We are specialists in the investment advisory compliance world. We provide customized legal and compliance services to a national clientele of investment advisory firms.
Like you, our focus is "return on investment" (ROI). However, in our world, your investment advisory business is the investment. Too often, when resolving compliance concerns, CYA trumps ROI. Sure, limiting your RIA business's liabilities is a primary concern. But what good is a compliance program if it does not balance business interests with compliance risks?
We can provide you the perfect risk/reward balance based on the particular needs of your RIA firm. Whether you are seeking assistance with a SEC/State RIA registration or want to bolster your current compliance program Schwartz Law Group has a "common-sense" compliance solution to fit your needs.