Christopher E. Winn
CEO and Lead Consultant
Chris founded AdvisorAssist in 2006 to provide comprehensive support to elite advisory firms seeking independence and risk-managed growth. Chris has nearly 30 years of investment management industry experience, with a focus on regulatory compliance, business transitions, and operations/technology matters.
Prior to founding AdvisorAssist, Chris was a Co-founder and Managing Principal of MainStay Consulting Group, LLC, a strategy and compliance consulting firm serving the needs of investment advisors, fund complexes and private investment firms. Winn sold MainStay in 2009 to focus his time solely on the needs of registered investment advisors.
Before founding MainStay, Chris was the Chief Operating Officer and Chief Compliance Officer for Open Investing, Inc., a registered investment advisor and its affiliated RIA, AdvisorNow, Inc. Prior to serving as COO/CCO, Chris was an Associate Director in the Investment Management Consulting Practice of Navigant Consulting, an international compliance, forensic and litigation support consulting firm. At Navigant, Chris led regulatory compliance teams in assessing the effectiveness of the design and implementation of compliance programs pursuant to Rule 206(4)-7 of the Investment Advisers Act of 1940, Rule 38a-1 of the Investment Company Act of 1940, and other federal securities laws.
Chris has served in several leadership roles within investment advisory firms, including Chief Compliance Officer, Chief Operating Officer, Assistant Treasurer (Mutual Funds), Vice President of Product Distribution, Vice President/Head of Business Operations, and Vice President Operations and Compliance. Chris started his career focusing on operational and regulatory challenges for investment advisors, investment companies and their service providers.
Contact Information:
Tel: (617) 800-0388
Email: [email protected]
