It isn’t a matter of if, it is a matter of when. Every firm at some point in time will be audited by their state or federal regulator. Are you prepared?? https://lnkd.in/e7Ac8MNw #RIAcompliance #SEC #Compliance #MyRIALawyer #ComplianceNerd
My RIA Lawyer
Legal Services
Alpharetta, Georgia 10,883 followers
We help advisory firms navigate the legal complexities of the RIA world.
About us
You work hard to grow your business and create the life of your dreams. Now you need to protect it. We are attorneys focused exclusively on protecting the businesses and lifestyles of financial advisers from abusive regulators. It is our passion and sole niche. Located in Atlanta near SunTrust Park, we represent clients throughout the United States. We provide services to serve your firm- from RIA registration to ongoing compliance services to legal defense against client complaints and regulatory actions. Choosing An Experienced RIA Lawyer Is A Wise Decision My RIA Lawyer has a proven record of protecting financial advisers by helping them create strong compliance systems and empowering them to fight back when regulators threaten their business and livelihood. We are ready to support your business so that you can focus on the best use of your time- helping as many investors as possible. Personal attention is central to our mission. Our goal is to keep nosy regulators out of your business and out of your wallet. When we aren’t helping firms avoid regulators by putting in place robust compliance systems, we are vigorously defending them against client and regulatory actions.
- Website
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http://www.myrialawyer.com
External link for My RIA Lawyer
- Industry
- Legal Services
- Company size
- 2-10 employees
- Headquarters
- Alpharetta, Georgia
- Type
- Privately Held
- Founded
- 2017
- Specialties
- registered investment adviser, RIA, FINRA, SEC, securities, compliance, RIA registration, ongoing compliance, financial services, and investment advisers
Locations
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Primary
44 Milton Avenue
#314
Alpharetta, Georgia 30009, US
Employees at My RIA Lawyer
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Leila Shaver
Owner of My RIA Lawyer, Outsourced CCO and General Counsel to SEC registered firms, Securities Attorney, Compliance Nerd, Speaker, Educator, Lip-sync…
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Amber Davis
Securities & Advisory Registrations Specialist, Insurance Licensing Specialist, Customer Service Driven
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Ashley Zellers
Director of Operations at My RIA Lawyer
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Josh Campie
Client Services Manager
Updates
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🚨 Let's talk about OFF CHANNEL COMMUNICATIONS. 🚨 Check out this press release from the SEC regarding 16 firms to pay more than $81 million combined to settle charges for widespread recordkeeping failures related to off channel (as in not approved) communications... https://lnkd.in/e8q2v8J6 #RIAcompliance #SEC #Compliance #MyRIALawyer #ComplianceNerd #PressRelease
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My RIA Lawyer reposted this
Owner of My RIA Lawyer, Outsourced CCO and General Counsel to SEC registered firms, Securities Attorney, Compliance Nerd, Speaker, Educator, Lip-sync enthusiast
Know someone that is looking for the next breakthrough speaker at their event, conference or continuing education event? I am currently booking opportunities for the end of 2024 and start of 2025, and would love nothing more than to totally change the way a room of finance professionals view compliance. I have extensive experience guiding start-ups as well as acting as the CCO or general counsel to RIAs BDs and TAMPs with billions of dollars in assets under their management. Having spoken this year at events such as: KITCES IAR Ethics Continuing Education Day Fearless Investing Summit Invest in Women Conference Next Level Tax Planning Summit FPA Greater Kansas City Dimensional Fund Advisors Deals & Succession Conference So if you or someone you know is hosting an event and wants to hear how compliance isn’t just a necessary checklist item for your business but also how it can become the lead growth department for your firm then contact me today.
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Now is the time to upgrade!! https://lnkd.in/eE889TKi
Our Compliance Services // #myrialawyer
https://www.youtube.com/
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Let's talk Director of Operations, CEO's, HR, etc. These people usually don’t have compliance experience or interest in this. They probably aren’t looking at rule releases every day. They probably aren’t thinking proactively. They probably aren't reviewing the policies and procedures regularly. That's why you need #outsourcedcompliance. Let us take care of what WE know BEST so you can focus on what YOU know BEST! https://lnkd.in/ex8MagYX #RIAcompliance #SEC #Compliance #MyRIALawyer #ComplianceNerd
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Hey everyone, it's Leila, your favorite compliance nerd. And I want to talk to you about something super duper important! Let me know your thoughts after you check out this video - I love to hear from YOU! https://lnkd.in/ev-nff6y
Outsourced Compliance Department Services // #myrialawyer
https://www.youtube.com/
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Have you ever caught yourself thinking " I don't need insurance, I've never been in an accident"... some business owners have this same mindset when it comes to #compliance. Is it worth risking your business, your employees, your family time, etc? You are risking A LOT by not taking things seriously. Simply put, you can’t focus on growth if you’re focused on compliance. That's where we come in. Let us take care of #compliance so you can focus on business. https://lnkd.in/ex8MagYX #RIAcompliance #SEC #Compliance #MyRIALawyer #ComplianceNerd
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Are you an owner of an RIA? Are you afraid of cybersecurity, or lack thereof, in your firm? And how someone could expose you and all of your client's data? The good news is, there is help for you!! https://lnkd.in/e6PWCsyU
Challenges RIAs Face// #myrialawyer
https://www.youtube.com/