Our Services

MainStay Consulting Group provides actionable advice and comprehensive solutions to assist our clients with their strategic and operational needs. Our services are based on numerous years of practical experience serving in leadership roles in the financial services industry. Our primary areas of expertise include:

Registered Investment Advisors (RIAs)

MainStay provides customized solutions for RIAs and advisors transitioning into a fee-based business model. To assist our independent advisors, we have created a website dedicated to your ongoing business, regulatory and practice management challenges. Please visit www.AdvisorGuidance.com for more information or review the links below.

Registered Investment Companies

We understand the considerable demands being placed on Investment Company Advisors, Fund Boards of Directors and Service Providers to the industry. Our team has extensive background in addressing these complex issues. The Princpals and Co-Founders of MainStay have served in numerous leadership roles which enable us to provide comprehensive solutions for our fund-centric clients. A sampling of these services include:

  • Compliance and Risk Management
  • Fund Governance
  • Rule 38a-1 and 206(4)-7 Assessments
  • Mock SEC Examinations
  • Conflicts of Interest Reviews
  • Sub-Advisor Due Diligence
  • Service Provider Due Diligence
  • Service Provider Oversight
  • 15(c) Contract Renewal Support
  • Treasury and Administration Services
  • Expert Witness, SEC and Litigation Support
  • Outsourcing and Interim Management Services

For more information on our qualifications, please visit the About Us page or Contact Us.