Ease your RIA compliance demands, minimize business risk, and get back to work.
Four levels of flat-rate compliance support are designed to flex and scale with your RIA’s needs.
Ease your compliance demands, minimize business risk, and get back to work.
Ease your compliance demands, minimize business risk, and get back to work.
Four levels of flat-rate compliance support are designed to flex and scale with your RIA’s needs.
Trust Your Compliance Solution
Trust Your RIA Compliance Solution
Trust Your Compliance Solution
We redefine advisory compliance through agility, efficiency, and relentless innovation. Positioned at the forefront of industry threats, we deliver proactive, dynamic solutions tailored to anticipate and outpace future trends. Our approach not only achieves immediate compliance but also fosters a deep, lasting understanding through expert guidance and education. Trust us to keep you ahead in a constantly evolving landscape.
We redefine advisory compliance through agility, efficiency, and relentless innovation. Positioned at the forefront of industry threats, we deliver proactive, dynamic solutions tailored to anticipate and outpace future trends. Our approach not only achieves immediate compliance but also fosters a deep, lasting understanding through expert guidance and education. Trust us to keep you ahead in a constantly evolving landscape.
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⭐⭐⭐⭐⭐
Ongoing Compliance
Ongoing RIA Compliance
Ongoing Compliance
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.
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.
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.
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.
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.
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.
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.
$70B+
Assets
Protected
Assets
Protected
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
Wren Green
Compliance Analyst Manager
Joel Hergenreter
Senior Compliance Analyst
Jake Jacobsen, J.D.
Senior Associate
Samira Kadam
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
Timothy Monaco
Compliance Analyst
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
Wren Green
Compliance Analyst Manager
Joel Hergenreter
Senior Compliance Analyst
Jake Jacobsen, J.D.
Senior Associate
Samira Kadam
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
Timothy Monaco
Compliance Analyst
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
Molly Wheeler
Compliance Consultant
Outsourcing
Your CCO
Outsourcing
Your CCO
Outsourcing Your CCO
Deciphering today’s ultra-complex regulatory landscape while focusing on business development can be daunting. Let AdvisorLaw alleviate your risk with our expert compliance team serving as your dedicated OCCO. With an average of over 20 years in the industry, our professionals provide meticulous compliance oversight—from document reviews to drafting filings, to handling regulatory exams.
Don’t blow your budget by incurring the hiring, payroll, and benefits needed for an in-house employee. Take advantage of those significant cost savings with our predictable monthly fee, allowing you to dedicate your efforts to what you do best: building client relationships and managing wealth. Partner with AdvisorLaw to elevate your peace of mind and get back to chasing your firm’s full potential.
Deciphering today’s ultra-complex regulatory landscape while focusing on business development can be daunting. Let AdvisorLaw alleviate your risk with our expert compliance team serving as your dedicated OCCO. With an average of over 20 years in the industry, our professionals provide meticulous compliance oversight—from document reviews to drafting filings, to handling regulatory exams.
Deciphering today’s ultra-complex regulatory landscape while focusing on business development can be daunting. Let AdvisorLaw alleviate your risk with our expert compliance team serving as your dedicated OCCO. With an average of over 20 years in the industry, our professionals provide meticulous compliance oversight—from document reviews to drafting filings, to handling regulatory exams.
Don’t blow your budget by incurring the hiring, payroll, and benefits needed for an in-house employee. Take advantage of those significant cost savings with our predictable monthly fee, allowing you to dedicate your efforts to what you do best: building client relationships and managing wealth. Partner with AdvisorLaw to elevate your peace of mind and get back to chasing your firm’s full potential.
Don’t blow your budget by incurring the hiring, payroll, and benefits needed for an in-house employee. Take advantage of those significant cost savings with our predictable monthly fee, allowing you to dedicate your efforts to what you do best: building client relationships and managing wealth. Partner with AdvisorLaw to elevate your peace of mind and get back to chasing your firm’s full potential.
