Chris Winn

Christopher E. Winn
Founder and Managing Principal AdvisorAssist

Chris has over 17 years of asset management industry experience, with a focus on regulatory compliance, investment management operations, distribution and technology matters. Chris founded AdvisorAssist to help close the increasing gap in support for small and medium advisory firms. As the financial burden for compliance and business support for advisors has increased significantly over the past decade, many providers have simply tried to force big firm policies, controls and systems on small firms. There is a better way.

Chris serves as an Advisory Board member for several investment management and technology firms. 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. 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 as 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