Ease your compliance demands, minimize business risk, & get back to work.
Three levels of flat-rate compliance support are designed to flex and scale with your RIA’s needs.
Ease your compliance demands, minimize business risk, & 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
Your Complete
RIA 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 ensures not only immediate compliance but also deep, lasting understanding through expert guidance and education. Trust us to keep you ahead in a constantly evolving landscape.
What Our Clients Say
-
“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⭐⭐⭐⭐⭐
-
“I was very happy will the level of service I received and the results. Was worth every penny to hire this firm. I highly recommend.”
– Ted Peroulakis⭐⭐⭐⭐⭐
-
“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⭐⭐⭐⭐⭐
-
“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⭐⭐⭐⭐⭐
-
“The team at Advisor Law is great!”
– Kevin Pentz⭐⭐⭐⭐⭐
-
“Hard working group of folks assisting me in matters of expertise, on their end, with an emphasis on results.”
– Rob Ryan⭐⭐⭐⭐⭐
What Our Clients Say About Us
-
“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⭐⭐⭐⭐⭐
-
“I was very happy will the level of service I received and the results. Was worth every penny to hire this firm. I highly recommend.”
– Ted Peroulakis⭐⭐⭐⭐⭐
-
“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⭐⭐⭐⭐⭐
-
“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⭐⭐⭐⭐⭐
-
“The team at Advisor Law is great!”
– Kevin Pentz⭐⭐⭐⭐⭐
-
“Hard working group of folks assisting me in matters of expertise, on their end, with an emphasis on results.”
– Rob Ryan⭐⭐⭐⭐⭐
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.
Assets
Protected
Assets
Protected
Meet Your Experts
Kimberly Anderson
RIA Lead Admin
& Nexus Specialist
Noah Baum
RIA Administrative
Law Assistant
Christina Duncan
RIA Compliance Analyst
Wren Green
RIA Lead
Compliance Analyst
Marcia Guadagni
RIA Account Development Representative
Joel Hergenreter
RIA Compliance Analyst
Michael James
RIA Compliance Analyst
Amy Luna
RIA Account Development
Representative
Christopher Marks
RIA Compliance Analyst
Timothy Monaco
Director of RIA Development
Anthony Novelle
RIA M&A Account
Development
Courtney Raymond
Director of RIA Development
Ruth Thortvedt
RIA Compliance Analyst
Chris Sandbach
RIA Account Development Representative
Katie Smith
RIA Compliance Analyst
Marcia Guadagni
RIA Account Development Representative
Joel Hergenreter
RIA Compliance Analyst
Michael James
RIA Compliance Analyst
Amy Luna
RIA Account Development
Representative
Elizabeth Manteau
Senior RIA
Compliance Analyst
Christopher Marks
RIA Compliance Analyst
Timothy Monaco
Director of RIA Development
Anthony Novelle
RIA M&A Account
Development
Courtney Raymond
Director of RIA Development
Nathan Roberson, J.D.
Contract Specialist Associate
Ruth Thortvedt
RIA Compliance Analyst
Katie Smith
RIA Compliance Analyst
Molly Wheeler
RIA Compliance Analyst
Meet Your Experts
Wren Green
RIA Lead
Compliance Analyst
Marcia Guadagni
RIA Account Development Representative
Joel Hergenreter
RIA Compliance Analyst
Michael James
RIA Compliance Analyst
Amy Luna
RIA Account Development
Representative
Elizabeth Manteau
Senior RIA
Compliance Analyst
Christopher Marks
RIA Compliance Analyst
Timothy Monaco
RIA Compliance Analyst
Anthony Novelle
RIA M&A Account Development
Courtney Raymond
Director of RIA
Development
Nathan Roberson, J.D.
Contract Specialist Associate
Ruth Thortvedt
RIA Compliance Analyst
Chris Sandbach
RIA Account Development Representative
Katie Smith
RIA Compliance Analyst
Molly Wheeler
RIA Compliance Analyst
Meet Your Experts
Kimberly Anderson
RIA Lead Admin
& Nexus Specialist
Noah Baum
RIA Administrative
Law Assistant
Christina Duncan
RIA Compliance Analyst
Wren Green
RIA Lead
Compliance Analyst
Marcia Guadagni
RIA Account Development Representative
Joel Hergenreter
RIA Compliance Analyst
Michael James
RIA Compliance Analyst
Amy Luna
RIA Account
Development
Representative
Elizabeth Manteau
Senior RIA
Compliance Analyst
Christopher Marks
RIA Compliance Analyst
Timothy Monaco
RIA Compliance Analyst
Anthony Novelle
RIA M&A Account
Development
Courtney Raymond
Director of
RIA Development
Nathan Roberson, J.D.
Contract Specialist Associate
Ruth Thortvedt
Katie Smith
Molly Wheeler
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.
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
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. We aim to provide peace of mind while ensuring your firm is well-protected.
Frequently Asked Questions
As your AdvisorLaw RIA compliance team will include both a compliance expert and a securities attorney, we can replace your current law firm for all regulatory matters. We will never tell you that you must consult with an outside attorney to verify our advice. Additionally, our attorneys can draft all RIA agreements, handle litigation, and defend against industry disputes.
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.
If you’ve been terminated, AdvisorLaw will interface with regulators upon your termination and escort your application through the registration process to provide you with the best chance for a good outcome.
AdvisorLaw suggests that a typical RIA takes approximately 8-12 weeks to form. However, there are multiple factors that may speed up or slow down the process.
RIA registration is private, and the information will be unavailable to your current firm. AdvisorLaw will leave your RIA launch date open until you resign, and we’ll make your new firm effective the following day, to avoid overlapping employment.
AdvisorLaw clients range from solo-shops to medium-sized RIAs.
Yes. AdvisorLaw compliance teams include both certified compliance experts and securities attorneys. As your AdvisorLaw RIA compliance team will include both a compliance expert and a securities attorney, we are able to replace your current law firm for all regulatory matters. We will never tell you that you must consult with an outside attorney in order to verify our advice. We draft all RIA documents, such as contracts and buy-sell agreements, as well as litigation services, regulatory defense, disclosure expungement, lien resolution, practice valuations, lending, and M&A documents.
No. Our ongoing RIA compliance is done at a flat rate, which includes year-round attorney consultation. We would rather make small, preventative changes to your compliance than put your firm at risk of an audit