​AdvisorLaw only
represents financial
advisors and wealth
managers.


We defend your reputation,
protect your business, and
help you grow into your goals.

​*AdvisorLaw is not a law firm and
does  not provide legal services.


COMPLIMENTARY
consultation

Protecting Your Livelihood.

Uncompromising Defense & Cutting-Edge Compliance that Fosters Long-Lasting Value.

2,000+

DEFENSE CASES

3,000+

ADVISOR CLIENTS

$50B

OF ASSETS 

​*AdvisorLaw is not a law firm and does not provide legal services.

FINRA  |  Brokers

Is your career suffering from inaccurate or unfair FINRA disclosures on BrokerCheck, IAPD, IARD, or CRD? You're not alone. Millions of investors visit these platforms each year, and negative marks can cost you clients and opportunities.

AdvisorLaw's team of skilled attorneys specializes in protecting the careers of FINRA-registered brokers and financial advisors. We guide you through every step, providing comprehensive and personalized support for a wide range of issues:

  • Disclosure Expungement
  • Form U5 Termination Language Negotiation
  • FINRA Enforcement Defense
  • Tax Lien Resolution
schedule consultation
 
 

SEC & STATE  |  RIAs & IARs

Whether you're a seasoned RIA or just starting, navigating the regulatory landscape can be daunting. AdvisorLaw's team of experienced attorneys and industry specialists provides comprehensive support for State and SEC-registered investment advisors and IARs like you.

We offer a suite of services designed to streamline your operations, minimize risk, and achieve your business goals:

  • SEC or State Registration
  • Ongoing Compliance & CyberProtection
  • Private Fund Formation & Compliance
  • Outsourced Chief Compliance Officer
  • RIA Mergers & Acquistions
schedule consultation

Mergers & Acquisitions

Navigate the intricacies of RIA M&A with confidence. AdvisorLaw is your trusted partner, offering comprehensive solutions tailored to your specific needs. 

  • Thinking of expanding your reach? We guide you through the buying process, seamlessly integrating a new book of business into your existing practice.
  • Ready to transition your legacy? We expertly handle the sale of your practice, ensuring a smooth and successful transaction for you and your clients.
  • Unsure of your firm's value? We provide accurate and objective RIA business valuations, giving you the power to make informed decisions.
  • Planning for the future? We collaborate with you to develop a succession plan, ensuring your practice thrives even after your departure.

With AdvisorLaw by your side, you can unlock the full potential of M&A and achieve your RIA's long-term goals.

schedule consultation

AdvisorLaw Has Been Featured In:


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Hiring the best = worth It! I hired AdvisorLaw in early 2020 to help me remove 1 termination and 3 customer claims from my BrokerCheck page. With Covid and the economy and everything else going on, I was worried about the expense. But the disclosures on my record were doing so much damage that I knew removing them could pay for itself. Not surprisingly – AdvisorLaw got ALL of my disclosures expunged – consistent with their insanely high record of success (miles beyond any other so-called FINRA attorneys out there) and their strong reputation in the industry. You can tell how much they care about their clients and how sincerely they want to advocate on our behalf. I will absolutely return to AdvisorLaw and Doc any time I have an issue with my business or registration in the future. I have my now perfect BrokerCheck record as proof of their professionalism and effectiveness.

Sara McClain

Financial Advisor

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

Investment Adviser

I had 2 frivolous disclosures on my record and asked AdvisorLaw to help me get them removed. They were successful in both cases. My experience was they were well organized and knowledgeable and most importantly they were effective at getting the job done. I highly recommend them.

Glen Anderson

Financial Advisor

Contact us today!

Contact Form Main

​AdvisorLaw LLC
11001 W 120th Avenue, Suite 100, Broomfield, CO 80021

303-952-4025