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Leading Business and Regulatory Compliance Consultancy

We counsel country’s preeminent financial advisors to navigate obstacles, clarify opportunities, and satiate their unmet curiosities about independence.

Prospective Advisors

At MarketCounsel, we know the combined value of a solution that enables advisors to succeed far exceeds the sum of its parts. Our transition strategies, delivered in conjunction with our affiliated law firm, have empowered some of the country’s most successful financial advisors to find independence.

Prospective Advisors Diagram

The RIA Incubator Program

MarketCounsel’s RIA Incubator program is packed with a comprehensive suite of services designed to provide prospective RIAs with the consulting they need to fulfill a new advisor’s registration obligations, install an initial compliance program, and leave them the confidence they need to set out and do great things. Beyond just a simple registration service, we deliver a custom, yet process-driven solution to all of their initial regulatory compliance challenges. MarketCounsel commits up-front to a true fixed fee for its services, enabling you to accurately budget for this project with absolute financial certainty. Transparency and honesty in our pricing, combined with the unique, time-tested features of the RIA Incubator program and our extraordinary personal service, distinguish MarketCounsel as an unparalleled value for investment advisor startup projects.

RIA Incubator Timeline

The RIA Incubator breathes life into the dreams of financial advisors who long for independence but are overwhelmed by the process.  Articulate the vision and leave the rest to us.

Compliance Management Programs

Membership is the embodiment of our service culture. But the success of our program can be traced to the investment we make each time a member joins us. During the time we spend on the initial project, we take a fresh look at each new member’s approach to regulatory compliance. That means immersing ourselves in their business and spending the time it takes to really get to understand their priorities and how their business is run. We know that it’s a different approach; but the dividends come throughout our relationship as we are able to not only manage but actually anticipate the unique needs of each of our members.
Quotations iconA strong regulatory compliance program establishes a non-negotiable and critical baseline standard of operations that serves as a foundation for all other sustainable successes the advisor will go on to achieve. Our compliance management membership is designed to support advisors with varying needs to achieve and maintain this operational standard. — Brian Hamburger, President & CEO
Core Membership The Core compliance management membership is designed for independent investment advisors who seek both direction and support for their regulatory compliance program but are unwilling to compromise on their baseline obligations. Through this tier of membership, we proactively deliver essential, yet tailored solutions to independent advisors that enable them to efficiently run a strong regulatory compliance program while furnishing them with a deep understanding of relevant issues to enable better business decisions. All the while, we’re committed to integrating their firm leadership into the fabric of the RIA community to build a more collegial industry; one that thrives on collaboration. Tactical Membership The best firms seem to have their head on a swivel; they look forward and backward, inside and out, seemingly simultaneously. We want to support their elaborate holistic vision. Tactical compliance management membership enhances the Core membership with a practical curriculum, review, and feedback that culminates in assisting them in satisfying their annual compliance review obligations. The program is designed for independent investment advisors who seek practical compliance consulting and support for their regulatory compliance program that is scheduled, replicable and well-documented. Comprehensive Membership High growth firms demand as much from their business partners as they do from themselves. And to deliver, there needs to be a fee structure that allows for the seamless delegation of responsibilities and allocation of work without the concerns of an incremental buying decision. Comprehensive membership is designed for independent investment advisors who seek regulatory compliance consulting and support for their regulatory compliance program coupled with a highly-aligned business model. To achieve this, we further enhance our Tactical membership tier by removing the impediments of incremental billing for our services.

