Existing Advisors
MarketCounsel is home to the RIA Institute for Compliance Management, a robust and proactive compliance management platform that caters to select group of entrepreneurial investment advisers nationwide. The Institute brings the very best of MarketCounsel’s thought leadership and innovative solutions exclusively to our members. Members leverage MarketCounsel’s mastery of the subject matter and administrative efficiencies to effectively outsource the majority of their compliance burdens to the most focused and well-qualified firm in the country.
Member Initiation
Candidates for membership undergo a rigorous initiation period, during which existing firms go through a special edition of our RIA Incubator program. This member initiation includes a comprehensive suite of services specifically designed to review your existing regulatory and compliance-related documents and structure, provide you with the consulting you need, along with additional services to revise, replace, overhaul, or pass upon documents necessary to your regulatory and compliance program as a registered investment adviser.
The ultimate objective of this initiation is to update and elevate your compliance program to a point of “maintenance” at the conclusion of this special edition of our RIA Incubator program. Throughout this program, you will engage with a focused and highly-skilled team of compliance professionals, led directly by Brian Hamburger, and backed by a team of dedicated and experienced administrators. No page is left unturned through this intensive initiation.
While it may seem a little daunting, many members specifically cite the comfort and confidence that came to them during this initiation period as the primary thing that gave them certainty they had made a smart decision in coming to MarketCounsel.
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