LeGaye Law Firm - Financial & Regulatory Compliance
Tel: 281.367.2454
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  • Tel: 281.367.2454

Investment Adviser Registration and Compliance Services

The LeGaye Law Firm P.C. has substantial experience with investment adviser registration and compliance services.

  • RIA Registration
  • Mock Regulatory Exams and Risk Assessments
  • RIA Regulatory Responses
  • Other RIA Services
  • Contracts and Agreements
  • Written Compliance Policies and Procedures

Legal Alerts

  • DOL Rule in Limbo, But Not Best Interest Standard
  • FINRA Updates Remote Branch Inspection Guidance

Contact Us

2002 Timberloch Drive, Suite 200
The Woodlands, TX 77380
Tel: (281) 367-2454
Fax: (866) 338-6353
Email (click here)
Make a payment

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