Samantha F.

Securities & Investment Adviser Attorney | RIA Outside General Counsel

I help Registered Investment Advisers (RIAs), investment professionals, and financial services companies solve legal and regulatory problems before they become operational realities. As a practicing attorney, I advise investment advisers on SEC and state regulatory compliance, business operations, contracts, marketing practices, and regulatory risk. I currently counsel approximately dozens of advisory firms on a wide range of compliance and operational issues, and I'm here to help you solve your legal challenges and become fluent in the language of regulatory compliance. Running an RIA is no easy job. Don't let legal and compliance issues make it harder than it should be. Reach out to me if you need help with: • SEC and state investment adviser compliance • Form ADV reviews and updates • Compliance manuals and policies • Employment agreements and independent contractor arrangements • Website and marketing compliance • Privacy policies • AI governance and internal policies • Operating agreements and corporate governance • General outside counsel services