Shelley Dragon is a Bates Group Director based in Houston, TX. A former COO of a $4 billion private investment advisory firm with extensive knowledge in general and financial management, Ms. Dragon brings 30+ years of consulting experience.
She brings a highly relational client focus to her work, and is experienced in regulatory compliance management, process controls, strategic operational plans, and procedures specific to wealth managers, investment firms and non-profit organizations.
Ms. Dragon specializes in Investment Advisor registration, SEC audits and ongoing compliance operations management for investment advisers. She provides compliance consulting and operational insight to investment advisers and private equity firms of all sizes.
Shelley is a consultant and subject matter expert in these Practice Areas and Services:
-
Compliance Solutions
- Registered Investment Advisers
Credentials
EXPERIENCE
Bates Group, 2019 - Present; Director, 2024 – Present; Senior Consultant, 2019 – 2023
The Advisor's Resource, Inc., Director of Client Relations/Consultant, 2017 – 2019
Severson Consulting, Business Consultant, 2011 – 2017
Capstone Financial Services, 1992 - 2011; Senior Vice President and Chief Operating Officer, 2009 – 2011; Senior Vice President, Sales, and Client Service, 1996 – 2008; Client Service and Due Diligence Analyst, 1992 – 1996
Smith Barney Harris Upham & Co., Inc., Managed Accounts Analyst, 1989 – 1992
EDUCATION
Bachelor of Art (BA), Communications & Public Relations, University of Wisconsin, Madison, WI
PROFESSIONAL LICENSES
- NASD (now FINRA) Series 7, 63, 65, 24 (previously held)
- Certified Securities Compliance Professional (CSCP)