Our Financial Services Clients: Law Firms

Wealth Management Services for Your Clients

At Oyster Consulting, we provide the wealth management services that law firms and their clients can rely on. Our industry experts assist with regulatory compliance and operations, offering services such as registration, contract review, remediation, and expert witness testimony. These services are essential for law firms’ clients who are starting or managing an investment advisor or broker-dealer firm.
Our consultants are seasoned professionals who ensure clients are compliant and address issues identified during inspections. We collaborate closely with both the client and the law firm to engage all stakeholders in the project process.

Expert Witness and Independent Consultant

We support your legal advice by serving as expert witnesses, consultants, or conducting reviews during investigations. Our consultants possess deep expertise in compliance and operations, making them invaluable in complex wealth management cases or regulatory actions. They understand the intricacies of evidence and testimony for legal issues involving RIAs and broker-dealers. The diverse backgrounds of Oyster professionals add credibility to their expert opinions, which are highly valued by adjudicators.

Operational and Compliance Efficiency

Oyster Consulting’s multi-disciplined team will assess your clients’ business operations and provide actionable advice to maximize asset value.

We also assist in creating and updating Business Continuity Plans, including succession planning. Having participated in some of the largest mergers and acquisitions in the industry, we know the essentials for a successful transition. Our consultants help create future value through strategic planning, partner identification, and seamless integration of firm cultures and systems.

The Oyster Difference

Oyster’s experts bring decades of experience with FINRA and SEC regulators. Our team comprises former regulators, compliance officers, and C-Suite executives who have navigated numerous regulatory challenges. We leverage this collective knowledge to help your clients achieve effective compliance programs and address exam findings.

Law firms can partner with Oyster Consulting to assist clients in achieving their financial goals. They can provide support with wealth management, brokerage services, and legal matters. Our comprehensive suite of financial services, including wealth management services and investment management, is designed to support your clients every step of the way.