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Shelby Brown

Shelby Brown joined XY Planning Network as a Compliance Consultant in May 2019. Prior to joining XYPN Shelby gained extensive experience filing initial registration applications for State- and SEC-Registered investment advisors of all sizes as well as assisting in the design and development of a compliance program that can be immediately implemented. Shelby’s Investment Advisor Certified Compliance Professional® (IACCP®) designation, earned in 2016 through National Regulatory Services (NRS), certifies that she is equipped with the knowledge and tools necessary to implement and manage a successful compliance program at any investment advisory firm. Growing up in Lake Tahoe, Nevada has instilled a love of the outdoors in Shelby. You can find her on the golf course, at the beach, or in a campsite in the summer and snowshoeing, crafting, or soaking up a good book by the fire in the winter. Home is where the heart is, but Shelby and her husband also love to travel and take photographs to display around their home. They are always planning their next adventure!

Recent Posts

Outside Investment Manager Due Diligence & Disclosure (Templates)

Outside Investment Manager Due Diligence & Disclosure (Templates)

5 MIN READ 

Outside investment...

June 13, 2022/by Shelby Brown
Your Go-To Guide for Acronyms and Other Industry-Specific Terms

Your Go-To Guide for Acronyms and Other Industry-Specific Terms

4 MIN READ 

The prevalence of acronyms...

March 25, 2021/by Shelby Brown
What Financial Advisors Need to Know About Custody

What Financial Advisors Need to Know About Custody

4 MIN READ 

In the financial services...

November 19, 2020/by Shelby Brown
Executing Firm-Wide Risk Assessments and Annual Reviews of Your Compliance Program

Executing Firm-Wide Risk Assessments and Annual Reviews of Your Compliance Program

5 MIN READ 

Why are firm-wide risk...

April 02, 2020/by Shelby Brown

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