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Jeffrey Andrew Smith

Securities offerings Attorney at Washington, DC

5.0   5 reviews

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About Jeffrey

Learn Jeffrey’s areas of practice.

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

Licensed for 22 years
State DC
Status Good Standing
Acquired 2013
Updated 06/08/2022
State MI
Status Active in Good Standing
Acquired 2007
Updated 02/23/2023
State KY
Status Active
Acquired 2000
Updated 12/20/2022

We have not found any instances of professional misconduct for this lawyer.

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1250 Connecticut Ave NW
Washington, DC, 20036


5.0 / 5.0
  5 customer reviews
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1 Star
Posted by Kyle | October 13, 2021
This review is from a person who hired this attorney.
| Hired Attorney
Great Experience!
I was in need of a quick legal review, and had a deadline. Jeff was the first lawyer to get back to me out of multiple contacts on Avvo. He responded very quickly, knew exactly what I needed, and completed the job in a timely manner. Jeff was also very thorough, and was able to identify critical elements that needed adjustment.
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Posted by Phil | July 14, 2021
This review is from a person who hired this attorney.
| Hired Attorney
Managing Partner
Jeff and his team have provided stellar service, guidance and counsel to our investment programs. They have exceeded expectations at every turn and helped us to transition/upgrade our compliance program in a detailed and efficient manner.
Posted by anonymous | July 12, 2021
This review is from a person who hired this attorney.
| Hired Attorney
The counsel we needed
Jeff is a talented and resourceful attorney who helped our company with a highly challenging situation. I wholeheartedly recommend him.
Posted by Jeff | July 12, 2021
This review is from a person who hired this attorney.
| Hired Attorney
A true jack of all trades
Jeff Smith has a deep knowledge of the securities laws and the practical operational implications that the law might have on advisory firms. He understands what his clients needs are and works with them and his colleagues to ensure those needs are met or exceeded. He is passionate about the practice of law as well as practical and efficient. Through his various firms (LawVisory and RIACF) Jeff is able to cover all his client's regulatory needs. He is a true professional.
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Posted by Marc | July 12, 2021
This review is from a potential client who consulted with this attorney.
| Consulted Attorney
Excellent compliance, corporate and securities attorney
Jeff Smith provides sound, practical and effective guidance across the field of corporate and securities law. His wealth of knowledge and experience is extremely valuable to clients in regulated industries in general and in the asset management space in particular. Jeff is a capable, reliable, and passionate attorney and he brings his skills to bear in his sound and efficient analysis of legal issues, shepherding transactions through to successful closing and the wide array of general corporate and securities law issues that his clients confront on a daily basis. I cannot recommend him highly enough.
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AVVO RATING 7.5 (Very Good)

Work Experience

  • Managing Attorney
  • LawVisory
  • 2006 - Present
  • Chief Legal Officer & Chief Compliance Officer
  • Virtue Capital Management LLC
  • 2019 - 2021
  • Chief Compliance Officer & Assistant General Counsel
  • Research Affiliates LLC
  • 2013 - 2016


  • Georgetown University Law Center
  • L.L.M. Securities & Financial Regulation, with Distinction
  • 2009
  • University of Kentucky College of Law
  • JD - Juris Doctor
  • 1999

Languages Spoken

  • English

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Washington Securities offerings Lawyer Jeffrey Andrew Smith
Jeffrey Andrew Smith
Securities offerings Attorney
Washington, DC
Licensed for 22 years