RIA Compliance Services
RIA Compliance Services
RIA Compliance Services
Solutions Built for
Confidence & Growth
Solutions Built for
Confidence & Growth
Solutions Built for
Confidence & Growth
Our experienced team of securities attorneys and compliance professionals provides expert guidance, helping your firm remain compliant. Our anticipatory, strategic, and comprehensive approach to RIA compliance services effectively manages responsibilities and addresses the potential threats and issues that increase business risk.
Protect yourself, your company, and your clients by addressing your compliance needs with a scalable solution designed specifically for RIAs. Count on the clarity and confidence that comes from proactive assessment and ongoing oversight and monitoring of your operations.
With our solutions, you gain the benefit of our experience, with our compliance oversight protecting over $70 billion in collective client assets.
Our experienced team of securities attorneys and compliance professionals provides expert guidance, helping your firm remain compliant. Our anticipatory, strategic, and comprehensive approach to RIA compliance services effectively manages responsibilities and addresses the potential threats and issues that increase business risk.
Our SEC compliance services and state compliance services empower you to dedicate more time and attention to your clients and their assets. With AdvisorLaw as your partner, you can count on compliance support for RIAs from a team that understands not only the vital importance of this responsibility but also how to fully address your firm’s needs in this space as well.
Protect yourself, your company, and your clients by addressing your compliance needs with a scalable solution designed specifically for RIAs. Count on the clarity and confidence that comes from proactive assessment and ongoing oversight and monitoring of your operations.
Add ongoing review of all client communications with our Standard+ service level for even more protection. Or, utilize our Outsourced Chief Compliance Officer (OCCO) services for a truly complete solution.
With our solutions, you gain the benefit of our experience, with our compliance oversight protecting over $70 billion in collective client assets.
Assets
Protected
Assets
Protected
Assets
Protected
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
"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⭐⭐⭐⭐⭐
Compliance Service Levels:
Standard & Standard+
Compliance Service Levels: Standard & Standard+
Compliance Service Levels:
Standard & Standard+
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.
Our RIA compliance service packages—Standard and Standard+—are designed to provide a scalable framework that proactively minimizes future risks. With every package, an attorney is assigned to your compliance team to provide expert guidance and support.
Our core RIA compliance services cover the full spectrum of your operational and filing requirements:
Our compliance packages—Standard and Standard Plus+—are designed to provide a scalable framework that proactively minimizes future risks. With every package, an attorney is assigned to your compliance team to provide expert guidance and support.
Our core services cover the full spectrum of your operational and filing requirements:
- Risk & Review: We conduct an Annual Risk Assessment Memo and Guided Risk Assessment, perform Quarterly & Annual Compliance Reviews, and handle Review & Update of RIA Documents (following the initial retainer). We proactively Monitor Regulatory Changes & Update Manuals as needed.
- Filings & Disclosures: We manage Form ADV Filings & Updates (All Parts), U4 & U5 Filings, and Review & File Disclosures. We also handle the Review of Registrations & Prepare & Submit SEC & State Registrations/Filings.
- Oversight & Monitoring: We review Conflicts of Interest and Outside Business Activities, and provide Marketing Review (10 hours annually). We also offer guidance with Billing Review, Email Review, Personal Holdings Review, and Trades Review.
- Support: Both tiers include full Regulatory Exam Support.
The key difference lies in communication review: the Standard package includes all the above, while the Standard+ package includes the crucial added layer of service: A review of all client communications (emails, texts, etc.) on all platforms.
For more comprehensive support, we also offer Outsourced Chief Compliance Officer (OCCO) services. Our OCCO-Lite tier assigns an analyst to act as your CCO designee. Our full OCCO tier assigns a senior analyst to be officially listed as your firm's CCO on your Form ADV, handling SEC exams and disclosures on your behalf. All OCCO tiers include our Nexus platform for streamlined compliance tasks and reporting.
- Risk & Review: We conduct an Annual Risk Assessment Memo and Guided Risk Assessment, perform Quarterly & Annual Compliance Reviews, and handle Review & Update of RIA Documents (following the initial retainer). We proactively Monitor Regulatory Changes & Update Manuals as needed.
- Filings & Disclosures: We manage Form ADV Filings & Updates (All Parts), U4 & U5 Filings, and Review & File Disclosures. We also handle the Review of Registrations & Prepare & Submit SEC & State Registrations/Filings.
