Nexus Enterprise Platform
Integrated Solutions for RIA Compliance, Operations, and Growth.
Nexus Enterprise Platform
Nexus Enterprise Platform
Integrated Solutions for RIA Compliance, Operations, and Growth.
Streamlining the Complexity
of RIA Management
Streamlining the Complexity
of RIA Management
Streamlining the Complexity
of RIA Management
Are your staff and advisors constantly taxed by the intricate and dynamic requirements of RIA regulation? AdvisorLaw’s Nexus platform is a powerful, centralized technological solution designed to alleviate that burden. By minimizing the time and energy needed to satisfy your regulatory obligations and automate core business functions, Nexus provides management and compliance teams with unmatched control.
Our platform integrates nine different technologies into a single package, providing system-built adherence to your Form ADV and allowing seamless collaboration among your firm, your advisors, and the AdvisorLaw Compliance team.
This holistic strategy centralizes workflows, improves productivity, and significantly lowers ongoing expenses.
Are your staff and advisors constantly taxed by the intricate and dynamic requirements of RIA regulation? AdvisorLaw’s Nexus platform is a powerful, centralized technological solution designed to alleviate that burden. By minimizing the time and energy needed to satisfy your regulatory obligations and automate core business functions, Nexus provides management and compliance teams with unmatched control.
Our platform integrates nine different technologies into a single package, providing system-built adherence to your Form ADV and allowing seamless collaboration among your firm, your advisors, and the AdvisorLaw Compliance team.
This holistic strategy centralizes workflows, improves productivity, and significantly lowers ongoing expenses.
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⭐⭐⭐⭐⭐
Core Compliance &
Oversight Capabilities
Core Compliance &
Oversight Capabilities
Core Compliance &
Oversight Capabilities
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.
The regulatory landscape facing RIAs has changed dramatically, demanding superior oversight. Nexus addresses this with a user-management system that gives compliance analysts full access while providing advisors with a streamlined interface, replacing unreliable spreadsheets with superior monitoring capabilities.
Nexus’s compliance and supervision modules are powered by sophisticated, integrated, and customizable rule sets, including AML capabilities (FinCen OFAC, KYC), over 150 detailed reports, and advanced surveillance exceptions and reporting. Key supervision features include risk-based transaction review (Smart Blotter™), IAR and firm state-registration checks on every transaction, and various custom alerts covering issues like reverse churning, asset concentration, and fee misalignment.
The regulatory landscape facing RIAs has changed dramatically, demanding superior oversight. Nexus addresses this with a user-management system that gives compliance analysts full access while providing advisors with a streamlined interface, replacing unreliable spreadsheets with superior monitoring capabilities.
Nexus’s compliance and supervision modules are powered by sophisticated, integrated, and customizable rule sets, including AML capabilities (FinCen OFAC, KYC), over 150 detailed reports, and advanced surveillance exceptions and reporting. Key supervision features include risk-based transaction review (Smart Blotter™), IAR and firm state-registration checks on every transaction, and various custom alerts covering issues like reverse churning, asset concentration, and fee misalignment.
The regulatory landscape facing RIAs has changed dramatically, demanding superior oversight. Nexus addresses this with a user-management system that gives compliance analysts full access while providing advisors with a streamlined interface, replacing unreliable spreadsheets with superior monitoring capabilities.
Nexus’s compliance and supervision modules are powered by sophisticated, integrated, and customizable rule sets, including AML capabilities (FinCen OFAC, KYC), over 150 detailed reports, and advanced surveillance exceptions and reporting. Key supervision features include risk-based transaction review (Smart Blotter™), IAR and firm state-registration checks on every transaction, and various custom alerts covering issues like reverse churning, asset concentration, and fee misalignment.
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.
The regulatory landscape facing RIAs has changed dramatically, demanding superior oversight. Nexus addresses this with a user-management system that gives compliance analysts full access while providing advisors with a streamlined interface, replacing unreliable spreadsheets with superior monitoring capabilities.
Nexus’s compliance and supervision modules are powered by sophisticated, integrated, and customizable rule sets, including AML capabilities (FinCen OFAC, KYC), over 150 detailed reports, and advanced surveillance exceptions and reporting. Key supervision features include risk-based transaction review (Smart Blotter™), IAR and firm state-registration checks on every transaction, and various custom alerts covering issues like reverse churning, asset concentration, and fee misalignment.
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.
