About JAS Compliance Solutions

The Firm

JAS Compliance Solutions

JAS Compliance Solutions provides boutique compliance consulting services to SEC- and state-registered investment advisers. We work closely with each firm's Chief Compliance Officer or designated compliance professional to provide practical, straightforward guidance across virtually every aspect of the compliance program.

Our approach is intentionally hands-on and relationship-driven. We maintain a limited client base so we can develop a meaningful understanding of each adviser's business, operations, personnel, and regulatory obligations. Rather than providing generic advice or treating compliance as a series of isolated projects, we serve as an ongoing resource to help clients address day-to-day compliance matters, implement practical solutions, and maintain a program that works in the real world.

We believe effective compliance does not need to be unnecessarily complicated. It requires experienced judgment, clear guidance, and consistent attention over time. That is the role JAS Compliance Solutions is designed to provide.

Leadership

Meet Our Principal

James A. Slabaugh

Founder

James A. Slabaugh is the Founder of JAS Compliance Solutions and has spent nearly two decades helping investment advisers navigate the realities of regulatory compliance.

Since 2008, he has worked directly with state- and SEC-registered investment advisers on the development, implementation, and ongoing administration of compliance programs under the Investment Advisers Act of 1940 and related regulatory requirements. His experience spans the full compliance lifecycle — from SEC registration and Form ADV disclosures to Rule 206(4)-7 programs, marketing and advertising reviews, books and records, regulatory examinations, and the day-to-day compliance issues that arise inside an operating advisory firm.

Before founding JAS Compliance Solutions, James held senior compliance consulting roles with ACA Group and its predecessor organizations, including Foreside, NCS Regulatory Compliance, and National Compliance Services, from 2008 through 2022. He also serves as a Senior Compliance Consultant with RIA Compliance Group, LLC.

James built JAS Compliance Solutions around a simple premise: advisers do not need more compliance theory. They need experienced judgment, practical answers, and a trusted resource who understands their business and can help them get things done.

Education

LL.M. in Taxation — University of Miami School of Law
Juris Doctor — Nova Southeastern University, Shepard Broad College of Law
Bachelor of Science in Finance — University of Florida

Work With Us

Let's Build Your Compliance Program

Whether you're launching a new advisory firm or strengthening an existing program, we'd welcome the opportunity to learn about your firm and discuss how JAS can support your compliance needs.

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