New Levers of Control: Candid Discussions about Becoming an RIA

Join MarketCounsel’s founder and managing director, Brian S. Hamburger, JD, CRCP, AIFA, as he navigates through some of the most pressing legal and compliance considerations to becoming an independent Registered Investment Advisor (RIA). 

Immediately following his presentation, Catherine Avery, CFA, George Kress, CFA, and Mark Ukrainskyj, CFA, will discuss their experiences as advisors and focus on their Secrets of Success.  They will address timely and clear reporting, compliance, legal, regulatory, communication, and other issues that may often be overlooked.  They will also discuss roadblocks, large and small, that impede them from doing business optimally.

Biography

Brian S. Hamburger is the founder and managing director of MarketCounsel, a business and regulatory compliance consulting firm to some of the country’s preeminent entrepreneurial independent investment advisors. He is also the founder and managing member of the Hamburger Law Firm, a boutique law firm practicing investment and securities law as well as relevant corporate and employment matters. For four years running, MarketCounsel has been named one of the fastest growing private companies in the U.S. by Inc. Magazine. Hamburger’s prior experience spans government, both regulatory with the Enforcement Division of the U.S. Securities & Exchange Commission and judicial with the U.S. District Court and the state appellate court; from booking trades as a wirehouse intern to serving as chief compliance officer of an SEC-registered investment adviser; and, of course, private law practice. A graduate of Quinnipiac College, Hamburger received his BS with the school's first dual major in economics and financial management and then his Juris Doctor from the University of Miami School of Law. He then acquired the designation of Certified Regulatory and Compliance Professional (CRCP) from the Wharton School and the FINRA Institute as well as the Accredited Investment Fiduciary Analyst^™ (AIFA^®).

George R. Kress, CFA, founded Skylands Advisory Services LLC to provide consultative support to registered investment advisors, with expertise including investment management marketing, compliance, research and administration. Previously he was a founding member and managing director of Byram Capital Management, a $1.1 billion registered investment advisor in Greenwich, CT. At Byram Capital, Kress was the firm’s liaison to the investment consulting community. He was the firm’s chief compliance officer, chief financial officer and a member of the board of directors. Previously, Kress was a performance analyst at Axe-Houghton Associates, a $4.0 billion registered investment advisor. He worked as an equity analyst at Argus Research Company and as a research analyst at Hallmark Capital Management, a $500 million registered investment advisor. Kress received a MBA from Rutgers University and a BS from Seton Hall University. He is a member of CFA Institute and NYSSA. 

Catherine Maniscalco Avery, CFA, founded CAIM LLC in 2007 after more than 20 years of successfully managing client assets at major institutions.  CAIM is an independent, owner-run investment management firm specializing in managing customized investment portfolios for women and Baby Boomers.  Catherine’s investment career and credentials are broad; she has worked for a number of leading investment firms in the U.S., including Morgan Stanley, Shearson Lehman Hutton, Prudential Securities, and Merrill Lynch.  She also has vast portfolio management experience spanning a wide range of asset classes.  She has been widely cited as an expert portfolio manager in such news sources as Financial Planning Magazine, The New York Times, Consumer’s Digest, Fox Business, and National Post of Canada. Catherine has a degree in Finance from New York University, and is a member of NYSSA and the Stamford CFA Society.

Mark Ukrainskyj, CFA, is the chief investment officer of American Economic Planning Group, Inc. (AEPG), providing personalized comprehensive wealth management to individuals, families, and business owners. Ukrainskyj’s responsibilities include supervision of the firm’s investment operations, investment research, portfolio analysis and design, monitoring of client portfolios, and formulation of investment strategy. He chairs the firm’s Investment Committee. Ukrainskyj is also a member of NYSSA’s board of directors. Ukrainskyj holds a Bachelor of Science in finance and multinational management from the Wharton School of Business at the University of Pennsylvania, and a Masters of Business Administration in finance from the Haas School of Business at the University of California. Ukrainskyj holds the Series 66 designation from FINRA.

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