- Oversight & Monitoring: We review Conflicts of Interest and Outside Business Activities, and provide Marketing Review (10 hours annually). We also offer guidance with Billing Review, Email Review, Personal Holdings Review, and Trades Review.
- Support: Both tiers include full Regulatory Exam Support.
The key difference lies in communication review: the Standard package includes all the above, while the Standard+ package includes the crucial added layer of service: A review of all client communications (emails, texts, etc.) on all platforms. This additional level of compliance support for RIAs offers extended protection against potential regulatory risks.
For more comprehensive support, we also offer Outsourced Chief Compliance Officer (OCCO) services. Our OCCO-Lite tier assigns an analyst to act as your CCO designee. Our full OCCO tier assigns a senior analyst to be officially listed as your firm's CCO on your Form ADV, handling SEC exams and disclosures on your behalf. All OCCO tiers include our Nexus platform for streamlined compliance tasks and reporting.
Our RIA compliance service packages—Standard and Standard+—are designed to provide a scalable framework that proactively minimizes future risks. With every package, an attorney is assigned to your compliance team to provide expert guidance and support.
Our core RIA compliance services cover the full spectrum of your operational and filing requirements:
- Risk & Review: We conduct an Annual Risk Assessment Memo and Guided Risk Assessment, perform Quarterly & Annual Compliance Reviews, and handle Review & Update of RIA Documents (following the initial retainer). We proactively Monitor Regulatory Changes & Update Manuals as needed.
- Filings & Disclosures: We manage Form ADV Filings & Updates (All Parts), U4 & U5 Filings, and Review & File Disclosures. We also handle the Review of Registrations & Prepare & Submit SEC & State Registrations/Filings.
- Oversight & Monitoring: We review Conflicts of Interest and Outside Business Activities, and provide Marketing Review (10 hours annually). We also offer guidance with Billing Review, Email Review, Personal Holdings Review, and Trades Review.
- Support: Both tiers include full Regulatory Exam Support.
The key difference lies in communication review: the Standard package includes all the above, while the Standard+ package includes the crucial added layer of service: A review of all client communications (emails, texts, etc.) on all platforms. This additional level of compliance support for RIAs offers extended protection against potential regulatory risks.
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 compliance packages—Standard and Standard Plus+—are designed to provide a scalable framework that proactively minimizes future risks. With every package, an attorney is assigned to your compliance team to provide expert guidance and support.
Our core services cover the full spectrum of your operational and filing requirements:
- Risk & Review: We conduct an Annual Risk Assessment Memo and Guided Risk Assessment, perform Quarterly & Annual Compliance Reviews, and handle Review & Update of RIA Documents (following the initial retainer). We proactively Monitor Regulatory Changes & Update Manuals as needed.
- Filings & Disclosures: We manage Form ADV Filings & Updates (All Parts), U4 & U5 Filings, and Review & File Disclosures. We also handle the Review of Registrations & Prepare & Submit SEC & State Registrations/Filings.
- Oversight & Monitoring: We review Conflicts of Interest and Outside Business Activities, and provide Marketing Review (10 hours annually). We also offer guidance with Billing Review, Email Review, Personal Holdings Review, and Trades Review.
- Support: Both tiers include full Regulatory Exam Support.
The key difference lies in communication review: the Standard package includes all the above, while the Standard+ package includes the crucial added layer of service: A review of all client communications (emails, texts, etc.) on all platforms.
For more comprehensive support, we also offer Outsourced Chief Compliance Officer (OCCO) services. Our OCCO-Lite tier assigns an analyst to act as your CCO designee. Our full OCCO tier assigns a senior analyst to be officially listed as your firm's CCO on your Form ADV, handling SEC exams and disclosures on your behalf. All OCCO tiers include our Nexus platform for streamlined compliance tasks and reporting.
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.
Meet Your Experts
Meet Your Experts
Meet Your Experts
Noah Baum
Executive Assistant
Amy Luna
Account Development
Representative
Tim Monaco
Compliance Analyst
Kelly Myers
Compliance Analyst
Ainsley Norman
Nexus Specialist
Meet Your Experts
Meet Your Experts
Noah Baum
Executive Assistant
Amy Luna
Account
Development
Representative
Kelly Myers
Compliance Analyst
Ainsley Norman
Nexus Specialist
Nexus Platform & CyberProtection
Nexus
Platform & CyberProtection
Nexus Platform & CyberProtection
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. Streamline your RIA’s compliance with increased visibility and clear organization through Nexus.
