Why a Fractional General Counsel Is a Game-Changer for Regulated Financial Firms
Broker-dealers, RIAs, robo-advisors, hedge funds, and FinTech platforms all face the same problem: constant regulatory pressure with no room for mistakes. A full-time GC is expensive, but going without one leaves gaps that show up fast in exams, audits, and due-diligence reviews. My fractional General Counsel model fills that gap.
What I Do as a Fractional General Counsel
I support federally registered broker-dealers (FINRA members), SEC-registered advisers, digital asset firms, and tech-driven trading platforms with ongoing, practical legal coverage on a monthly subscription basis — handling roughly 80% of the work in-house so leadership can focus on growth.
End-to-End Legal Support Your Firm Can Count On
I assist with entity formation and registration (broker-dealer, RIA, hedge fund), licensing, Form BD/ADV filings, contract drafting and negotiations, legal ops, governance, and vendor risk. I also run mock SEC/FINRA exams, review advertising and communications, prepare responses to regulators, and organize your contract inventory so renewals, obligations, and risks never fall through the cracks.
If you’re starting a firm, scaling one, or trying to clean up legacy issues before an exam or capital raise, fractional GC coverage gives you day-to-day access to counsel who already understands the broker-dealer and adviser ecosystem. It’s the simplest way to upgrade legal operations without adding headcount — and the fastest way to get compliant, stay compliant, and move forward confidently.
A Closer Look at How I Support Regulated Firms
Watch the brief overview below to learn more about my background, approach, and the value an experienced Fractional General Counsel brings to financial and FinTech organizations.
Ready to Strengthen Your Firm’s Legal Operations?
If you need practical, hands-on legal support that understands your regulators and business model, I’d be happy to help.
Schedule a consultation below:
Or contact me directly at:
📧 cacregulatoryconsulting@gmail.com
📞 (925) 787-8593
