Compliance Law Firms

MarketCounsel is the leading business and regulatory compliance consulting firm to the country ’ s preeminent entrepreneurial investment advisors. We deliver comprehensive and sound, yet business-savvy, regulatory compliance solutions. At MarketCounsel, you will discover an impressive roster of seasoned compliance professionals p aired with state- of -the-art technology to meet, anticipate, and exceed the exacting needs of our clients. From the startup of an investment advisor through our time-tested RIA Incubator program, to the outsourced compliance department capabilities of our RIA Institute, MarketCounsel ’ s service platform consistently delivers on the promise of trusted counsel within the wrapper of extraordinary service.


MarketCounsel, The RIA Incubator™ Program

With the RIA Incubator ™ Program, MarketCounsel has upped the ante in supporting the delicate process of advisors breaking away from the wirehouse environment and successfully crossing the bridge to independence. The firm does virtually everything a team needs to ensure they are positioned to make a swift, efficient and seamless transition from captive employment to captain of their own business.

Breathing life into the dreams of financial advisors who long for independence, MarketCounsel ’ s RIA Incubator ™ Program carefully manages risk, creates businesses, designs service models, produces supporting documents, sets service providers into motion, and all in advance of advisors leaving their employment. MarketCounsel then works with industry partners to create a point- to point solution. Advisors walk into a fully furnished office just minutes after they resign and they’ve never had any of their names on a lease or revealed to many service providers or vendors in advance of the break.

Sometimes things don ’ t go as planned, and that ’ s where MarketCounsel sets itself apart. Swiftly, decisively and precisely ensuring that no matter what challenges come their way, they ’ re ready with contingency plans and alternative paths to achieve the original objective.

Breakaways are getting larger and more complex and their clients are more amenable than ever to making the move. Yesterday ’ s $500 million breakaway team is today ’ s $2 billion breakaway team. MarketCounsel is intent on continuing to drive this momentum forward and only increase the velocity of assets flowing to the independent advice channel. To call this disruptive would be an understatement.

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Brian Hamburger
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