Our Team

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Kelly Christopher

Chief Compliance Officer

Kelly Christopher is a seasoned compliance professional with extensive experience in the financial regulatory landscape.Since entering the industry in 2017, she has worked closely with a wide range of financial entities, including registered investment advisors, mutual funds, exchange-traded funds (ETFs), unit investment trusts, collective investment trusts, private funds, and series trusts across the United States.

Ms. Christopher’s expertise spans all facets of investment advisor and investment company compliance, with particular emphasis on SEC regulations; advisor registration and formation; the design, implementation, and ongoing oversight of compliance programs; regulatory filings; advertising and marketing review; mock audits; and compliance documentation.

Prior to entering the financial services industry, Ms. Christopher spent many years as a paralegal, assisting in high-stakes litigation involving mass torts, product defects, catastrophic injury, and medical malpractice. This background sharpened her analytical skills, attention to detail, and client advocacy—qualities that continue to define her approach to compliance consulting.

Ms. Christopher holds a Bachelor of Science degree in Accounting from Regis University in Denver, Colorado.

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