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 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.

A familiar name on a message does not prove who sent it.For World Investor Week, share these checks with someone you car...
10/08/2026

A familiar name on a message does not prove who sent it.

For World Investor Week, share these checks with someone you care about:

Pause under pressure. Verify contact details independently. Call a trusted number before acting on an unusual money request. Report suspicious requests through a known channel.

The SEC's October 5 announcement highlights impersonation and relationship-investment scams. A little verification can interrupt the conversation before money moves.

SEC resources:
https://www.sec.gov/newsroom/press-releases/2026-101-sec-coordinates-global-financial-regulators-raise-fraud-awareness-during-world-investor-week

“We have it” and “we can produce it” are two different things.Growing RIAs should know where critical records live, who ...
10/07/2026

“We have it” and “we can produce it” are two different things.

Growing RIAs should know where critical records live, who owns retrieval, who validates completeness, and how quickly the organization can respond when information is requested.

Regulatory pressure rarely tests only the compliance manual. It tests the firm's ability to respond: records, ownership,...
10/05/2026

Regulatory pressure rarely tests only the compliance manual. It tests the firm's ability to respond: records, ownership, escalation, consistency and legal judgment.

A recent SEC subpoena-enforcement action provides a useful reminder that unresolved production issues can become substantially more serious.

The goal is not to fear an exam. The goal is to build a firm that can respond under pressure.

The real test of a compliance program often comes when someone asks the firm to produce the evidence behind it.For a gro...
10/02/2026

The real test of a compliance program often comes when someone asks the firm to produce the evidence behind it.

For a growing RIA, “we have the records” is not enough. Leadership should know whether the firm can identify, retrieve, validate, explain and produce information quickly across systems, offices and personnel.

The best time to find that weakness is before a regulator is waiting for the answer.

Q3 is in the books. Now what?Before the year accelerates into Q4, ask what leadership actually learned about the perform...
09/30/2026

Q3 is in the books. Now what?

Before the year accelerates into Q4, ask what leadership actually learned about the performance of the compliance structure.

If your firm changed materially this year but the infrastructure underneath compliance did not, now is the time to find the weak points.

Message us “PERFORMANCE” to learn about our Regulatory Performance Stress Test™.

Growth is a good problem to have.But success can also create blind spots.The best time to test your infrastructure is wh...
09/28/2026

Growth is a good problem to have.

But success can also create blind spots.

The best time to test your infrastructure is when the business is doing well—not after something has gone wrong.

Make sure your compliance infrastructure is keeping pace with your momentum.

September is your window to identify regulatory infrastructure problems before Q4 becomes crowded with annual reviews, b...
09/25/2026

September is your window to identify regulatory infrastructure problems before Q4 becomes crowded with annual reviews, budgeting and year-end priorities.

If the firm has materially changed this year, do not assume the compliance structure kept pace.

Test it while you still control the timing.

An acquisition is not fully integrated just because the technology and branding are aligned.Compliance culture, supervis...
09/23/2026

An acquisition is not fully integrated just because the technology and branding are aligned.

Compliance culture, supervision, documentation and accountability have to be integrated too.

Otherwise, growth can create regulatory debt leadership does not see until much later.

Make sure the next chapter is built on one defensible operating model—not several inherited ones.

Address

44 Milton Avenue, #314
Alpharetta, GA
30009

Opening Hours

Monday 9am - 5pm
Tuesday 9am - 5pm
Wednesday 9am - 5pm
Thursday 9am - 5pm
Friday 9am - 5pm

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