About LawVisory

The vision for LawVisory is a law firm that services its clients with the highest level of excellence and integrity, while also allowing legal and consulting services to be accessible and affordable. We further seek to simplify the complex for our clients, help to mitigate their risks and ease our client’s burdens. 

Our vision is also to have our attorneys experience a highly positive, encouraging, constructive, and helpful environment since we believe this leads to better client service and a better working environment. Our vision is also to help our business clients at all stages of their existence from start-up through liquidity events or from growth to maturity. At LawVisory, we seek to be trusted, reliable, and valuable advisors for our clients at all times.

JEFFREY A. SMITH

JD, LLM, IACCP, CRCP, CRM
LawVisory, Founder and Managing Attorney

BACKGROUND
Mr. Smith is a highly-experienced securities lawyer, chief compliance officer, and business attorney with over 20 years of experience strengthening the legal and compliance functions of investment advisers, broker-dealers, and investment vehicles.  He has also represented companies at all stages of maturity with their capital and debt raising efforts via private offerings and public offerings.  He has also served as Chief Legal Officer and Chief Compliance Officer for NorthRock Partners LLC and Virtue Capital Management LLC; Chief Executive Officer and Co-founder of RIA Compliance Firm LLC, and Founder and Managing Attorney for LawVisory. He previously served as Chief Compliance Officer of Griffin Capital Company LLC and Research Affiliates LLC, where he also served as Assistant General Counsel.  Prior to that, Mr. Smith was Director of Compliance of Athene Asset Management LLC, and Senior Counsel of Legal and Compliance at The Rock Creek Group.  Additionally, Mr. Smith served as Investigative Counsel for the Financial Crisis Inquiry Commission and worked in the Director of Enforcement’s Office at the United States Securities and Exchange Commission in Washington, D.C.  Prior to this, Mr. Smith was Managing Attorney for the law firm Smith & Associates and practiced domestic, international and state & local tax law and compliance with Deloitte.

EDUCATION
Mr. Smith received his L.L.M., with distinction, in Securities & Financial Regulation from Georgetown University Law Center in Washington, DC. He also graduated cum laude with a B.S. in Accounting from the University of Kentucky, where he also earned his Juris Doctor.

CREDENTIALS

 

  • Investment Adviser Certified Compliance Professional (NRS Education), with an additional certification in Hedge Fund compliance
  • Certified in Risk Management (International Institute of Professional Education and Research)
  • Certified Regulatory and Compliance Professional FINRA Institute at Wharton

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