S
Strategic
Compliance aligned with business objectives, growth initiatives, and fiduciary responsibilities.
SMART Compliance Group
Strategic Compliance & Legal Guidance for RIAs
SMART Compliance Consulting, LLC
Compliance Consulting & Regulatory Advisory Services
LouBrooksLaw, PLLC
Outside General Counsel & SEC Regulatory Legal Services
Lou Brooks
Strategic Compliance & Legal Advisor to RIAs
Former Chief Compliance Officer & General Counsel
Meet Lou Brooks
Judgment shaped by legal, compliance, and executive leadership experience.
Lou Brooks is a Strategic Compliance & Legal Advisor to Registered Investment Advisers with more than 30 years of legal experience and executive leadership experience as both Chief Compliance Officer and General Counsel.
Having served within a $1+ billion wealth management organization, Lou understands the practical challenges faced by advisory firm owners, executives, and compliance professionals.
30+ YearsLegal experience
CCO & GCLeadership experience
$1+ BillionWealth management experience
Through SMART Compliance Group, Lou provides compliance consulting, regulatory guidance, and strategic advisory services designed to help RIAs build scalable compliance programs, strengthen fiduciary culture, and manage regulatory risk.
Legal services are available separately through LouBrooksLaw, PLLC when attorney-client representation is appropriate.
The SMART Framework
Strategic Monitoring, Advisory, Risk & Training
A practical framework designed to help RIAs build defensible compliance programs while supporting sustainable growth and fiduciary excellence.
M
Monitoring
Ongoing testing, surveillance, oversight, and reporting designed to identify issues before regulators do.
A
Advisory
Practical legal and regulatory guidance informed by real-world experience as both General Counsel and Chief Compliance Officer.
R
Risk
Identification, assessment, and mitigation of regulatory, operational, and reputational risks.
T
Training
Building a culture of compliance through education, accountability, and continuous improvement.
Services
Practical support for advisory firms facing real regulatory and business decisions.
Outsourced CCO Support
Experienced compliance leadership and oversight tailored to your firm's size, complexity, and growth objectives.
Compliance Program Development
Design, implementation, and enhancement of scalable compliance programs aligned with regulatory requirements and business realities.
SEC Examination Readiness
Preparation, mock examinations, document reviews, and strategic guidance before, during, and after SEC examinations.
Regulatory Risk Management
Identification and mitigation of regulatory, operational, and reputational risks across advisory operations.
Outside General Counsel Support
Strategic legal guidance relating to governance, contracts, business operations, regulatory matters, and risk management.
AI Governance & Compliance
Practical frameworks for implementing artificial intelligence responsibly while maintaining compliance and fiduciary obligations.
Why RIAs Work With Us
Compliance advice grounded in experience, judgment, and business reality.
Former Trial Lawyer
Decades of legal experience advising clients through complex legal and regulatory matters.
CCO & GC Perspective
Hands-on leadership experience overseeing legal and compliance functions inside a growing wealth management organization.
Business-Minded Advice
Compliance solutions designed to support growth while maintaining strong regulatory controls.
Fiduciary Culture
Helping firms reinforce fiduciary principles throughout the organization.
Regulatory Readiness
Guidance designed to help firms prepare for scrutiny before issues become urgent.
Practical Execution
Actionable recommendations that can be implemented in the real world—not guidance that sits on a shelf.
Contact
Schedule a confidential consultation.
Whether you're preparing for an SEC examination, evaluating your compliance program, implementing new technologies, or seeking ongoing strategic compliance and legal guidance, we'd welcome the opportunity to learn more about your firm.
- Phone: 202-443-4273
- Location: Northern Virginia | Washington, DC Metropolitan Area
- Service Area: Serving RIAs Nationwide
Request a Confidential Consultation
This form is intended for consultation requests only. Do not submit confidential, privileged, or time-sensitive information through this form. A secure web form can be connected through the website host or scheduling platform.
Privacy & Terms
Website, Contact Form, and SMS Terms
Privacy Policy
SMART Compliance Group collects information you voluntarily provide through this website, including your name, firm name, email address, phone number, and the contents of your inquiry. We use this information to respond to your request, schedule consultations, provide information about our services, and maintain business records.
If you provide a phone number and consent to receive text messages, we may use that number to communicate with you about your inquiry, scheduling, and related services. Message and data rates may apply. Message frequency may vary. You may opt out of SMS communications at any time by replying STOP. Reply HELP for help.
No mobile information will be shared with third parties or affiliates for marketing or promotional purposes. Text messaging originator opt-in data and consent will not be shared with any third parties, except as necessary to provide messaging services, comply with law, or protect our rights.
Terms of Use
This website is provided for general informational purposes only. It does not provide legal advice, compliance advice specific to your firm, or investment advice. Viewing this website or submitting a contact form does not create an attorney-client, consultant-client, fiduciary, or confidential relationship.
Legal services are provided separately through LouBrooksLaw, PLLC only when attorney-client representation is appropriate and expressly agreed to in writing. Compliance consulting services are provided separately through SMART Compliance Consulting, LLC or another applicable engagement structure.
By submitting a contact form, you agree that SMART Compliance Group may contact you regarding your inquiry. If you separately consent to SMS communications, you agree to receive text messages as described above. Consent to receive text messages is not a condition of purchasing services.