Outsourced Chief Compliance Officer Services for RIAs
Ease your compliance demands, minimize business risk, and get back to work.
Outsourcing An RIA Chief Compliance Officer (CCO)
Expertise, Platform,
& Peace of Mind
Expertise, Platform, & Peace of Mind
Expertise, Platform,
& Peace of Mind
Rather than incurring the $150,000+ annual cost of hiring a dedicated in-house Chief Compliance Officer (CCO), many small, high-performing RIAs are wisely choosing AdvisorLaw's Outsourced CCO (OCCO) model. An outsourced compliance officer model brings experienced and knowledgeable specialists onto your team to capably address complex regulatory and operational challenges.
This cost-effective solution provides a dedicated senior compliance analyst who becomes an integral part of your team, all for a flat monthly fee that qualifies as a professional services tax deduction. Outsourced CCO services prioritize consistent compliance for your firm while offering additional benefits in terms of budgeting and cost.
You don't just get a CCO with compliance officer outsourcing; you gain the collective knowledge and experience of our entire support team. And, your organization benefits from continuous, audit-ready compliance via our proprietary Nexus Compliance Platform.
With our RIA division overseeing over $70 billion in collective AUM, we take the regulatory headache out of compliance so you can be more flexible, more focused on business growth, and experience the peace of mind that comes with reliable, expert support. Outsourced compliance for RIAs addresses regulatory needs, budgeting, costs, and business development in equal measure.
Rather than incurring the $150,000+ annual cost of hiring a dedicated in-house Chief Compliance Officer (CCO), many small, high-performing RIAs are wisely choosing AdvisorLaw's Outsourced CCO (OCCO) model. An outsourced compliance officer model brings experienced and knowledgeable specialists onto your team to capably address complex regulatory and operational challenges.
This cost-effective solution provides a dedicated senior compliance analyst who becomes an integral part of your team, all for a flat monthly fee that qualifies as a professional services tax deduction. Outsourced CCO services prioritize consistent compliance for your firm while offering additional benefits in terms of budgeting and cost.
You don't just get a CCO with compliance officer outsourcing; you gain the collective knowledge and experience of our entire support team. And, your organization benefits from continuous, audit-ready compliance via our proprietary Nexus Compliance Platform.
With our RIA division overseeing over $70 billion in collective AUM, we take the regulatory headache out of compliance so you can be more flexible, more focused on business growth, and experience the peace of mind that comes with reliable, expert support. Outsourced compliance for RIAs addresses regulatory needs, budgeting, costs, and business development in equal measure.
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⭐⭐⭐⭐⭐
Tailored Compliance Tiers: OCCO Lite & Full OCCO
Tailored Compliance Tiers:
OCCO Lite & Full OCCO
Tailored Compliance Tiers: OCCO Lite & Full OCCO
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 compliance outsourcing solutions can support a broad range of RIAs with targeted support and two distinct tiers of service. With both OCCO Lite and Full OCCO available, you can select the option that best aligns with the necessary regulatory support levels, available space in your budget, and other key considerations.
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.
As experts in SEC and state-registered RIA compliance, AdvisorLaw offers comprehensive, customizable services that range from basic programs to our most extensive solution. Our compliance solutions, OCCO Lite and OCCO, provide a seamless path for growth and regulatory peace of mind, underpinned by 20+ years of expertise and the backing of our senior attorneys. Both tiers include access to the Nexus Enterprise Platform, a single interface for managing all your compliance workflows and documents, and both reflect our commitment to Seamless Integration, Proactive Risk Mitigation, Strategic Partnership, and Tailored Support.
Service Tier | Dedicated Support | Legal Time Included | CCO Listing on Form ADV | Compliance Approval |
OCCO Lite | Compliance Analyst (CCO Designee) | 5+ hours/month | No | Internal Review |
OCCO (Premium) | Senior Compliance Analyst | 10+ hours/month | Yes (Official CCO) | Full Approval |
AdvisorLaw offers tailored, flat-rate, ongoing regulatory compliance solutions for both SEC and state-registered RIAs. Our compliance outsourcing solutions can support a broad range of RIAs with targeted support and two distinct tiers of service. With both OCCO Lite and Full OCCO available, you can select the option that best aligns with the necessary regulatory support levels, available space in your budget, and other key considerations.
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.
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.
As experts in SEC and state-registered RIA compliance, AdvisorLaw offers comprehensive, customizable services that range from basic programs to our most extensive solution. Our compliance solutions, OCCO Lite and OCCO, provide a seamless path for growth and regulatory peace of mind, underpinned by 20+ years of expertise and the backing of our senior attorneys. Both tiers include access to the Nexus Enterprise Platform, a single interface for managing all your compliance workflows and documents, and both reflect our commitment to Seamless Integration, Proactive Risk Mitigation, Strategic Partnership, and Tailored Support.
Service Tier | Dedicated Support | Legal Time Included | CCO Listing on Form ADV | Compliance Approval |
OCCO Lite | Compliance Analyst (CCO Designee) | 5+ hours/month | No | Internal Review |
OCCO (Premium) | Senior Compliance Analyst | 10+ hours/month | Yes (Official CCO) | Full Approval |
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.
