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Ease your compliance demands, minimize business risk, and get back to work.

Three levels of flat-rate compliance support are designed to flex and scale with your RIA’s needs.

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Ease your compliance demands, minimize business risk, and get back to work.

Ease your compliance demands, minimize business risk, and get back to work.

Three levels of flat-rate compliance support are designed to flex and scale with your RIA’s needs.


Trust Your Compliance Solution

Trust Your 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.


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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 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, 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.

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    Meet Your Experts

    Meet Your Experts



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    Kimberly Anderson

    Lead Admin &
    Nexus Specialist

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    Michelle Atlas-Quinn, J.D.

    Vice President of RIA Operations

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    Noah Baum

    Administrative
    Law Assistant

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    Erika Binnix, J.D.

    Associate

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    Michele Dallman

    Senior Compliance Analyst

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    Christina Duncan

    Compliance Analyst

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    Jhansi Fusco, J.D.

    Associate

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    Wren Green

    Lead Compliance Analyst

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    Marcia Guadagni

    Account Development Representative

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    Joel Hergenreter

    Senior Compliance Analyst

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    Jake Jacobsen, J.D.

    ​Associate

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    Michael James

    Compliance Analyst

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    Amy Luna

    Account Development
    Representative

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    Liz Manteau

    Senior Compliance Analyst

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    Christopher Marks

    Compliance Analyst

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    Janet Messer

    Senior Compliance Analyst

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    Timothy Monaco

    Compliance Analyst

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    Joseph Read

    Compliance Analyst

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    Courtney Raymond

    Director of RIA Development

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    Dave Reichert

    Senior Compliance Analyst

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    Nathan Roberson, J.D.

    Contract Specialist Associate

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    Ruth Thortvedt

    Compliance Analyst

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    Katie Smith

    Compliance Analyst

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    Christine Weaver

    Compliance Analyst

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    Molly Wheeler

    Compliance Analyst

    Meet Your Experts

    Meet Your Experts



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    Kimberly Anderson

    Lead Admin & Nexus Specialist

    Image

    Michelle Atlas-Quinn, J.D.

    Vice President of RIA Operations

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    Noah Baum

    Administrative
    Law Assistant

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    Erika Binnix, J.D.

    Associate

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    Michele Dallman

    Senior Compliance Analyst

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    Christina Duncan

    Compliance Analyst

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    Jhansi Fusco, J.D.

    Associate

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    Wren Green

    Lead Compliance Analyst

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    Marcia Guadagni

    Account Development Representative

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    Joel Hergenreter

    Senior Compliance Analyst

    Image

    Jake Jacobsen, J.D.

    ​Associate

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    Michael James

    Compliance Analyst

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    Amy Luna

    Account
    Development
    Representative

    Elizabeth Manteau

    Liz Manteau

    Senior Compliance Analyst

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    Christopher Marks

    Compliance Analyst

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    Janet Messer

    Senior Compliance Analyst

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    Timothy Monaco

    Compliance Analyst

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    Joseph Read

    Compliance Analyst

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    Courtney Raymond

    Director of
    RIA Development

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    Dave Reichert

    Senior Compliance Analyst

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    Nathan Roberson, J.D.

    Contract Specialist Associate

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    Ruth Thortvedt

    Compliance Analyst

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    Katie Smith

    Compliance Analyst

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    Christine Weaver

    Compliance Analyst

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    Molly Wheeler

    Compliance Analyst


    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.

    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


    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.

    Schedule a complimentary consultation today!

    Schedule a complimentary consultation today!

    Schedule a complimentary
    consultation today!

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