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. She 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. She has 16 years of experience in the investment management industry 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 Managing 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 retained executive search boutique. He held various senior distribution roles at a top global asset management and investment banking firm, and led European sales at 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
Colleen A. Kelly Director
Colleen Kelly is a Director of Chenery Compliance Group. She previously served as Chief Compliance Officer for NADART, the financial services division of NADA, a plan administrator for over $3.3 billion in retirement assets. Ms. Kelly was Chief Compliance Officer for Cardinal Wealth Management Group which included the trust division, registered investment adviser and oversight of the broker–dealer compliance effort. Ms. Kelly was a founding principal and Chief Operating Officer for Columbia Partners Investment Management. She was involved in all aspects of starting up the compliance, financial, trade and hedge fund operations for the company. Ms. Kelly also served as a compliance and operations consultant for an investment adviser. Ms. Kelly has implemented and administered several compliance programs for both SEC and state registered investment advisers and has managed several regulatory examinations. She has over 20 years of experience in the investment management industry and is a graduate of Villanova University.
Christopher F. Brown Director
Chris Brown is a Director of Chenery Compliance Group. Chris has 13 years of experience as a Chief Compliance Officer for various entities. He recently served as Chief Compliance Officer for LGL Partners and Forbes Family Trust, multi-family offices with approximately $4.2B in assets under management. Additionally, Chris was responsible for overseeing compliance on private funds for Bala Capital Group, an affiliate of LGL and FFT. As the compliance leader, his role included surveillance, testing, audit, regulatory filings, code of ethics, personal trading and training. Mr. Brown previously worked for BNY Mellon – Lockwood Advisors where he conducted due diligence on participating managers for Lockwood’s separately managed accounts platform. These functions included initial review and ongoing compliance assessment. Mr. Brown also served as CCO & FinOp responsible for the startup of Aberdeen Fund Distributors, a $4.1B lift out from Nationwide. Prior to Aberdeen, Chris served as CCO & FinOp for Investorforce Securities, a FINRA registered Broker Dealer. Mr. Brown has successfully led the compliance functions for 6 years for FINRA regulated entities and 7 years for SEC regulated entities. He has over 25 years of experience in the investment management industry and is a graduate of Denison University.
Jill R. Kerr Consultant
Jill Kerr is a Consultant of Chenery Compliance Group. Prior to joining Chenery Compliance Group, she held various positions within Regulatory Compliance at Brandywine Global Investment Management where she gained valuable experience as a generalist, learning all aspects of the compliance function while acquiring knowledge of a wide variety of investment products and vehicles (separate accounts, U.S. Mutual Funds, and privately offered vehicles). Having previous experience at Susquehanna Financial Group and Deutsche Bank, Ms. Kerr has accumulated over 15 years of investment industry experience in investment advisory, broker-dealer and institutional trading. A graduate of Penn State University, she received her MBA in Finance from Loyola University in Maryland.
Donna M. Melson Consultant
Donna Melson is a Consultant of Chenery Compliance Group. Ms. Melson brings over 30 years of financial industry experience in operations and regulatory compliance. Prior to joining Chenery, she was a Senior Compliance Officer with Delaware Investments. Ms. Melson leveraged her seasoned financial industry experience to lead a team of compliance professionals in various aspects of broker-dealer and other regulatory compliance functions. Having held previous roles at Brandywine Global Investment Management and 1717 Capital Management, she earned experience across all aspects of investment advisory, broker-dealer and separately managed accounts.