About JAS Compliance Solutions

A firm built on deep regulatory expertise, principled service, and an unwavering commitment to protecting the advisory firms we serve.

The Firm

JAS Compliance Solutions

JAS Compliance Solutions was established to provide compliance consulting services to SEC-registered investment advisers. The firm focuses exclusively on the investment adviser industry and maintains a limited client base to ensure continuity, familiarity with each client's operations, and meaningful engagement throughout the advisory relationship.

The firm's approach is grounded in the view that effective compliance programs are developed and maintained through consistent, informed guidance over time — not through isolated or transactional consulting engagements.

Our Mission

Protecting Advisors. Empowering Growth.

Our mission is to give independent investment advisers the compliance infrastructure they need to operate with confidence — freeing them to focus on what they do best: serving their clients and growing their businesses.

We believe compliance done right is not a burden — it is a competitive advantage. A well-run compliance program builds credibility, protects clients, and positions a firm for sustainable growth.

Regulatory Coverage

SEC Investment Adviser Act of 1940
FINRA Rules and Regulations
State Securities Regulation (all 50 states)
SEC Marketing Rule (Rule 206(4)-1)
Regulation S-P (Privacy of Consumer Financial Information)
Regulation Best Interest (Reg BI)
Anti-Money Laundering (AML) requirements

Leadership

Meet Our Principal

Guided by decades of hands-on compliance and regulatory experience.

James A. Slabaugh

Founder

James A. Slabaugh is the Founder of JAS Compliance Solutions. Since 2008, Mr. Slabaugh has advised state- and SEC-registered investment advisers on the development, implementation, and administration of compliance programs under the Investment Advisers Act of 1940 and related regulatory requirements.

His experience includes SEC registration matters, Rule 206(4)-7 compliance, Form ADV disclosures, advertising and marketing reviews, regulatory examinations, books and records requirements, and ongoing compliance support.

Prior to founding JAS Compliance Solutions, Mr. Slabaugh served in 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.

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

Our Values

What We Stand For

Three principles guide every client engagement and every piece of work we produce.

Integrity

We tell clients what they need to hear, not what they want to hear. Our advice is always independent, candid, and in the best interest of your firm and your clients. We never cut corners on quality or compromise on accuracy.

Expertise

Compliance is a technical discipline. We invest continuously in our regulatory knowledge so that our clients benefit from current, accurate guidance. When the rules change, we're ahead of it — and your program is updated before the effective date.

Responsiveness

Regulatory issues don't wait for business hours. Our clients have direct access to our team when they need it — especially during SEC examinations, regulatory inquiries, and other time-sensitive compliance situations.

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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