About Us

Let's Connect

Uniquely Qualified, Keenly Focused
on Your Success

Ernest J. C'DeBaca

JD  LL.M  CFP®

“Ernie the Attorney”
With broad and diverse experience within the legal and financial services industries, Ernie is uniquely qualified and keenly focused on helping organizations increase their growth and solve their legal, compliance and financial issues. By leveraging his executive-level business acumen, notable legal experience and financial services expertise, he is able to provide comprehensive solutions that can help firms create and maintain an environment which ensures their regulatory compliance processes and environment are robust, without being a drag on production and revenue.
Ernie focuses his practice on RIA law and compliance, private equity, venture capital, and general corporate law. Previously, he has served as in-house counsel and held various compliance leadership roles within asset management organizations from start-ups to global firms. He began his legal career focusing on tax law, estate planning and asset protection and also served as an attorney in the Division of Investment Management of the U.S. Securities and Exchange Commission.
Away from the office, he enjoys spending time with his wife, and their three kids. They have deep ties to their local community and are actively involved with several local non-profit organizations, their HOA and their church. Ernie constantly strives to keep up to date on world and market events as well as financial services and legal industry best practices. Whenever possible, he remains optimistic about improving his golf game.
RIA Compliance Group

All of our Compliance packages are powered by the resources and experience of our trusted partners at RIA Compliance Group.  RIA Compliance Group helps us provide a full suite of compliance consulting services.  Please see more
about RIA Compliance Group on their website at: www.ria-compliance.com.

We’ve partnered with RIA Compliance Technology, to utilize their state-of-the-art compliance portal as well as their solutions for trade monitoring and email archival. Please see more about RIA Compliance Technology on their website at: www.riacomptech.com. RIA Compliance Tech services include: Simple Compliance Portal; Simple Email, Social Media & Website Archive; Simple Trade Monitor; Simple Text Msg. Archive; and Simple Form ADV Solutions.

Securixlaw

Legal Services provided by our affiliate, Securix Law, PLLC.