Additionally, a separate CyberProtection service is available to safeguard your firm from increasing cyber threats and tightening regulations. As these digital risks continue to present a regulatory and compliance issue, our team can help you manage your compliance needs and protect your firm.
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. Additionally, a separate CyberProtection service is available to safeguard your firm from increasing cyber threats and tightening regulations.
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. Streamline your RIA’s compliance with increased visibility and clear organization through Nexus.
Additionally, a separate CyberProtection service is available to safeguard your firm from increasing cyber threats and tightening regulations. As these digital risks continue to present a regulatory and compliance issue, our team can help you manage your compliance needs and protect your firm.
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Fidelity Manager Challenges “Misleading” U5 Disclosure Over System Credential Sharing
FINRA Panel Grants Expungements Of Groundless Forgery Allegation
5 Areas Regulators Are Scrutinizing This ADV Season
FINRA Panel Awards Expungement, Erasing Meritless Complaint Over Unsolicited Outside Investment
Key Takeaways From SEC 2026 Examination Priorities
Fidelity Manager Challenges “Misleading” U5 Disclosure Over System Credential Sharing
FINRA Panel Grants Expungements Of Groundless Forgery Allegation
5 Areas Regulators Are Scrutinizing This ADV Season
FINRA Panel Awards Expungement, Erasing Meritless Complaint Over Unsolicited Outside Investment
Key Takeaways From SEC 2026 Examination Priorities
Fidelity Manager Challenges “Misleading” U5 Disclosure Over System Credential Sharing
Private Fund Compliance
Private Fund Compliance
Private Fund Compliance
Whether you're starting a liquid strategy, building a private equity vehicle, or testing with an incubator fund, we guide you from entity setup to subscription documents and beyond.
We offer full-service fund formation and ongoing compliance solutions, tailored for Exempt Reporting Advisers (ERAs), Registered Investment Advisers (RIAs), Commodity Pool Operators (CPOs), and Commodity Trading Advisors (CTAs).
Our expertise covers forming and supporting entirely exempt funds, including Liquid Hedge Funds, Hybrid Hedge Funds, and Private Equity and Commodity Pools. Our formation services include LLC or LP formation, Private Placement Memorandum (PPM), Subscription Agreement, Limited Partnership (LP) Agreement or Operating Agreement, and all necessary SEC Form D and Blue Sky filings.
Already have an entity? We can seamlessly launch a new fund within your existing structure by preparing all required fund documents, compliance filings, and agreements.
Whether you're starting a liquid strategy, building a private equity vehicle, or testing with an incubator fund, we guide you from entity setup to subscription documents and beyond.
We offer full-service fund formation and ongoing compliance solutions, tailored for Exempt Reporting Advisers (ERAs), Registered Investment Advisers (RIAs), Commodity Pool Operators (CPOs), and Commodity Trading Advisors (CTAs).
Our expertise covers forming and supporting entirely exempt funds, including Liquid Hedge Funds, Hybrid Hedge Funds, and Private Equity and Commodity Pools. Our formation services include LLC or LP formation, Private Placement Memorandum (PPM), Subscription Agreement, Limited Partnership (LP) Agreement or Operating Agreement, and all necessary SEC Form D and Blue Sky filings.
Already have an entity? We can seamlessly launch a new fund within your existing structure by preparing all required fund documents, compliance filings, and agreements.
Whether you're starting a liquid strategy, building a private equity vehicle, or testing with an incubator fund, we guide you from entity setup to subscription documents and beyond.
We offer full-service fund formation and ongoing compliance solutions, tailored for Exempt Reporting Advisers (ERAs), Registered Investment Advisers (RIAs), Commodity Pool Operators (CPOs), and Commodity Trading Advisors (CTAs).
Our expertise covers forming and supporting entirely exempt funds, including Liquid Hedge Funds, Hybrid Hedge Funds, and Private Equity and Commodity Pools. Our formation services include LLC or LP formation, Private Placement Memorandum (PPM), Subscription Agreement, Limited Partnership (LP) Agreement or Operating Agreement, and all necessary SEC Form D and Blue Sky filings.
Already have an entity? We can seamlessly launch a new fund within your existing structure by preparing all required fund documents, compliance filings, and agreements.
Frequently Asked Questions
Frequently Asked Questions
Frequently Asked Questions
Request a Private Consultation
Request a Private Consultation