SEC Compliance Services for Registered Investment Advisers
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Registered Investment Advisers (RIAs) operate in one of the most heavily regulated areas of financial services. The SEC and state regulators require RIAs to maintain strict compliance across filings, disclosures, client contracts, and supervisory practices. LawVisory PLLC provides confidential, attorney-client privileged legal and compliance services to help RIAs meet regulatory expectations, reduce exam risk, and operate with confidence.
What Legal and Compliance Challenges Do RIAs Face?
RIAs must comply with ongoing regulatory obligations that often evolve year to year. The most common challenges include:
Preparing and maintaining Form ADV Parts 1 & 2
Conducting Annual Compliance Reviews under Rule 206(4)-7
Implementing written Policies & Procedures Manuals
Meeting Books & Records requirements under Rule 204-2
Managing Advertising & Marketing Rule compliance
Conducting Mock SEC Exams to prepare for inspections
Navigating State vs. SEC Registration thresholds
How Does LawVisory Support RIAs with Compliance?
LawVisory’s legal team provides end-to-end compliance and legal support for RIAs of all sizes:
SEC & State Registration
Guidance on whether SEC or state registration applies
Filing Form ADV and all supporting documentation
Responding to regulator inquiries
Ongoing Compliance
- Annual reviews & mock SEC exams
Compliance calendar management
- Policies and procedures tailored to your firm’s business model
Outsourced Chief Compliance Officer (CCO)
- Cost-effective, experienced legal counsel serving as your CCO
Ongoing compliance supervision and filings
Independent oversight for risk reduction
Enforcement & Defense
Responding to SEC deficiency letters
Handling investigations and enforcement actions
Arbitration and litigation support
What Happens if RIAs Fail to Comply with SEC Rules?
Non-compliance can result in:
SEC fines, censures, or suspensions
State regulator penalties
Client lawsuits alleging fiduciary duty breaches
Reputational damage and loss of AUM
LawVisory mitigates these risks by offering proactive compliance strategies tailored to your firm.
Why LawVisory?
26+ years of SEC experience including service in the SEC Enforcement Division
Leadership as Outsourced CLO and CCO for RIAs nationwide
Extensive experience with RIA formation, filings, and enforcement defense
Trusted by RIAs from $100M to $1B+ in AUM
Contact Us
+1 202-854-0515
info@lawvisory.com
1250 Connecticut Ave NW #700, Washington, DC 20036
What forms must RIAs file with the SEC?
When is SEC registration required instead of state registration?
How often must RIAs conduct annual compliance reviews?
What is the SEC Marketing Rule, and how does it affect RIAs?
Can LawVisory act as my firm’s Chief Compliance Officer (CCO)?
Is your RIA Form ADV ready and prepared for its next SEC exam?
Schedule a confidential compliance consultation with LawVisory’s attorneys today.