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
Samantha Fow, J.D.
Associate Attorney
Wren Green
Compliance Analyst Manager
Shannon Hemphill
Compliance Analyst
Joel Hergenreter
Senior Compliance Analyst
Jake Jacobsen, J.D.
Senior Associate
Samira Kadam
Compliance Analyst
Joseph Keep
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
Tim Monaco
Compliance Analyst
Ainsley Norman
Nexus Specialist
Courtney Raymond
Director of RIA Development
Dave Reichert
Senior Compliance Analyst
Ruth Thortvedt
Senior 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
Samantha Fow, J.D.
Associate Attorney
Wren Green
Compliance Analyst Manager
Shannon Hemphill
Compliance Analyst
Joel Hergenreter
Senior Compliance Analyst
Jake Jacobsen, J.D.
Senior Associate
Samira Kadam
Compliance Analyst
Joseph Keep
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
Tim Monaco
Compliance Analyst
Ainsley Norman
Nexus Specialist
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
Compliance Management
& Strategic Benefits
Compliance Management
& Strategic Benefits
Compliance Management
& Strategic Benefits
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.
There’s no long, drawn-out process of getting a CCO up to speed or establishing the team they need to serve as effective stewards of compliance. With outsourced Chief Compliance Officer services, your team of experienced and knowledgeable professionals quickly becomes acclimated to your operations and starts serving as a valuable operational asset.
Stop letting compliance take you away from your clients. Our OCCO service means your firm offloads significant compliance work, including complex needs like filings, reviews, training, and regulatory exams. By outsourcing, you save on the significant payroll and benefits cost of an in-house employee and alleviate risk, allowing you to dedicate your efforts to building client relationships and managing wealth.
Our services cover a complete spectrum of your regulatory needs, encompassing:
- Risk Mitigation & Monitoring: Regular monitoring and testing of internal procedures, identifying, mitigating, and creating a plan to minimize future risk of violations.
- Filing & Reporting: Managing SEC and regulatory exams, filing disclosures, Form ADV adherence, and responding to custodial inquiries.
- Training & Oversight: Compliance training for IARs and firm employees, annual attestations, and vendor oversight/due diligence.
- Strategic Support (Premium Benefit): Collaboration with firm leadership for strategic planning, annual practice valuation, and access to our buyer network (available in premium tiers).
If you are struggling to balance growing your business with the constant demands of ever-changing regulations, it's time to outsource your compliance to AdvisorLaw.
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.
There’s no long, drawn-out process of getting a CCO up to speed or establishing the team they need to serve as effective stewards of compliance. With outsourced Chief Compliance Officer services, your team of experienced and knowledgeable professionals quickly becomes acclimated to your operations and starts serving as a valuable operational asset.
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.
Stop letting compliance take you away from your clients. Our OCCO service means your firm offloads significant compliance work, including complex needs like filings, reviews, training, and regulatory exams. By outsourcing, you save on the significant payroll and benefits cost of an in-house employee and alleviate risk, allowing you to dedicate your efforts to building client relationships and managing wealth.
Our services cover a complete spectrum of your regulatory needs, encompassing:
- Risk Mitigation & Monitoring: Regular monitoring and testing of internal procedures, identifying, mitigating, and creating a plan to minimize future risk of violations.
- Filing & Reporting: Managing SEC and regulatory exams, filing disclosures, Form ADV adherence, and responding to custodial inquiries.
- Training & Oversight: Compliance training for IARs and firm employees, annual attestations, and vendor oversight/due diligence.
- Strategic Support (Premium Benefit): Collaboration with firm leadership for strategic planning, annual practice valuation, and access to our buyer network (available in premium tiers).
If you are struggling to balance growing your business with the constant demands of ever-changing regulations, it's time to outsource your compliance to AdvisorLaw.
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.
Key Takeaways From SEC 2026 Examination Priorities
FINRA Awards Expungement Of Misleading Termination For Florida FA
FINRA Arbitration Panel Awards Expungement Of False Unsuitability Claim
Have You Completed Your Annual SEC Review (Rule 206(4)-7)?
Is your Form ADV Part 2 still compliant with the fiduciary duty?
Key Takeaways From SEC 2026 Examination Priorities
FINRA Awards Expungement Of Misleading Termination For Florida FA
FINRA Arbitration Panel Awards Expungement Of False Unsuitability Claim
Have You Completed Your Annual SEC Review (Rule 206(4)-7)?
Is your Form ADV Part 2 still compliant with the fiduciary duty?
Key Takeaways From SEC 2026 Examination Priorities
FINRA Awards Expungement Of Misleading Termination For Florida FA
FINRA Arbitration Panel Awards Expungement Of False Unsuitability Claim
Have You Completed Your Annual SEC Review (Rule 206(4)-7)?
Is your Form ADV Part 2 still compliant with the fiduciary duty?
Request a Private Consultation
Request a Private Consultation