A Message from our Founder and Managing Attorney
The vision for LawVisory is a law firm that services its clients with the highest level of excellence and integrity, while also allowing legal and consulting services to be accessible and affordable. We further seek to simplify the complex for our clients, help to mitigate their risks and ease our client's burdens.
Our vision is also to have our attorneys experience a highly positive, encouraging, constructive, and helpful environment since we believe this leads to better client service and a better working environment. Our vision is also to help our business clients at all stages of their existence from start-up through liquidity events or from growth to maturity. At LawVisory, we seek to be trusted, reliable, and valuable advisors for our clients at all times.
JEFFREY SMITH, JD, LLM, IACCP, CRCP, CRM
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.
Mr. 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.
Investment Adviser Certified Compliance Professional (NRS Education), with an additional certification in Hedge Fund compliance
Certified in Risk Management (International Institute of Professional Education and Research)
Certified Regulatory and Compliance Professional FINRA Institute at Wharton
LAWVISORY’S CORE VALUES & PRINCIPLES
LawVisory team members strive to apply our values and principles to serve every client and each other. We identified the following ten core values and principles that guide our conduct.
We embrace the highest level of respect for and adherence to professional ethics, which serves as a cornerstone of our core values.
2. Client Focus
We strive fully and accurately to understand a client’s overall best interests, including a client’s needs, challenges, and objectives and to maximize our value consistent with a client’s best interests.
3. Teamwork and Collaboration
The best work comes from a collective effort of competent team members. LawVisory team members value teamwork and collaboration and believe that the synergy of our combined individual contributions will elevate the success we achieve for our clients. We work together to achieve results that are greater than those each of us can achieve alone. We capitalize on the creativity, energy, and passion that working together creates. Working together creates a more enriching work environment and generates better results.
4. Personal Responsibility
LawVisory team members recognize and embrace the responsibility we each have to our clients, fellow team members, our profession, and ourselves to uphold the success we have achieved and will achieve. Accordingly, we each agree to always be open to change, feedback, learning, improvement and to take personal responsibility for what it is that we can learn from each life lesson and continuously seek to do a better job to serve the core values and principles of the firm and help others in the firm to do the same as opposed to being defensive and trying to blame others. In this, we agree to take responsibility over what can be done as opposed to viewing ourselves and our situation as being at the effect of some uncontrollable cause.
LawVisory team members understand that our clients and members of our team expect us to respond to their questions and concerns promptly. Getting back to our clients and other team members promptly is one way we demonstrate our sensitivity to their issues and how much we care about them.
6. The “Golden Rule”
LawVisory team members agree to always treat clients and other team members as they would want to be treated and not treat team members and clients as they would not want to be treated. As part of this we should seek to understand how others would want to be treated in a particular situation.
7. Honoring Our Promises and Commitments
The core of every relationship and organizational integrity is the keeping of promises and commitments, whether express or implied. Therefore, LawVisory team members agree to always keep our promises and commitments to each other and our clients, while also upholding our ethical duties as attorneys.
8. Exceed Expectations
LawVisory team members agree to always provide services and value to our clients and each other with the idea that if we provide more value than what is expected, this exchange in abundance will lead to a dramatically increased growth and prosperity in our firm, for us personally, and for our clients. As part of this, initial and ongoing expectations should be managed so as to achieve this principle.
9. Always Pursue Excellence
LawVisory team members agree to always pursue the highest levels of excellence in the preparation and delivery of our services to our clients and each other. As such, errors should always be eliminated through care and concern for even the smallest details through adequate personal and peer reviews of our work product. We believe that quality should always be treated as superior to the speed of the delivery of our services and work product.
10. Respectful and Effective Communication
As the root cause of most dysfunctionality in any organization is usually a breakdown in communication and a breakdown in communication is usually caused by a lack of understanding. Therefore, our team members agree to always seek to understand another’s perception of a situation through clear and respectful communication. This shall require respect for another person’s perspective so as to find agreement with that person before seeking to be understood and without the need to be “right”.