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MarketCounsel is the leading business and regulatory compliance consulting firm to the country’s preeminent entrepreneurial independent investment advisers, operating in collaboration with the Hamburger Law Firm, whose expertise extends to virtually all areas of the investment and securities industry as well as entrepreneurial, firm structure and governance and employment matters. Together, MarketCounsel and HamburgerLaw represent an unparalleled combination of exceptionally incisive counsel and uncompromising service. Under the leadership of its President & CEO Brian Hamburger, the firm has been the strategic architect behind many of the industry’s largest and most successful transitions to independence as well as a staunch and influential advocate for the independent investment adviser community. Its professionals are regularly called upon to speak at national conferences as well as MarketCounsel’s own annual Summit, a gathering of the industry’s top advisers and thought leaders, and advocate for the investment adviser community with Congress, the SEC and state regulators.

Brian Hamburger

Managing Member

Award Category
Compliance: Law Firms
Initiative
Advance Contract Management

A critical component of the journey to independence is the creation of a new firm with the infrastructure and capabilities envisioned by its entrepreneurial founders. To accomplish this, the Hamburger Law Firm acts as agent to facilitate the execution and financing of certain contracts with vendors on behalf of the new entity. In the past year, this program has been enhanced to offer negotiation of a broader array of vendor agreements and direct integration with commonly-used technology vendors from whom we’ve secured favorable financial and implementation terms for our clients.

Award Category
Compliance: Law Firms
Initiative
Form CRS Implementation

As part of its Reg BI framework, the SEC considers its creation of Form CRS (Client Relationship Summary) to be a watershed development in encouraging greater transparency in the advisor-client relationship. Yet this change may seem to generate more questions than it answers. But not for MarketCounsel Consulting clients, who’ve been educated by the firm and are being guided through the development of their version of this critical new public disclosure. For example, though much of the information required by Form CRS is already included in advisers’ ADV disclosure brochure, MarketCounsel Consulting is helping clients to integrate this requirement fully into their firm’s policies and procedures to ensure their successful compliance while also understanding how to use this new tool to strengthen client relationships.

Award Category
Succession/Ownership Transition Services – Non-Custodian/Broker Dealer
Initiative
Securing the Future of Your Firm: How to Prepare to Buy, Sell or Merge

In response to widespread industry demand, MarketCounsel has developed a holistic educational series to introduce advisors to the M&A opportunity in our sector and help them assess if this strategy is aligned with their firm’s future growth plans. In this two-part program, advisors survey recent developments in the M&A marketplace and are equipped with the tools to evaluate their firm and its potential to leverage this opportunity successfully, either as an inorganic growth strategy or succession solution. Through a process of guided reflection and critical self-assessment, the hundreds of advisors to whom it’s been offered by invitation have been able to gain a better understanding of their firm’s M&A prospects as well as the ability to develop a comprehensive plan to pursue this strategy successfully.

Resources
EBOOK
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VIDEO
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WEBINAR
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