Membership with Benefits

Membership, at any level, avails member firms to MarketCounsel Consulting’s proactive and business-savvy solutions to the regulatory challenges that face today’s investment advisor. We achieve these unique results by pairing state-of-the-art technology customized to complement its well-honed business processes, and its focused, energetic, and dedicated team of highly-skilled compliance professionals, truly the best in the business.
  • Proactive Communications
  • Responsive Consulting
  • Collaborative Consulting
  • Advertising Compliance
  • Regulatory Reporting
  • Regulatory Exam Support
  • Policy Development
  • Verification Services
  • Events and Resources
Member Initiation Our membership program is most effective when clients understand the breadth and depth of our services and qualifications and maintain high utilization rates. So, all new members participate in a thorough Member Initiation program to ensure an effective implementation of the compliance and offer a bridge to our membership program. This comprehensive orientation program provides new members with an introduction to the fundamentals of an effective RIA regulatory compliance program and the role of the chief compliance officer; an immersive tour of their compliance manual paired with guided completion and tailored customizations; and a deep understanding of the resources available to them as members both within, and outside, our compliance management program along with details about how to access them. The program also provides an opportunity for MarketCounsel to perform an operational assessment to better understand the other systems that makeup the advisor’s stack, take inventory of business processes and internal / external resources. In short, we seek to gain a more meaningful understanding of the member’s business and for them to understand how to get the most value from their relationship with us. Member Academy Member Academy is our ongoing training curriculum that provides members with context and understanding about the most relevant issues through our regular stream of episodes throughout the year. The on-demand webcast series features an evolving array of trending and emerging regulatory compliance and risk management topics. MARK by MarketCounsel Among the greatest assets of independent investment advisors is, well, their independence. It’s to operate their firm in the manner they envision and leverage hand-picked service providers to amplify their effect. MARK by MarketCounsel has been designed to be the tool that can take entrepreneurs out of the project manager role and back to what they love. Our proprietary application aligns our efforts on real business objectives while allowing the entrepreneurs to maintain visibility of the big picture and control over its elements.

Collaborating with Legal Counsel

The line that separates “legal” and “compliance” functions has long challenged the securities industry. Certain services are considered the “practice of law” by the state(s) where our members conduct business and those services are protected from participation by anyone unless they are acting as an attorney for our members. MarketCounsel Consulting puts a team of seasoned compliance professionals to work for our members providing the highest caliber of regulatory compliance consulting to the industry. Many of our compliance professionals are attorneys who serve as our staff attorneys. However, under a MarketCounsel Consulting engagement, our staff attorneys do not serve as attorneys for our members. These same individuals may be engaged to serve as attorneys for our members through our separate but affiliated law firm, the Hamburger Law Firm. This representation is done under a separate written agreement and fee. Of course, engaging an attorney is a decision that should only be made after careful consideration of an attorney’s qualifications and experience. We will coordinate our efforts with members’ legal counsel, either our affiliated law firm or any independent counsel that our members retain.

We’re There Throughout the Advisor Lifecycle

MarketCounsel Consulting, along with its affiliated law firm, the Hamburger Law Firm, stands alone in providing the only true lifecycle solution designed for independent investment advisors. Whether you call it start-to-finish, end-to-end, or cradle-to-grave, it’s no wonder why so many of them call upon us as their most trusted advisor.
STARTUP
  • RIA Incubator®
  • Transition Intelligence™ (Employment Transition Planning)
  • Intelligent Entity™
 OPERATIONS
  • Advertising Compliance
  • Regulatory Reporting
  • Regulatory Exam Support
 EXIT
  • Policy Development
  • Verification Services
  • Events and Resources

Custom Consulting

We have developed a broad portfolio of custom consulting services to meet the needs of larger financial institutions. As one of the industry’s most trusted brands, we speak in a genuine voice that is both thoughtful, direct and unafraid of controversy.

Speaker’s Bureau
We are always open to sharing our years of learning, and welcome your requests and suggestions for presenting on a variety of topics. Perhaps you would like to discuss the intricacies of our industry-leading investment advisor launch process, including what to expect and common pitfalls, as well as issues faced by advisors shortly after registration. In that case, one of our presentations geared towards new entrants in the industry will leave your attendees feeling well-prepared for the road ahead. Or, perhaps your audience is primarily comprised of experienced practitioners. Let us discuss some practical, hands-on topics such as new and proposed regulation or challenges faced by RIAs. We strive to ensure that our presentations include a broad landscape and incorporate practical suggestions in order to allow attendees to put the issues presented into perspective and into action.

Writer’s Bureau
In addition to our speaking engagements, we often collaborate with industry leaders to prepare written articles on relevant regulatory compliance topics for publication in newsletters, whitepapers, websites, and more. Leveraging our expertise in registered investment adviser regulatory compliance and risk management, in conjunction with our creativity and straightforward approach, we produce stunning content to share with your audience.

Verification Services
When it’s critical to ensure that your compliance program adequately reflects the stringent regulatory requirements imposed upon investment advisors, we stand ready to evaluate the efficacy and readiness of a firm’s compliance program. Whether it’s part of acquisition due diligence, staff turnover, or a specific concern, our verification services gives industry executives the insight they need to make informed business decisions.

