Our Experts
Our Team is powered by seasoned experts who have both in-house advisor and regulatory compliance consulting experiences, and who have had both investment operations and compliance functional responsibilities.
We provide the process, support staff and tools to ensure our Team members implement best-in-class compliance programs, and that enable their forward-looking consultative client counsel.
Our Founders
Stefanie J. Little
FOUNDER AND PARTNER
Stefanie Little is a Founder and Partner of Chenery Compliance Group. Additionally, she is Managing Partner of SEC Compliance Alliance. Ms. Little currently serves as the Chief Compliance Officer for several investment industry clients.
Ms. Little was previously affiliated with a legal and compliance firm through which she acted as Chief Compliance Officer for a number of entities, including registered investment advisers and mutual funds. In conjunction with those roles, she developed and oversaw investment adviser and registered fund compliance programs, performed annual compliance reviews, conducted training and managed multiple SEC examinations. Prior to 2008, Ms. Little spent several years heading first the compliance, then the legal function, at Brandywine Global Investment Management, gaining extensive experience across a variety of investment products and vehicles.
Ms. Little has been in the investment management industry since 1999 and is a graduate of Widener Law School and the University of Delaware’s Lerner College of Business and Economics.
Thomas C. De Cain
FOUNDER AND PARTNER
Thomas De Cain is a Founder and Managing Partner of Chenery Compliance Group. Additionally, he is Managing Partner of Chenery Group, a boutique consultancy serving the investment management and alternatives industry.
Mr. De Cain previously launched the investment management practice for a top 20 global boutique consultancy. He held various senior distribution roles at a top global asset management and investment banking firm, and led the European launch of the stock exchange. He built two consultancy and service companies through exponential growth and subsequent sale.
A graduate of Bucknell University, Mr. De Cain received an MBA from Northwestern’s Kellogg Graduate School of Management.