RIA Compliance Services
RIA Compliance Services
RIA Compliance Services
Four Tiers. Two Paths. One Strategic Fit.
Four Tiers. Two Paths. One Strategic Fit.
Four Tiers. Two Paths. One Strategic Fit.
Compliance isn't one-size-fits-all. We’ve streamlined our compliance services into a flexible framework designed to meet your firm exactly where it is today—and scale with you tomorrow. Your compliance journey depends on who holds ultimate accountability. We map our support along two clear tracks:
Choose Your Path
PATH 01
You retain the CCO role. We provide the blueprint.
PATH 02
Outsourced Compliance
We share the responsibility and handle the heavy lifting.
Designed for firms looking to completely eliminate the time drain, operational overhead, and regulatory complexities of managing compliance internally. We step in to manage the program and transfer accountability to our experts.
Whether you choose Supported or Outsourced compliance, our services scale across four distinct tiers based on the asset size, complexity, and specific regulatory demands of your business. Want to see the exact side-by-side feature matrix? Download our Strategic Fit & Tier Guide (PDF) to explore the specific breakdowns of our four tiers, or Schedule a Fit Assessment with our team to find your perfect strategic match.
& Tier Guide (PDF)
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⭐⭐⭐⭐⭐
Meet Your Experts
Meet Your Experts
Meet Your Experts
Noah Baum
Executive Assistant
Amy Luna
Account Development
Representative
Jamie Nicolas
Compliance Coordinator
Ainsley Norman
Nexus Specialist
Meet Your Experts
Meet Your Experts
Noah Baum
Executive Assistant
Amy Luna
Account
Development
Representative
Jamie Nicolas
Compliance Coordinator
Ainsley Norman
Nexus Specialist
Technology & Security Options
Technology &
Security Options
Technology & Security Options
01
Nexus Enterprise Platform (Included with Outsourced CCO Tiers): For firms utilizing our Outsourced CCO (OCCO) tiers, your operations are powered by our Nexus platform. Nexus centralizes crucial compliance tasks into one streamlined system, automating workflows and delivering vital insights so you can focus on your clients while we handle the regulatory standards. Learn more.
01
Nexus Enterprise Platform (Included with Outsourced CCO Tiers): For firms utilizing our Outsourced CCO (OCCO) tiers, your operations are powered by our Nexus platform. Nexus centralizes crucial compliance tasks into one streamlined system, automating workflows and delivering vital insights so you can focus on your clients while we handle the regulatory standards. Learn more.
CyberProtection (Available Add-On): Looking to secure your infrastructure even further? Our dedicated CyberProtection service is available as a separate add-on to safeguard your firm from increasing cyber threats and tightening data regulations, no matter which tier you choose. Learn more.
02
CyberProtection (Available Add-On): Looking to secure your infrastructure even further? Our dedicated CyberProtection service is available as a separate add-on to safeguard your firm from increasing cyber threats and tightening data regulations, no matter which tier you choose. Learn more.
California Financial Advisor Wins FINRA Expungement of False Unsuitability Claim
RIA Compliance Blind Spot: The Risk Of A Generic IAR Agreement
Texas Financial Advisor Wins FINRA Expungement of False Solicitation Allegation
SEC Regulation S-P Modernization: June 2026 RIA Deadline Guide
Modernizing FINRA Arbitration: The Looming Threat to Form U5 Expungement
California Financial Advisor Wins FINRA Expungement of False Unsuitability Claim
RIA Compliance Blind Spot: The Risk Of A Generic IAR Agreement
Texas Financial Advisor Wins FINRA Expungement of False Solicitation Allegation
SEC Regulation S-P Modernization: June 2026 RIA Deadline Guide
Modernizing FINRA Arbitration: The Looming Threat to Form U5 Expungement
California Financial Advisor Wins FINRA Expungement of False Unsuitability Claim
RIA Compliance Blind Spot: The Risk Of A Generic IAR Agreement
Texas Financial Advisor Wins FINRA Expungement of False Solicitation Allegation
SEC Regulation S-P Modernization: June 2026 RIA Deadline Guide
Modernizing FINRA Arbitration: The Looming Threat to Form U5 Expungement
Frequently Asked Questions
Frequently Asked Questions
Frequently Asked Questions
What types of RIA compliance support do you offer for SEC and state-registered firms?
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 maintain optimal compliance. This includes expert guidance and education, so you stay ahead in a constantly evolving regulatory landscape.
What client information
can I legally take?
We guide you through the
"5 pieces of data" rule to ensure compliance.
What client information
can I legally take?
We guide you through the
"5 pieces of data" rule to ensure compliance.
How do I resign from a non-protocol firm?
We build a "black box" strategy to help you defend against immediate TRO (temporary restraining order) filings.
How do I resign from a non-protocol firm?
We build a "black box" strategy to help you defend against immediate TRO (temporary restraining order) filings.
