Smith & Riley, LLC is a business law firm that provides legal counsel to broker-dealers, investment advisers, insurance agencies and similar financial service providers.

Several years ago, Robert Smith and Margaret Riley left behind the grind of big law firm life in Washington, D.C. to open up their own shop. They wanted to by-pass large firm bureaucracy and get down to the business of servicing clients quickly and less expensively. They succeeded beyond their expectations and this website is a reflection of their success and what they can do for financial services clients.

Smith & Riley has long term relationships with core clients built on the kind of trust grounded in doing a great job for them, year in and year out. Their clients know that it’s rare to have outside legal counsel whose advice is anchored not only in sound legal training and experience, but also in many years of actual experience on the business side as senior sales managers and chief compliance officers. Smith & Riley will not train young associates on your dime; your fees pay only for finding solutions to your legal issues.

Smith & Riley can deliver legal solutions quickly because they’ve been there before, on the hot seat, walking regulators through an audit, explaining difficult choices to senior management, assessing the risks of hiring the “big producer,” getting their arms around the transaction that shouldn’t have been, massaging sales and marketing materials into compliance, etc.

"We hear time and again that financial services firms, particularly boutique investment advisers and broker-dealers, are always on the hunt for counsel who have actually worked in the business, counsel who understand the issues, respond quickly, return phone calls the same day, and find solutions."

Your search is over!
Smith & Riley looks forward to working with you.