My RIA Lawyer

My RIA Lawyer Most RIAs don’t have a compliance problem—they have a structure that won’t hold up. We fix it.

My RIA Lawyer, a division of Shaver Law Group, LLC, helps advisers create the life they want by going independent. We assist advisers who are looking to break away from an independent broker-dealer to establish a fee-only RIA firm or to start a hybrid firm by maintaining an affiliation with an independent broker-dealer. We assist advisers who are already investment adviser representatives but want

to establish their own RIA firm. We assist private equity, hedge fund, venture capital or other alternative fund managers that need to register as an RIA or exempt reporting adviser. We assist robo-advisers, those who provide online-only automated investment advisory services, that need to get registered. Once you are registered, My RIA Lawyer helps you put your compliance system in place and provides ongoing compliance and legal support so that you can finally focus on creating the life of your dreams.

If your compliance program depends on one exhausted person holding everything together, the issue is not that person’s p...
08/28/2026

If your compliance program depends on one exhausted person holding everything together, the issue is not that person’s performance. The issue is the design of the function. Billion-dollar firms need durable infrastructure: multiple layers of support, documented testing, clear escalation, attorney-led guidance and visibility for leadership. That is exactly what our Outsourced Compliance Department is built to provide.

Let’s change that. Schedule a Compliance Infrastructure Assessment.

Learn more at myrialawyer.com.

‘We have always done it this way’ can feel reassuring. In compliance, it is often a warning. Business models change. Tec...
08/26/2026

‘We have always done it this way’ can feel reassuring. In compliance, it is often a warning. Business models change. Technology changes. Marketing changes. Staff changes. Regulations and examination priorities evolve. A control that was reasonable three years ago may no longer fit the firm you operate today. Effective programs are not static. They are tested, challenged and improved.

Pressure-test the assumptions in your program.

Learn more at myrialawyer.com.

The cost of a weak compliance program is not limited to penalties. It appears in distracted leadership, rushed remediati...
08/24/2026

The cost of a weak compliance program is not limited to penalties. It appears in distracted leadership, rushed remediation, examination disruption, reputational damage, delayed transactions and reduced confidence from boards or buyers. Waiting rarely makes the work smaller. It usually makes the work more urgent, more visible and more expensive.

Address the gaps before a regulator, buyer or board does.

Learn more at myrialawyer.com.

OCD is designed to function as an extension of your firm. Depending on scope, the model can include a dedicated complian...
08/22/2026

OCD is designed to function as an extension of your firm. Depending on scope, the model can include a dedicated compliance team, attorney oversight, recurring testing, advertising review, policy maintenance, training, annual review support, books and records oversight, executive reporting, remediation workflows and ComplianceNerdOS technology. It is not one more vendor to manage. It is the compliance infrastructure your firm has been missing.

Explore My RIA Lawyer’s Outsourced Compliance Department.

Learn more at myrialawyer.com.

Today’s CCO is expected to oversee marketing, cybersecurity, privacy, books and records, vendor diligence, conflicts, te...
08/21/2026

Today’s CCO is expected to oversee marketing, cybersecurity, privacy, books and records, vendor diligence, conflicts, testing, training, AI use, communications, registration and more. No serious firm would expect one person to perform every finance, legal or operations function alone. Compliance should be no different. OCD gives the CCO access to a multidisciplinary team and a repeatable operating model.

Give your CCO the team and structure to succeed.

Learn more at myrialawyer.com.

A polished manual does not prove that a compliance program is effective. Examiners look for evidence: testing records, f...
08/20/2026

A polished manual does not prove that a compliance program is effective. Examiners look for evidence: testing records, follow-up, escalation, training, supervision, corrective action and documentation that reflects what the firm actually does. OCD helps RIAs create that evidence throughout the year—not scramble to reconstruct it after an examination request arrives.

Build an evidence-backed compliance program.

Learn more at myrialawyer.com.

A growing RIA came to us with an overwhelmed CCO, irregular testing and no dependable way to track remediation. The firm...
08/19/2026

A growing RIA came to us with an overwhelmed CCO, irregular testing and no dependable way to track remediation. The firm did not need another policy binder. It needed operating discipline. With OCD, the program moved to recurring testing, documented ownership, executive reporting, attorney oversight and a clear remediation process. The result was not simply less stress. Leadership finally had visibility into regulatory performance.

Schedule a confidential discussion about your program.

Learn more at myrialawyer.com.

Five signs your firm has outgrown its compliance program: 1) Everything depends on one CCO. 2) Testing intensifies only ...
08/18/2026

Five signs your firm has outgrown its compliance program:
1) Everything depends on one CCO.
2) Testing intensifies only before the annual review or an exam.
3) Marketing reviews are inconsistent.
4) Findings are identified, but remediation ownership is unclear.
5) Leadership receives little useful compliance reporting.

Growth does not create these weaknesses—but it exposes them.

Ask us to assess the gaps.

Learn more at myrialawyer.com.

Compliance is often treated as a cost center until a regulator, buyer, board or client asks whether the program actually...
08/17/2026

Compliance is often treated as a cost center until a regulator, buyer, board or client asks whether the program actually works. Strong firms take a different approach. They build repeatable controls, documented testing, clear ownership and reliable reporting before pressure arrives. That infrastructure protects growth, supports enterprise value and allows leadership to make decisions with confidence.

Turn compliance into a scalable operating advantage.

Traditional compliance consulting often ends with advice: update this policy, review that sample, fix these findings. Th...
08/07/2026

Traditional compliance consulting often ends with advice: update this policy, review that sample, fix these findings. The burden of ex*****on stays with your team. Our OCD model is different. We provide the people, workflows, testing cadence, legal oversight, executive reporting and remediation support required to operate the program—not merely comment on it.

Build the compliance department your firm actually needs.

Learn more at myrialawyer.com.

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