My RIA Lawyer

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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.

A conflict does not become fully managed simply because it appears in disclosure.A mature process identifies the conflic...
10/19/2026

A conflict does not become fully managed simply because it appears in disclosure.

A mature process identifies the conflict, assesses it, discloses it appropriately, mitigates it where necessary, supervises the activity and tests whether the controls actually work.

The SEC's Vanguard Advisers matter illustrates why firms should think beyond the disclosure document itself.

Form ADV should not be treated as an annual data-entry project.As firms grow, ownership, offices, affiliates, services, ...
10/16/2026

Form ADV should not be treated as an annual data-entry project.

As firms grow, ownership, offices, affiliates, services, conflicts and business practices change.

The filing needs to tell the same story as the business actually operating underneath it.

The SEC's recent actions involving allegedly false Forms ADV are an extreme example—but an effective reminder that ADV information must be accurate and supportable.

A written policy is a starting point. What shows that it works in practice?Tomorrow on Regulate THIS!, Leila Shaver and ...
10/15/2026

A written policy is a starting point. What shows that it works in practice?

Tomorrow on Regulate THIS!, Leila Shaver and Tracie Behr discuss SEC exam preparation: compliance testing, email review, documentation, and the limits of generic templates.

SEC Exam Preparation: Proving Your Compliance Program Works
Friday, October 16 · 6:00 a.m. Eastern

Follow the show: https://regulatethis.podbean.com

Broader access is only the beginning of the investment conversation.The SEC's September 30 private-market proposals addr...
10/15/2026

Broader access is only the beginning of the investment conversation.

The SEC's September 30 private-market proposals address performance compensation and fund structures. A separate request for comment considers additional accredited-investor pathways. These remain proposals and a request for comment, not new eligibility rules.

For advisers and clients, useful questions include: When can you exit? How is the investment valued? What are the fees and conflicts? How does it fit the client's needs?

Read the SEC announcement:
https://www.sec.gov/newsroom/press-releases/2026-96-sec-proposes-amendments-expand-responsible-retailization-private-markets

A good access-control process does not end with “account disabled.”The firm should know what systems the employee could ...
10/14/2026

A good access-control process does not end with “account disabled.”

The firm should know what systems the employee could reach, what information could have been downloaded, what credentials need to change, and who verified completion.

Access removed + verification + evidence is a much stronger control than relying on memory.

10/13/2026

We don’t just support. We ARE your compliance.

Let’s talk about your firm’s compliance needs.
https://www.myrialawyer.com/

When an adviser leaves the firm, offboarding is more than an HR process.Client-data access, devices, cloud storage, cred...
10/12/2026

When an adviser leaves the firm, offboarding is more than an HR process.

Client-data access, devices, cloud storage, credentials, custodial systems and retained files all need to be addressed deliberately.

A recent SEC matter involving improper disclosure of client nonpublic personal information is a useful reminder: employee transitions are a compliance-control event.

A compliance manual defines the intended process. Regulatory Performance asks whether the process actually happens—and w...
10/09/2026

A compliance manual defines the intended process. Regulatory Performance asks whether the process actually happens—and whether the firm can prove it.

Policies matter. So do testing, evidence, escalation, remediation and accountability.

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