Litigation Support
As leaders in the securities industry, we will review your case to identify if there were any violations of laws, rules, regulations or professional standards to ascertain if there is a credible grievance. Should you then decide to move forward with litigation, we remain available to assist with discovery support, consult on the formulation of a strategy and furnish expert witness testimony.

Prospective Advisors

At MarketCounsel, we know the combined value of a solution that enables advisors to succeed far exceeds the sum of its parts. Our transition strategies have empowered some of the country’s most successful financial advisors to find independence.

The RIA Incubator Program

MarketCounsel’s RIA Incubator program is packed with a comprehensive suite of services designed to provide prospective RIAs with the consulting they need to fulfill a new advisor’s registration obligations, install an initial compliance program, and leave them the confidence they need to set out and do great things. Beyond just a simple registration service, we deliver a custom, yet process-driven solution to all of their initial regulatory compliance challenges.MarketCounsel commits up-front to a true fixed fee for its services, enabling you to accurately budget for this project with absolute financial certainty. Transparency and honesty in our pricing, combined with the unique, time-tested features of the RIA Incubator program and our extraordinary personal service, distinguish MarketCounsel as an unparalleled value for investment advisor startup projects.

The RIA Incubator breathes life into the dreams of financial advisors who long for independence but are overwhelmed by the process.  Articulate the vision and leave the rest to us.

Compliance Management Programs

Membership is the embodiment of our service culture. But the success of our program can be traced to the investment we make each time a member joins us. During the time we spend on the initial project, we take a fresh look at each new member’s approach to regulatory compliance. That means immersing ourselves in their business and spending the time it takes to really get to understand their priorities and how their business is run. We know that it’s a different approach; but the dividends come throughout our relationship as we are able to not only manage but actually anticipate the unique needs of each of our members.
A strong regulatory compliance program establishes a non-negotiable and critical baseline standard of operations that serves as a foundation for all other sustainable successes the advisor will go on to achieve. Our compliance management membership is designed to support advisors with varying needs to achieve and maintain this operational standard. — Brian Hamburger, President & CEO
Core Membership The Core compliance management membership is designed for independent investment advisors who seek both direction and support for their regulatory compliance program but are unwilling to compromise on their baseline obligations. Through this tier of membership, we proactively deliver essential, yet tailored solutions to independent advisors that enable them to efficiently run a strong regulatory compliance program while furnishing them with a deep understanding of relevant issues to enable better business decisions. All the while, we’re committed to integrating their firm leadership into the fabric of the RIA community to build a more collegial industry; one that thrives on collaboration. Tactical Membership The best firms seem to have their head on a swivel; they look forward and backward, inside and out, seemingly simultaneously. We want to support their elaborate holistic vision. Tactical compliance management membership enhances the Core membership with a practical curriculum, review, and feedback that culminates in assisting them in satisfying their annual compliance review obligations. The program is designed for independent investment advisors who seek practical compliance consulting and support for their regulatory compliance program that is scheduled, replicable and well-documented. Comprehensive Membership High growth firms demand as much from their business partners as they do from themselves. And to deliver, there needs to be a fee structure that allows for the seamless delegation of responsibilities and allocation of work without the concerns of an incremental buying decision. Comprehensive membership is designed for independent investment advisors who seek regulatory compliance consulting and support for their regulatory compliance program coupled with a highly-aligned business model. To achieve this, we further enhance our Tactical membership tier by removing the impediments of incremental billing for our services.

Membership with Benefits

Membership, at any level, avails member firms to MarketCounsel Consulting’s proactive and business-savvy solutions to the regulatory challenges that face today’s investment advisor. We achieve these unique results by pairing state-of-the-art technology customized to complement its well-honed business processes, and its focused, energetic, and dedicated team of highly-skilled compliance professionals, truly the best in the business.
  • Proactive Communications
  • Responsive Consulting
  • Collaborative Consulting
  • Advertising Compliance
  • Regulatory Reporting
  • Regulatory Exam Support
  • Policy Development
  • Verification Services
  • Events and Resources
Member Initiation Our membership program is most effective when clients understand the breadth and depth of our services and qualifications and maintain high utilization rates. So, all new members participate in a thorough Member Initiation program to ensure an effective implementation of the compliance and offer a bridge to our membership program. This comprehensive orientation program provides new members with an introduction to the fundamentals of an effective RIA regulatory compliance program and the role of the chief compliance officer; an immersive tour of their compliance manual paired with guided completion and tailored customizations; and a deep understanding of the resources available to them as members both within, and outside, our compliance management program along with details about how to access them. The program also provides an opportunity for MarketCounsel to perform an operational assessment to better understand the other systems that makeup the advisor’s stack, take inventory of business processes and internal / external resources. In short, we seek to gain a more meaningful understanding of the member’s business and for them to understand how to get the most value from their relationship with us. Member Academy Member Academy is our ongoing training curriculum that provides members with context and understanding about the most relevant issues through our regular stream of episodes throughout the year. The on-demand webcast series features an evolving array of trending and emerging regulatory compliance and risk management topics. RIAglass Among the greatest assets of independent investment advisors is, well, their independence. It’s to operate their firm in the manner they envision and leverage hand-picked service providers to amplify their effect. RIAglass has been designed to be the tool that can take entrepreneurs out of the project manager role and back to what they love. Our proprietary application aligns our efforts on real business objectives while allowing the entrepreneurs to maintain visibility of the big picture and control over its elements.

