Trusted RIA Compliance
and Securities Lawyers

Brightstar’s primary aim is to give registered investment advisors (RIAs) peace of mind and advocate for our clients by providing a wide range of compliance and legal solutions designed to protect and grow their advisory firms.  

Our experienced RIA compliance consultants and compliance attorneys deliver actionable guidance and solutions customized for your needs, including RIA registration services and RIA compliance services. Our offerings are designed to help independent RIAs avoid regulatory violations and penalties and ensure financial advisors get compliant and stay compliant with the many, ever-changing federal and state investment advisor regulations that impact RIAs, including the Investment Advisors Act of 1940.

Our knowledgeable RIA lawyers also provide strategic legal advice designed to help you navigate complex transactions at all stages of your entrepreneurial venture – from setting up your RIA (when you’re just starting out or transitioning to independence from another firm) to negotiating an RIA M&A transaction or RIA succession deal (when you are ready to exit the business on your terms). 

We also provide outside General Counsel services to support your ongoing legal needs – whether that’s drafting or negotiating agreements with vendors, clients, or other parties; handling employment or human resources maters; or representing your interests in disputes with business partners or regulators.

We serve many types of RIA firms including wealth management firms, financial planners, investment consultants, family offices, private fund sponsors (including hedge fund and private equity fund managers), and mutual fund advisors. 

Let us help you confidently navigate the compliance and legal risks that keep you up at night while freeing up your time to grow your RIA business. 

As the old saying goes, “an ounce of prevention is worth more than a pound of cure.”