John L. Shields, CPA
John Shields, CPA is a Managing Principal and Co-Founder of MainStay Consulting Group LLC and AdvisorAssist™. John has over 34 years of asset management industry experience, with an emphasis on regulatory and compliance issues. John’s compliance and regulatory background includes 13 years of public accounting experience at Deloitte’s New York practice office and heading the investment management consulting practice of Navigant Consulting, a leading international forensic and litigation support consulting firm, during the implementation timeframe of Rules 206(4)-7 of the Investment Advisers Act and 38a-1 of the Investment Company Act which have imposed significant compliance requirements on the Investment Advisor and Investment Company industries.
John is an Independent Trustee of the Domini Funds mutual funds complex, and Chair of the Audit Committee.
John has also served as CEO of Registered Investment Advisor firms serving the needs of retail, institutional, and investment company clients.
Contact Information:
Phone -- 617.794.2784
Email -- jshields@advisorassist.com
Christopher E. Winn
Chris Winn is a Managing Principal and Co-Founder of MainStay Consulting Group LLC and AdvisorAssist™. Chris has over 16 years of asset management industry experience, with a focus on regulatory compliance, investment management operations and technology issues.
Prior to forming MainStay Consulting, Chris served as an Associate Director in the investment management consulting practice of Navigant Consulting, a leading international 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 also 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:
Phone -- 617-532-0925 x102
Email -- cwinn@advisorassist.com
Renee O. Hall
Renee Hall is a Senior Vice President of MainStay Consulting Group LLC and AdvisorAssist™. Renee has twenty-five years of corporate legal and financial services experience. Renee’s primary role at MainStay Consulting is managing the registration and ongoing compliance services for clients of AdvisorAssistTM.
Prior to joining MainStay Consulting, Renee was a Senior Compliance Specialist serving registered investment advisory firms nationally with registration, product development and ongoing compliance consulting services. Previously, Renee served in compliance and Paralegal roles working with the Chief Executive Officer and Legal Counsel of a mutual fund company and investment advisor firm providing ongoing training, compliance support and implementing compliance initiatives to assist the company in meeting its regulatory compliance requirements.
Contact Information:
Phone -- 617-532-0925 x106
Email -- rhall@advisorassist.com
Alexis Gray
Alexis Gray is Vice President, Compliance and Registration and is responsible for all aspects of client service to AdvisorAssist’s financial advisor clients. Prior to taking time away from the industry to manage the growth of her family, Alexis spent 17 years at Putnam Investments in Boston, initially managing regulatory licensing of personnel and registration of the mutual funds, and later managing institutional relationships. While at Putnam, Alexis was a member of the Investment Company Institute’s Blue Sky Committee.
A graduate of Salem State College, Alexis is very active in Seacoast NH community volunteerism.
Contact Information:
Phone -- 603.781.4926
Email -- agray@advisorassist.com
Patrick Dunn
Patrick Dunn is Vice President, Risk and Compliance and is responsible for investment advisor registration and compliance program design for AdvisorAssist’s financial advisor clients. Pat has over 9 years of asset management industry experience working with a number of financial service companies throughout the world. Pat has spent the majority of his career working in client facing situations, assisting investment advisers, investment companies and hedge funds to design, develop and test their overall risk and compliance programs. Pat has led numerous international compliance and operational due diligence visits on behalf of his clients. He also has experience in assisting organizations with the documentation and development of business processes and internal controls.
Pat is a graduate of Boston College with a B.A. in Communications. He earned an MBA with a focus on finance from the University of Notre Dame.
Contact Information:
Phone -- 617.532.0925
Email -- pdunn@advisorassist.com
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