How can outsourcing my Chief Compliance Officer (CCO) benefit my RIA?
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 an average of over 20 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.
What is the Nexus enterprise platform and how does it streamline RIA compliance?
Nexus is our proprietary enterprise platform designed to centralize crucial compliance tasks into one streamlined system. It automates workflows and furnishes vital insights, enabling RIAs to efficiently manage their compliance obligations. By using Nexus, firms can enhance their operations, minimize administrative burdens, and concentrate on delivering top-tier client service while adhering to regulatory standards.
What cybersecurity protection services do you provide for RIAs?
Our CyberProtection service builds a comprehensive program tailored to your firm's specific needs to safeguard your RIA from increasing cyber threats and tightening regulations. We address critical areas such as staff training, computer security, and data protection. Partnering with us provides expert guidance and a personalized approach to simplify the complex world of RIA cybersecurity.
What client information
can I legally take?
We guide you through the
"5 pieces of data" rule to ensure compliance.
What client information
can I legally take?
We guide you through the
"5 pieces of data" rule to ensure compliance.
How do I resign from a non-protocol firm?
We build a "black box" strategy to help you defend against immediate TRO (temporary restraining order) filings.
How do I resign from a non-protocol firm?
We build a "black box" strategy to help you defend against immediate TRO (temporary restraining order) filings.
Do you offer specialized compliance solutions for private funds?
We provide comprehensive, full-service fund formation and ongoing compliance solutions for a variety of private fund structures. Whether you're launching a liquid strategy, building a private equity vehicle, or testing an incubator fund, we guide you through the entire process. This includes entity setup (LLC or LP formation), preparing essential documents like the Private Placement Memorandum (PPM), Subscription Agreement, and Limited Partnership (LP) Agreement or Operating Agreement, as well as all necessary SEC Form D and Blue Sky filings. We also cater to Exempt Reporting Advisers (ERAs), Registered Investment Advisers (RIAs), Commodity Pool Operators (CPOs), and Commodity Trading Advisors (CTAs), and can seamlessly launch new funds within existing structures.
Frequently Asked Questions
Frequently Asked Questions
Frequently Asked Questions
What types of RIA compliance support do you offer for SEC and state-registered firms?
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 maintain optimal compliance. This includes expert guidance and education, so you stay ahead in a constantly evolving regulatory landscape.
What client information
can I legally take?
We guide you through the
"5 pieces of data" rule to ensure compliance.
What client information
can I legally take?
We guide you through the
"5 pieces of data" rule to ensure compliance.
How do I resign from a non-protocol firm?
We build a "black box" strategy to help you defend against immediate TRO (temporary restraining order) filings.
How do I resign from a non-protocol firm?
We build a "black box" strategy to help you defend against immediate TRO (temporary restraining order) filings.
How can outsourcing my Chief Compliance Officer (CCO) benefit my RIA?
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 an average of over 20 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.
What is the Nexus enterprise platform and how does it streamline RIA compliance?
Nexus is our proprietary enterprise platform designed to centralize crucial compliance tasks into one streamlined system. It automates workflows and furnishes vital insights, enabling RIAs to efficiently manage their compliance obligations. By using Nexus, firms can enhance their operations, minimize administrative burdens, and concentrate on delivering top-tier client service while adhering to regulatory standards.
What cybersecurity protection services do you provide for RIAs?
Our CyberProtection service builds a comprehensive program tailored to your firm's specific needs to safeguard your RIA from increasing cyber threats and tightening regulations. We address critical areas such as staff training, computer security, and data protection. Partnering with us provides expert guidance and a personalized approach to simplify the complex world of RIA cybersecurity.
What client information
can I legally take?
We guide you through the
"5 pieces of data" rule to ensure compliance.
What client information
can I legally take?
We guide you through the
"5 pieces of data" rule to ensure compliance.
How do I resign from a non-protocol firm?
We build a "black box" strategy to help you defend against immediate TRO (temporary restraining order) filings.
How do I resign from a non-protocol firm?
We build a "black box" strategy to help you defend against immediate TRO (temporary restraining order) filings.
Do you offer specialized compliance solutions for private funds?
We provide comprehensive, full-service fund formation and ongoing compliance solutions for a variety of private fund structures. Whether you're launching a liquid strategy, building a private equity vehicle, or testing an incubator fund, we guide you through the entire process. This includes entity setup (LLC or LP formation), preparing essential documents like the Private Placement Memorandum (PPM), Subscription Agreement, and Limited Partnership (LP) Agreement or Operating Agreement, as well as all necessary SEC Form D and Blue Sky filings. We also cater to Exempt Reporting Advisers (ERAs), Registered Investment Advisers (RIAs), Commodity Pool Operators (CPOs), and Commodity Trading Advisors (CTAs), and can seamlessly launch new funds within existing structures.
Request a Private Consultation
Request a Private Consultation