Collaborating with Legal Counsel

The line that separates “legal” and “compliance” functions has long challenged the securities industry. Certain services are considered the “practice of law” by the state(s) where our members conduct business and those services are protected from participation by anyone unless they are acting as an attorney for our members. MarketCounsel Consulting puts a team of seasoned compliance professionals to work for our members providing the highest caliber of regulatory compliance consulting to the industry. Many of our compliance professionals are attorneys who serve as our staff attorneys. However, under a MarketCounsel Consulting engagement, our staff attorneys do not serve as attorneys for our members. These same individuals may be engaged to serve as attorneys for our members through our separate but affiliated law firm, the Hamburger Law Firm. This representation is done under a separate written agreement and fee. Of course, engaging an attorney is a decision that should only be made after careful consideration of an attorney’s qualifications and experience. We will coordinate our efforts with members’ legal counsel, either our affiliated law firm or any independent counsel that our members retain.

We’re There Throughout the Advisor Lifecycle

MarketCounsel Consulting, along with its affiliated law firm, the Hamburger Law Firm,.stands alone in providing the only true lifecycle solution designed for independent investment advisors. Whether you call it start-to-finish, end-to-end, or cradle-to-grave, it’s no wonder why so many of them call upon us as their most trusted advisor. STARTUP
  • RIA Incubator®
  • Transition Intelligence™ (Employment Transition Planning)
  • Intelligent Entity™
OPERATIONS
  • Advertising Compliance
  • Regulatory Reporting
  • Regulatory Exam Support
EXIT
  • Policy Development
  • Verification Services
  • Events and Resources

Custom Consulting

We have developed a broad portfolio of custom consulting services to meet the needs of larger financial institutions. As one of the industry’s most trusted brands, we speak in a genuine voice that is both thoughtful, direct and unafraid of controversy.

Speaker’s Bureau
We are always open to sharing our years of learning, and welcome your requests and suggestions for presenting on a variety of topics. Perhaps you would like to discuss the intricacies of our industry-leading investment advisor launch process, including what to expect and common pitfalls, as well as issues faced by advisors shortly after registration. In that case, one of our presentations geared towards new entrants in the industry will leave your attendees feeling well-prepared for the road ahead. Or, perhaps your audience is primarily comprised of experienced practitioners. Let us discuss some practical, hands-on topics such as new and proposed regulation or challenges faced by RIAs. We strive to ensure that our presentations include a broad landscape and incorporate practical suggestions in order to allow attendees to put the issues presented into perspective and into action.

Writer’s Bureau
In addition to our speaking engagements, we often collaborate with industry leaders to prepare written articles on relevant regulatory compliance topics for publication in newsletters, whitepapers, websites, and more. Leveraging our expertise in registered investment adviser regulatory compliance and risk management, in conjunction with our creativity and straightforward approach, we produce stunning content to share with your audience.

Verification Services
When it’s critical to ensure that your compliance program adequately reflects the stringent regulatory requirements imposed upon investment advisors, we stand ready to evaluate the efficacy and readiness of a firm’s compliance program. Whether it’s part of acquisition due diligence, staff turnover, or a specific concern, our verification services gives industry executives the insight they need to make informed business decisions.

Litigation Support
As leaders in the securities industry, we will review your case to identify if there were any violations of laws, rules, regulations or professional standards to ascertain if there is a credible grievance. Should you then decide to move forward with litigation, we remain available to assist with discovery support, consult on the formulation of a strategy and furnish expert witness testimony.

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