Existing Advisors

Since its inception, MarketCounsel’s RIA Institute has established itself as the leading platform to help hundreds of the country’s preeminent investment advisors effectively deal with their most complex business challenges so they can go on to achieve great things. The Institute brings the best of MarketCounsel’s thought leadership and innovative solutions exclusively to its members through a robust and proactive platforms covering regulatory compliance and practice management.

Members avail themselves of MarketCounsel’s dynamic business processes and trusted counsel while leveraging MarketCounsel’s professional expertise and administrative efficiencies to effectively outsource critical functions to the most trusted firm in the country to manage, respond, and even anticipate the needs of entrepreneurial, independent investment advisors.

Compliance Management

Membership in MarketCounsel’s RIA Institute for Compliance Management, at any level, avails member firms to MarketCounsel’s proactive and business-savvy solutions to the regulatory challenges that face today’s investment adviser. MarketCounsel achieves its unique results by deploying state-of-the-art technology customized to complement its focused, energetic, and dedicated team of highly-skilled compliance professionals and administrators.

To complement the merits of the program, the offering revolves around a fixed fee, allowing members to confidently budget for their compliance operations without hindering access to solutions when you need them.

Practice Management

As practices grow into thriving businesses, members of the RIA Institute for Compliance Management seek to take our relationship even further. In its initial release, the RIA Institute for Practice Management offers an overlay of implementation services for many of the regulatory compliance initiatives that we are not already administering. The Practice Management Overlay offered through our RIA Institute for Practice Management does just that with monitoring, surveillance, reviews, reconciliations, verifications, and testing.

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.