Warner has a distinct team of attorneys and consultants with a steadfast commitment to the BD/RIA industry spanning 30+ years. Everything we do is focused on supporting BDs and RIAs, their CCOs, compliance departments and management – whether facilitating trainings, building compliance programs from the ground up, maintaining compliance with the SEC and FINRA or getting through sweep exams and enforcements – Warner is with you through it all. Our vault of resources uniquely positions us as a better partner, marrying consultancy with the legal expertise you need. Because at the end of each day, you need an ally who will help you achieve your goals while looking out for you – not a roadblock to your dreams.
Uniquely Focused on Investment Advisers
Warner prides itself on being the only law firm in Michigan with a focus on the unique legal and compliance needs of investment advisers. We know your industry and our team of experienced attorneys and consultants are accustomed to the SEC’s rules and regulations – even as they constantly change. Keeping up with ever-evolving rules and regulations can be nearly impossible. But we’ll happily go through the mental gymnastics for you, so you can focus on what matters most: Delivering top financial advisory services to your clients. After all, your clients depend on you to help them build and maintain wealth now and for the future. Updating your policies, procedures, contracts and educating your IARs, along with dealing with the SEC, shouldn’t keep you up at night. When you hire Warner’s compliance team, you gain peace of mind and the confidence to advise your clients without hesitation. For a list of services, view our “Strengths Snapshot” section listed below.