Legal & Compliance

Advisorbox provides legal and compliance solutions for financial advisors, investment advisors, brokerage firms and RIAs. Our solutions are tailored to each client and our consulting ranges from legal representation to streamlining compliance processes and adhering to the ever-changing regulatory environment.

If an advisor is in need of legal advice or representation, finding an attorney who is an expert in their field is paramount. Don't pay an attorney outside your industry to learn on your dime.

Advisorbox has advisor-focused legal and compliance solutions. Talk to us today.


  • General Representation
  • White Collar Criminal Defense
  • SEC Defense
  • SEC Subpoenas
  • Wrongful Termination
  • Defamation Actions
  • Discrimination
  • Employment and Transaction Contracts
  • Form U4 and U5 Filings
  • FINRA Securities Arbitrations
  • Contract Drafting and Negotiation
  • Dispute Resolution
  • Regulatory Inquiries, Investigations and Enforcement Proceedings
  • Real Estate Leasing and Management
  • Estate Planning
  • Trusts and Wills
  • Executor Services
  • Non-Solicitation and Confidentiality Agreements
  • Entity Formation
  • Trademark and Brand Registration

Compliance and Regulatory

  • Social Media
  • Advisor Consulting
  • Broker Dealer Consulting
  • RIA Consulting
  • New Broker Dealer Startup
  • New RIA Start Up
  • Material Business Changes
  • Regulatory Requirements
  • FinOP Outsourcing
  • Audit Services
  • Branch Office Inspection
  • Regulatory Investigations
  • Sales and Advertising Material Review
  • Mergers and Acquisitions Compliance Consulting
  • Annual Compliance
  • Annual Amendments