Carr Schwartz Butterfield, LLC is committed to ensuring the future success of the independent investment advisors and investment professionals we serve. As the only law firm on the west coast specializing in legal and compliance issues facing investment advisors, we provide our clients knowledgeable, personalized and pro-active services.

We currently serve over 100 investment advisory firms ranging from large SEC based investment advisory firms to state-based solo operations. Unlike many law firms which have little relevant experience, we specialize in a broad range of compliance, litigation defense and regulatory issues facing today's registered investment advisors and financial professionals.

You will discover our services differ greatly from the large impersonal compliance consulting companies which rarely provide services catered to your particular needs. Instead of your main contact being non-attorney staff persons, at Carr Schwartz Butterfield, LLC you work directly with attorneys who have years of experience with RIA regulatory compliance issues. Let us assist you with your specialized needs and help ensure your success.