to:
- defend against wrongful U5 terminations;
- counter baseless investor complaints;
- shield advisors from SEC, FINRA, and state investigations; and
- file all necessary suits to uphold your rights and preserve your livelihood.
Additionally, AdvisorLaw dominates the disclosure expungement space—handling nearly 40% of all expungement cases, industry-wide. With over 2,850 disclosures (including customer disputes, terminations, tax liens, and even criminal matters) cleared from BrokerCheck, we’ve built an unparalleled track record with an 86% win rate.
Our success didn’t happen by chance. It’s been the result of meticulous preparation, deep regulatory expertise, and strategic, case-specific advocacy. No firm matches our experience, precision, or results when it comes to clearing your record and protecting your future.
Practice Acquisition & Succession: Maximizing Value Through Our Unique Network
We do more than protect your practice—we help you build and transition it. Whether you’re scaling through acquisition or preparing for a successful exit, our M&A division delivers end-to-end support to ensure a smooth, strategic transition.
Our proprietary practice valuation tool—free for RIA compliance clients—gives you accurate, data-driven insights into your firm’s true market value. From there, we provide everything you need to take the next step with confidence, including:
- access to a vetted network of serious buyers and sellers;
- expert succession planning and deal structuring; and
- full confidentiality and strategic matchmaking throughout the process.
With a network of over 3,000 financial advisors, we connect qualified buyers with exclusive opportunities and help sellers maximize their firm’s value through a curated, confidential ecosystem.
AdvisorLaw’s advisor-driven network and white-glove support set us apart—delivering enduring value throughout your career.
Built To Support Your Entire Career
Our commitment is simple—we’re with you at every stage of your journey. From launch to legacy, our integrated team of legal, compliance, and consulting experts delivers the guidance and protection you need to thrive.
- Start Strong: Launch your RIA with expert formation and structural guidance.
- Leverage Your Compliance: Navigate complex regulations with tailored, ongoing compliance solutions that you can use as a selling point for your clients.
- Defend What You’ve Built: Rely on aggressive legal defense when your reputation or business is on the line.
- Grow With Purpose: Expand through acquisitions, custodian transitions, and strategic scaling.
- Exit On Your Terms: Maximize your firm’s value, and retire with confidence and control.
No other firm offers this kind of comprehensive, end-to-end support—seamlessly blending legal and consulting firepower, under one roof.
Ten Years Of Impact: The Future Starts Now.
As we mark a decade of dedicated service to financial professionals, AdvisorLaw remains laser-focused on what’s next: empowering our clients with unmatched expertise, cutting-edge solutions, and a relentless commitment to their success.
With a growing team of 60 professionals, a network of over 3,000 clients, and a proven history of excellence, we’re not just keeping up with the future—we’re leading it. From AI and Fintech, to evolving cybersecurity demands, AdvisorLaw is built to help advisors thrive in this rapidly-changing landscape.
Here’s to ten incredible years—and to shaping the next decade of innovation, protection, and growth together.