My RIA Lawyer
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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
Your CCO probably isn't the problem.
The structure around them is.
Most firms have one person carrying compliance, with a few outsourced consultants and a tech stack layered on top. On paper it looks covered. In practice, no one is holding it together — and the gaps don't surface until an exam or an issue forces them to.
Compliance should not depend on one person's bandwidth, memory, or calendar.
That's not a CCO problem. That's a governance problem.
05/28/2026
Three things most $1B+ RIAs have in place, and what each one actually does:
🔵 A compliance consultant runs your annual review and tells you what they found.
🔵A law firm responds when something goes wrong and tells you what to do.
🔵An integrated compliance partner sits between your CCO, your COO, and your executive team — and makes sure the program is operationally sound before either of the above become necessary.
Most firms we engage with already have the first two.
What they're missing is the third — the structural layer that makes the first two rarely needed.
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44 Milton Avenue, #314
Alpharetta, GA
30009
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| Wednesday | 9am - 5pm |
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