Jeffrey Smith
N/A
Licensed for 21 years
Law Degree
Awards
Primary Practice Area
Business
Language
English
About
Mr. Smith is a highly-experienced securities lawyer, chief compliance officer, and business attorney with over 20 years of experience strengthening the legal and compliance functions of investment advisers, broker-dealers, and investment vehicles. He has also represented companies at all stages of maturity with their capital and debt raising efforts via private offerings and public offerings. He has also served as Chief Legal Officer and Chief Compliance Officer for NorthRock Partners LLC and Virtue Capital Management LLC; Chief Executive Officer and Co-founder of RIA Compliance Firm LLC, and Founder and Managing Attorney for LawVisory. He previously served as Chief Compliance Officer of Griffin Capital Company LLC and Research Affiliates LLC, where he also served as Assistant General Counsel. Prior to that, Mr. Smith was Director of Compliance of Athene Asset Management LLC, and Senior Counsel of Legal and Compliance at The Rock Creek Group. Additionally, Mr. Smith served as Investigative Counsel for the Financial Crisis Inquiry Commission and worked in the Director of Enforcement’s Office at the United States Securities and Exchange Commission in Washington, D.C. Prior to this, Mr. Smith was Managing Attorney for the law firm Smith & Associates and practiced domestic, international and state & local tax law and compliance with Deloitte.EDUCATIONMr. Smith received his L.L.M., with distinction, in Securities & Financial Regulation from Georgetown University Law Center in Washington, DC. He also graduated cum laude with a B.S. in Accounting from the University of Kentucky, where he also earned his Juris Doctor.CREDENTIALSInvestment Adviser Certified Compliance Professional (NRS Education), with an additional certification in Hedge Fund complianceCertified in Risk Management (International Institute of Professional Education and Research)Certified Regulatory and Compliance Professional FINRA Institute at Wharton
Practices Areas
Business
Language
English
Contact
Reviews
I was in need of a quick legal review, and had a deadline. Jeff was the first lawyer to get back to me out of multiple contacts on Avvo. He responded very quickly, knew exactly what I needed, and completed the job in a timely manner. Jeff was also very thorough, and was able to identify critical elements that needed adjustment.
Jeff and his team have provided stellar service, guidance and counsel to our investment programs. They have exceeded expectations at every turn and helped us to transition/upgrade our compliance program in a detailed and efficient manner.
Jeff is a talented and resourceful attorney who helped our company with a highly challenging situation. I wholeheartedly recommend him.
Jeff Smith has a deep knowledge of the securities laws and the practical operational implications that the law might have on advisory firms. He understands what his clients needs are and works with them and his colleagues to ensure those needs are met or exceeded. He is passionate about the practice of law as well as practical and efficient. Through his various firms (LawVisory and RIACF) Jeff is able to cover all his client's regulatory needs. He is a true professional.
Jeff Smith provides sound, practical and effective guidance across the field of corporate and securities law. His wealth of knowledge and experience is extremely valuable to clients in regulated industries in general and in the asset management space in particular. Jeff is a capable, reliable, and passionate attorney and he brings his skills to bear in his sound and efficient analysis of legal issues, shepherding transactions through to successful closing and the wide array of general corporate and securities law issues that his clients confront on a daily basis. I cannot recommend him highly enough.
I was in need of a quick legal review, and had a deadline. Jeff was the first lawyer to get back to me out of multiple contacts on Avvo. He responded very quickly, knew exactly what I needed, and completed the job in a timely manner. Jeff was also very thorough, and was able to identify critical elements that needed adjustment.
Jeff and his team have provided stellar service, guidance and counsel to our investment programs. They have exceeded expectations at every turn and helped us to transition/upgrade our compliance program in a detailed and efficient manner.
Jeff is a talented and resourceful attorney who helped our company with a highly challenging situation. I wholeheartedly recommend him.
Jeff Smith has a deep knowledge of the securities laws and the practical operational implications that the law might have on advisory firms. He understands what his clients needs are and works with them and his colleagues to ensure those needs are met or exceeded. He is passionate about the practice of law as well as practical and efficient. Through his various firms (LawVisory and RIACF) Jeff is able to cover all his client's regulatory needs. He is a true professional.
Jeff Smith provides sound, practical and effective guidance across the field of corporate and securities law. His wealth of knowledge and experience is extremely valuable to clients in regulated industries in general and in the asset management space in particular. Jeff is a capable, reliable, and passionate attorney and he brings his skills to bear in his sound and efficient analysis of legal issues, shepherding transactions through to successful closing and the wide array of general corporate and securities law issues that his clients confront on a daily basis. I cannot recommend him highly enough.
I was in need of a quick legal review, and had a deadline. Jeff was the first lawyer to get back to me out of multiple contacts on Avvo. He responded very quickly, knew exactly what I needed, and completed the job in a timely manner. Jeff was also very thorough, and was able to identify critical elements that needed adjustment.
Jeff and his team have provided stellar service, guidance and counsel to our investment programs. They have exceeded expectations at every turn and helped us to transition/upgrade our compliance program in a detailed and efficient manner.
Jeff is a talented and resourceful attorney who helped our company with a highly challenging situation. I wholeheartedly recommend him.
Jeff Smith has a deep knowledge of the securities laws and the practical operational implications that the law might have on advisory firms. He understands what his clients needs are and works with them and his colleagues to ensure those needs are met or exceeded. He is passionate about the practice of law as well as practical and efficient. Through his various firms (LawVisory and RIACF) Jeff is able to cover all his client's regulatory needs. He is a true professional.
Jeff Smith provides sound, practical and effective guidance across the field of corporate and securities law. His wealth of knowledge and experience is extremely valuable to clients in regulated industries in general and in the asset management space in particular. Jeff is a capable, reliable, and passionate attorney and he brings his skills to bear in his sound and efficient analysis of legal issues, shepherding transactions through to successful closing and the wide array of general corporate and securities law issues that his clients confront on a daily basis. I cannot recommend him highly enough.
I was in need of a quick legal review, and had a deadline. Jeff was the first lawyer to get back to me out of multiple contacts on Avvo. He responded very quickly, knew exactly what I needed, and completed the job in a timely manner. Jeff was also very thorough, and was able to identify critical elements that needed adjustment.
Jeff and his team have provided stellar service, guidance and counsel to our investment programs. They have exceeded expectations at every turn and helped us to transition/upgrade our compliance program in a detailed and efficient manner.
Jeff is a talented and resourceful attorney who helped our company with a highly challenging situation. I wholeheartedly recommend him.
Jeff Smith has a deep knowledge of the securities laws and the practical operational implications that the law might have on advisory firms. He understands what his clients needs are and works with them and his colleagues to ensure those needs are met or exceeded. He is passionate about the practice of law as well as practical and efficient. Through his various firms (LawVisory and RIACF) Jeff is able to cover all his client's regulatory needs. He is a true professional.
Jeff Smith provides sound, practical and effective guidance across the field of corporate and securities law. His wealth of knowledge and experience is extremely valuable to clients in regulated industries in general and in the asset management space in particular. Jeff is a capable, reliable, and passionate attorney and he brings his skills to bear in his sound and efficient analysis of legal issues, shepherding transactions through to successful closing and the wide array of general corporate and securities law issues that his clients confront on a daily basis. I cannot recommend him highly enough.