You have no idea the amount of business owners that I have spoken to in the past few years who are afraid to take a holiday. To be honest, I used to be one of them as well. Why are business owners scared to take holidays? The most common is they are afraid that their business is going to completely collapse in their absence. Does this sound like you?? https://lnkd.in/eD4dqaef
My RIA Lawyer
法律服务
Alpharetta，Georgia 10,984 位关注者
We help advisory firms navigate the legal complexities of the RIA world.
关于我们
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.
- 网站
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https://www.myrialawyer.com
My RIA Lawyer的外部链接
- 所属行业
- 法律服务
- 规模
- 2-10 人
- 总部
- Alpharetta，Georgia
- 类型
- 私人持股
- 创立
- 2017
- 领域
- registered investment adviser、RIA、FINRA、SEC、securities、compliance、RIA registration、ongoing compliance、financial services和investment advisers
地点
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主要
获取路线
44 Milton Avenue
#314
US，Georgia，Alpharetta，30009
My RIA Lawyer员工
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Trina L Glass
Counsel, Managing Attorney
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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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Josh Campie
Client Services Manager
动态
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Very excited to announce that our very own, Leila Shaver will be speaking at 2025's Exchange Conference!! Will we see you there? ?? Check out the speaker line-up & register here: https://lnkd.in/gQ6tYKGs
Extremely pleased to announce a few more exceptional talents joining Exchange's 2025 speaker lineup: ?? David Kelly, Chief Global Strategist &?Jon Maier, Chief ETF Strategist, both from J.P. Morgan Asset Management ?? Dominic Rizzo, Global Technology Portfolio Manager at T. Rowe Price ?? Kyla Scanlon, dynamic founder of Bread, author of?"In This Economy?"?and?Kyla's Newsletter?on Substack ?? Leila Shaver, founder of My RIA Lawyer, self-confessed compliance nerd, and every savvy financial advisor's best friend ?? Andrew Tudor, CFP?, CAP Tudor, CFP, CAP, Investment Advisor for red-hot Zenith Wealth Partners Many more brilliant voices to be announced soon. Details on these speakers, their sessions and the event itself can be found on our Exchange website where you can also ?? register ?? to join us March 23-26, 2025 in fabulous Las Vegas. #VettaFi #RIA #LasVegasAdvisors #CFP #CFA #FPA #ETF William Roach Jason Ray Andrew J. Stout, WMS? Marguerita (Rita) Cheng, CFP? Diana Kahn, CFP? Jessica Saunders, CFP?, CDFA? Christine Kalivas, CFP?, CDFA? Jonathan Wright, MBA Ethan Powell CFA CPA
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Have you checked out our new videos on Off Channel Communications? Here is Part 1- https://lnkd.in/ebFAY5kg hashtag #myrialawyer hashtag #offchannelcommunications
[Part 1] Off Channel Communications // #myrialawyer
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Owner of My RIA Lawyer, Outsourced CCO and General Counsel to SEC registered firms, Securities Attorney, Compliance Nerd, Speaker, Educator, Lip-sync enthusiast
? Nov 2024 Oct 2024 Sept 2024 August 2024 July 2024 June 2024 May 2024 April 2024 Monthly Insights SEC Audit Requirements: Essential Preparation for RIAs 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. Understanding SEC and state audits and their requirements is crucial for Registered Investment Advisors (RIAs) to navigate the regulatory landscape effectively. Learn More: https://lnkd.in/etwEYQUj
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Let's talk about a very important topic... Legal Support! https://lnkd.in/eBnUFNhx
Looking To Get Flexible?? // #myrialawyer
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Owner of My RIA Lawyer, Outsourced CCO and General Counsel to SEC registered firms, Securities Attorney, Compliance Nerd, Speaker, Educator, Lip-sync enthusiast
Are you a firm managing over $1 billion in assets and struggling to manage your compliance program? It's time to lighten your workload and streamline your operations with our Outsourced Compliance Department service. For less than the cost of hiring a compliance officer in-house, you'll have access to a dedicated team of compliance experts who will handle all aspects of your compliance program. From cleaning up your current processes to conducting regular testing and providing ongoing management and training, we've got you covered. With our high-touch approach and commitment to excellence, you can trust that your firm's compliance needs are in good hands. Don't let compliance overwhelm you—partner with us and experience peace of mind knowing that your firm is in compliance. Contact us today on 770-462-2118 to learn more about our Outsourced Compliance Department service and take the first step towards a more efficient and compliant firm. Our books have just opened for December and with only 2 spots remaining they will disappear quickly! #compliance #ccooncall #outsourcedcompliance
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?? Happy Halloween from My RIA Lawyer! ?? This spooky season, don’t let compliance nightmares haunt your firm! ?? Just as you prepare for trick-or-treaters, it’s essential to prepare your compliance program to ward off potential risks and liabilities. Wishing you a safe and compliant Halloween! #Halloween #Compliance #MyRIALawyer #RiskManagement
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?? Let's Talk Risk Mitigation ?? In today’s complex business world, effective risk mitigation is key to long-term success. One critical element often overlooked? The collaboration between leadership and legal counsel. It’s not just about updating documents—it’s about understanding the risks and impacts of decisions on your entire organization. At My RIA Lawyer, we foster this collaborative approach to empower our clients to make informed choices that protect their interests and drive growth. Let’s build a resilient future together! ?? #RiskMitigation #Leadership #LegalCounsel #MyRIALawyer
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?? Exciting Opportunity! ?? We're thrilled to announce that My RIA Lawyer will be hosting a workshop in the new year, and we want YOU to be part of it! ?? Seeking Sponsors ?? Help us make this event FREE for all attendees! Your support will help us provide valuable insights and resources to our community. Join us in making a difference! If you're interested in sponsoring, please reach out to us for more details. [email protected] Together, let's empower our community! ?? https://lnkd.in/eQcTzsjS #MyRIALawyer #Workshop #Sponsorship #CommunitySupport #FinancialServices
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?? Important Update for RIAs! ?? Last Spring, the SEC considered a rule requiring RIAs to have written business continuity and transition plans to protect clients from disruptions. While this rule has been withdrawn, it underscores the growing concern about the preparedness of aging advisors nearing retirement. Stay informed and proactive! https://lnkd.in/eQcTzsjS #RIA #SEC #BusinessContinuity #RetirementPlanning
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