FINRA Panel Grants Expungements Of Groundless Forgery Allegation
5 Areas Regulators Are Scrutinizing This ADV Season
FINRA Panel Awards Expungement, Erasing Meritless Complaint Over Unsolicited Outside Investment
Key Takeaways From SEC 2026 Examination Priorities
Fidelity Manager Challenges “Misleading” U5 Disclosure Over System Credential Sharing
FINRA Panel Grants Expungements Of Groundless Forgery Allegation
5 Areas Regulators Are Scrutinizing This ADV Season
FINRA Panel Awards Expungement, Erasing Meritless Complaint Over Unsolicited Outside Investment
Key Takeaways From SEC 2026 Examination Priorities
Fidelity Manager Challenges “Misleading” U5 Disclosure Over System Credential Sharing
FINRA Panel Grants Expungements Of Groundless Forgery Allegation
5 Areas Regulators Are Scrutinizing This ADV Season
FINRA Panel Awards Expungement, Erasing Meritless Complaint Over Unsolicited Outside Investment
Key Takeaways From SEC 2026 Examination Priorities
Fidelity Manager Challenges “Misleading” U5 Disclosure Over System Credential Sharing
Automating Portfolios,
Billing, & Operations
Automating Portfolios,
Billing, & Operations
Automating Portfolios,
Billing, & Operations
Nexus provides the power to automate your RIA's foundational needs, ensuring the timely completion of trade and billing-management duties while improving efficiency and control. The platform facilitates collaboration and centralized information management for building and administering specialized investment portfolio strategies, including alerts for drift and rebalancing detection.
For operational efficiency, Nexus acts as a traffic director by centralizing and streamlining tasks through a unified, task-based workflow system, integrated secure communications, and highly-configurable compliance controls. This dramatically simplifies the handling of transactions and payments, allowing your firm to focus on business growth rather than juggling data from disparate sources.
Nexus provides the power to automate your RIA's foundational needs, providing the timely completion of trade and billing-management duties while improving efficiency and control. The platform facilitates collaboration and centralized information management for building and administering specialized investment portfolio strategies, including alerts for drift and rebalancing detection.
For operational efficiency, Nexus acts as a traffic director by centralizing and streamlining tasks through a unified, task-based workflow system, integrated secure communications, and highly-configurable compliance controls. This dramatically simplifies the handling of transactions and payments, allowing your firm to focus on business growth rather than juggling data from disparate sources.
Nexus provides the power to automate your RIA's foundational needs, providing the timely completion of trade and billing-management duties while improving efficiency and control. The platform facilitates collaboration and centralized information management for building and administering specialized investment portfolio strategies, including alerts for drift and rebalancing detection.
For operational efficiency, Nexus acts as a traffic director by centralizing and streamlining tasks through a unified, task-based workflow system, integrated secure communications, and highly-configurable compliance controls. This dramatically simplifies the handling of transactions and payments, allowing your firm to focus on business growth rather than juggling data from disparate sources.
Meet Your Experts
Meet Your Experts
Noah Baum
Executive Assistant
Cody Branson
Compliance Analyst
Sara Bries
Compliance Analyst
Lindsay Fields
Compliance Analyst
Samantha Fow, J.D.
Associate Attorney
Shannon Hemphill
Compliance Analyst
Jake Jacobsen, J.D.
Senior Associate
Samira Kadam
Compliance Analyst
Joseph Keep
Compliance Analyst
Jason Kirkland
Executive Director
Taylor Lowery
Compliance Analyst
Amy Luna
Account Development
Representative
Samuel Lyman
Compliance Analyst
Liz Manteau
Senior Compliance Analyst
Janet Messer
Senior Compliance Analyst & Senior Nexus Specialist
Tim Monaco
Compliance Analyst
Kelly Myers
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
Noah Baum
Executive Assistant
Cody Branson
Compliance Analyst
Sara Bries
Compliance Analyst
Lindsay Fields
Compliance Analyst
Samantha Fow, J.D.
Associate Attorney
Shannon Hemphill
Compliance Analyst
Jake Jacobsen, J.D.
Senior Associate
Samira Kadam
Compliance Analyst
Joseph Keep
Compliance Analyst
Jason Kirkland
Executive Director
Taylor Lowery
Compliance Analyst
Amy Luna
Account
Development
Representative
Samuel Lyman
Compliance Analyst
Liz Manteau
Senior Compliance Analyst
Janet Messer
Senior Compliance Analyst & Senior Nexus Specialist
Tim Monaco
Compliance Analyst
Kelly Myers
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
Frequently Asked Questions
Frequently Asked Questions
While most software handles single tasks like archiving or task lists, Nexus is an integrated enterprise platform that combines nine different technologies into one centralized hub. It goes beyond simple "reminders" by automating the actual core business functions—integrating your portfolio data, billing, and advisor communications directly with your compliance requirements. This eliminates the need for a "patchwork" of disjointed apps and provides a single, unified source of truth for your entire firm.
Absolutely. Nexus is engineered to be scalable. For smaller firms, it acts as a "force multiplier," allowing a lean staff to manage complex regulatory burdens that would otherwise require an in-house employee. For larger firms with billions in AUM, it provides the sophisticated reporting, AML (FinCen/OFAC) capabilities, and advanced surveillance exceptions needed to maintain oversight across multiple locations and a high volume of transactions.