Understanding RIA Compliance Challenges

As advisory firms grow, so does the complexity of compliance—and Leila Shaver has built a business dedicated to helping them scale without costly missteps. She provides strategic guidance that keeps firms aligned with regulatory expectations as their teams, client bases, and responsibilities expand.

Leila is the founder of My RIA Lawyer, a Georgia-based legal and compliance firm serving RIAs, broker-dealers, and other financial services companies. In this episode, she shares insights into when firms typically seek outsourced compliance support, the key differences between broker-dealer oversight and RIA regulation, and why firms might consider including their compliance professionals in business strategy business strategy decisions. You'll also hear about the latest developments in advisor-facing compliance technology and how Leila's own entrepreneurial journey mirrors that of the clients she serves.

For show notes and more visit: https://www.kitces.com/441