Lauri is an executive compensation and corporate attorney who guides leading executives through significant career events and negotiates complex compensation terms and post-employment restrictions.

Her experience as a corporate and securities attorney allows her to navigate varied compensation structures, including profits interests, carried interests, and waterfalls, whether she is structuring executive compensation or advising clients on complex business transactions.

As a former general counsel, Lauri also frequently serves as a “fractional” general and employment counsel by providing practical business advice to RIAs and corporate and individual clients focused on growing and developing their businesses. Lauri’s clients span various industries, including finance, real estate and medicine, and her background in financial services has made her a go-to advisor for financial industry leaders and private equity portfolio company executives. Having served as GC and Chief Compliance Officer to SEC-registered investment advisers (“RIAs”), Lauri has a special focus on RIA clients and provides industry specific counsel to RIAs in employment, compliance, corporate and transactional matters.

Before she began her legal career, Lauri was a certified public accountant (CPA) and worked in both public and private accounting, specializing in the financial services sector.

Executive Contracts and Compensation:

• Analyzing and Negotiating Agreements for individual executives, management teams and corporate clients including:

• Employment agreements, deferred compensation, equity plans, and compensation and incentive plans, grants and awards, profits interests, carried interests, LLC agreements, partnership agreements and post-employment restrictions.

• Corporate mergers and other transactions.

• Executive transitions, separations and negotiated exits, and providing advice regarding severance, deferred compensation, health benefits, equity and restrictive covenants.

Advice to RIAs and their Executives:

• Employment agreements, policies, compensation arrangements and incentive plans.

• Corporate and investment advisory contracts, compliance manuals, policies and procedures, marketing materials and regulatory disclosure documents.

• Securities and Exchange Commission (SEC), state and Department of Labor (DOL) regulatory and operational compliance.

• Assisting with SEC examinations, drafting responses and addressing deficiencies.

• General corporate and operational matters and contracts.

Entrepreneurs/Emerging companies:

• General corporate matters, and contracts.

• Compensation, equity and business matters.

• Consulting, independent contractor and employment agreements, client agreements.

• Practical strategies for growing and developing their businesses.

Speaking Engagements

“Navigating Executive Contracts: What Every CMO Needs to Know: Cyber Marketing Con,” Philadelphia, December 2024

“Negotiate Smarter: An Offer Isn’t Final til You Sign,” AlphyTalk Tomorrow! , June 2022

“How to Negotiate Salary, Compensation and Employment Agreements”, St. Catherine’s Support Circle presentation, February 2022

“Mastering the Latest Twists to the SEC’s Custody Rules,” 21st Annual IA Compliance: The Full 360° View East, March 2019

Publications

The SEC Is Serious About the Whistleblower Protection Rule. Don’t Blow It!, NSCP Currents, January 2025

"A Look at What the SEC's IA Fiduciary Duty Interpretation Means to You," Regulatory Compliance Watch, October 2019

“Overview of SEC Advertising Rules for Advisers” Regulatory Compliance Watch, January 2019

Insights Blog Post

The SEC is Serious about the Whistleblower Protection Rule. Don’t Blow It!

RISK ALERT: DOE Shares Results of Marketing Rule Exams

FinCEN WANTS YOU! (TO REPORT), The Corporate Transparency Act – a Handy Guide.

Investment Advisers: Time is Up! Are your Marketing Policies and Procedures Exam-Ready?

Investment Advisers: Have You Reviewed Your Fees and Billing Practices?

Investment Advisers: Are you ready for your next SEC Examination?

RIAs and BDs: Where are the Red Flags?

Investment Advisers and Broker Dealers: Thought You Finished Your Form CRS? Think Again

OCIE Issues Risk Alerts for Form CRS and Reg BI Prior to Compliance Dates

Regulation BI: A Clarification for Investment Advisers or an Enhanced Standard of Conduct?

CCOs: Preparing for the New Advertising Rule

Does the SEC Expect Investment Advisers to make a Sweeping Compliance Upgrade?

Customize your IA Compliance Program

Investment Advisers: Did You Attach Your Annual Privacy Notice to Your Form ADV Update?

Investment Advisers: Do Your Employees Text or Post on Social Media?

Investment Advisers: Using Performance Claims in Marketing?