About Our Team
We launched in 2016 to assist financial advisors and wealth managers in defending themselves against false investor claims and erroneous BrokerCheck reports. Today, we are a full-service company, representing thousands of financial advisors and wealth managers. We can help you preserve your reputation, safeguard your most important asset, and assist your company achieve its objectives.
Our services include:
- RIA Registration, Setup, & Ongoing Compliance
- Consulting Services
- Mergers & Acquisitions
- Lending for Financial Advisors
- SEC, State, CFP, & FINRA Enforcement Defense
- Industry Disputes & Litigation
- Succession Planning
- Buy/Sell Agreements
- Tax Resolution
- Disclosure Expungement
- Regulatory Violation Expungement
- Criminal Disclosure Expungement
- & More…
We can defend your reputation, safeguard your most valuable asset, and assist your company in reaching its objectives. Over the last few years, we have assisted over 2,000 advisors.
We launched in 2016 to assist financial advisors and wealth managers in defending themselves against false investor claims and erroneous BrokerCheck reports.
Today, we are the nation’s premier full-service law company, representing thousands of financial advisors and wealth managers.
We exclusively represent the advisor’s interests, never those of the investor or broker-dealer.We can help you preserve your reputation, safeguard your most important asset, and assist your company achieve its objectives.
Our services include:
- RIA Registration, Setup, & Ongoing Compliance
- Consulting Services
- Mergers & Acquisitions
- Lending for Financial Advisors
- SEC, State, CFP, & FINRA Enforcement Defense
- Industry Disputes & Litigation
- Succession Planning
- Buy/Sell Agreements
- Tax Resolution
- Disclosure Expungement
- Regulatory Violation Expungement
- Criminal Disclosure Expungement
- & More…