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My RIA Lawyer

Law firm providing Commodity Trading Advisor services for NFA registration and ongoing compliance. Handles CTA regulatory obligations including annual requirements, books and records, business continuity, cybersecurity, disclosure, reporting, sales practices, self-examination, and supervision requirements.

Overview

Pricing Model
custom
Founded
2017

Products & Services

Outsourced Compliance Department

compliance-service

Full outsourced compliance services including CCO, filings, audits, and regulatory engagement for RIA firms

  • Outsourced CCO
  • Annual amendments
  • Compliance audits
  • Regulatory defense
  • Policy drafting
Learn more

RIA Registration

legal-service

Complete RIA registration with SEC or state authorities including compliance program setup and all documentation

  • SEC/State registration
  • ADV preparation
  • Compliance document creation
  • Client agreement drafting
Learn more

RIA Compliance University

education

On-demand compliance courses, downloadable templates, quarterly live events, and community access for RIAs

Free tier available Introduction to RIA Compliance course is free
  • On-demand courses
  • Downloadable templates
  • Quarterly live events
  • Community forum
  • Regulatory updates
Learn more

SEC Mock Examination

compliance-service

Simulated SEC examination to identify compliance weaknesses before actual regulatory exam

  • On-site and off-site exams
  • Records review
  • Deficiency identification
  • Remediation guidance
Learn more
Bundle available - Outsourced Compliance Department Plus bundles multiple services off

Company Information

Legal Name
My RIA Lawyer
Headquarters
Alpharetta, Georgia, United States
Team Size
15
Primary Timezone
America/New_York

Founding

Founded
2017
Founder
Leila Shaver
Background
Securities attorney with 14+ years experience, outsourced CCO and General Counsel to SEC registered firms, speaker and educator

Competitive Analysis

Proposition: Only law firm exclusively focused on RIA compliance; combines legal and compliance under one roof

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