Launch Your Independent RIA with Trusted Regulatory & Business Support
FINRA Arbitration: How One Advisor’s Fight Cleared His Record of an Old Annuity Claim
The High Cost of RIA Compliance Oversight: A Cautionary Tale
CFP Board vs. BrokerCheck: A Battle for Advisor Fairness
Why a “Dismissed” Claim Isn’t Enough: A Virginia Advisor’s Fight to Expunge His BrokerCheck Record
Launch Your Independent RIA with Trusted Regulatory & Business Support
FINRA Arbitration: How One Advisor’s Fight Cleared His Record of an Old Annuity Claim
The High Cost of RIA Compliance Oversight: A Cautionary Tale
CFP Board vs. BrokerCheck: A Battle for Advisor Fairness
Why a “Dismissed” Claim Isn’t Enough: A Virginia Advisor’s Fight to Expunge His BrokerCheck Record
Launch Your Independent RIA with Trusted Regulatory & Business Support
FINRA Arbitration: How One Advisor’s Fight Cleared His Record of an Old Annuity Claim
The High Cost of RIA Compliance Oversight: A Cautionary Tale
CFP Board vs. BrokerCheck: A Battle for Advisor Fairness
Why a “Dismissed” Claim Isn’t Enough: A Virginia Advisor’s Fight to Expunge His BrokerCheck Record
Cybersecurity Protection
Cybersecurity Protection
Cybersecurity Protection
AdvisorLaw's CyberProtection service safeguards your RIA from cyber threats. As cybersecurity regulations tighten, a robust protection strategy is essential. Our service builds a comprehensive program tailored to your firm's specific needs, addressing critical areas like staff training, computer security, and data protection. By partnering with AdvisorLaw, you gain access to expert guidance and a personalized approach that simplifies the complex world of cybersecurity.
AdvisorLaw's CyberProtection service safeguards your RIA from cyber threats. As cybersecurity regulations tighten, a robust protection strategy is essential. Our service builds a comprehensive program tailored to your firm's specific needs, addressing critical areas like staff training, computer security, and data protection. By partnering with AdvisorLaw, you gain access to expert guidance and a personalized approach that simplifies the complex world of cybersecurity.
AdvisorLaw's CyberProtection service safeguards your RIA from cyber threats. As cybersecurity regulations tighten, a robust protection strategy is essential. Our service builds a comprehensive program tailored to your firm's specific needs, addressing critical areas like staff training, computer security, and data protection. By partnering with AdvisorLaw, you gain access to expert guidance and a personalized approach that simplifies the complex world of cybersecurity.
Frequently Asked Questions
Frequently Asked Questions
We offer tailored, flat-rate, ongoing regulatory compliance solutions for both SEC and state-registered RIAs. Our services are designed to flex and scale with your firm's specific needs, providing proactive strategies to minimize business risk and help you facilitate optimal compliance. This includes expert guidance and education, helping you stay ahead in a constantly evolving regulatory landscape.
Outsourcing your CCO to our expert compliance team provides meticulous oversight, from document reviews to drafting filings and handling regulatory exams, all without the significant cost of hiring an in-house employee. You gain access to professionals with years of industry experience, allowing you to alleviate risk, save on payroll and benefits, and dedicate your efforts to building client relationships and managing wealth.
Nexus is our proprietary enterprise platform designed to centralize crucial compliance tasks into one streamlined system. It is only available to clients utilizing our OCCO-Lite and OCCO compliance tiers. This platform automates workflows and furnishes vital insights, enabling our CCOs to efficiently manage your compliance obligations. By using Nexus, we can enhance your operations, minimize administrative burdens, and concentrate on delivering quality service while adhering to regulatory standards.
Frequently Asked Questions
Do you have questions about RIA compliance, navigating SEC or state regulations, or the process of RIA registration and setup? This FAQ dives into some of the most frequently asked questions from financial professionals like you, providing clarity on these important matters.
We offer tailored, flat-rate, ongoing regulatory compliance solutions for both SEC and state-registered RIAs. Our services are designed to flex and scale with your firm's specific needs, providing proactive strategies to minimize business risk and help you facilitate optimal compliance. This includes expert guidance and education, helping you stay ahead in a constantly evolving regulatory landscape.
Outsourcing your CCO to our expert compliance team provides meticulous oversight, from document reviews to drafting filings and handling regulatory exams, all without the significant cost of hiring an in-house employee. You gain access to professionals with years of industry experience, allowing you to alleviate risk, save on payroll and benefits, and dedicate your efforts to building client relationships and managing wealth.
Nexus is our proprietary enterprise platform designed to centralize crucial compliance tasks into one streamlined system. It is only available to clients utilizing our OCCO-Lite and OCCO compliance tiers. This platform automates workflows and furnishes vital insights, enabling our CCOs to efficiently manage your compliance obligations. By using Nexus, we can enhance your operations, minimize administrative burdens, and concentrate on delivering quality service while adhering to regulatory standards.
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).
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).
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.
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.
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.