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James Slabaugh

Senior Director

BS, University of Florida; JD, Nova Southeastern University; LLM, University of Miami

Mr. Slabaugh provides compliance consulting to investment advisor clients, which may include providing advice and guidance on firm and individual registrations, examinations, firm policies and procedures, federal and state regulatory rule interpretations, and risk assessments. He has experience in assisting investment advisors with registration issues, developing compliance policies and procedures, customizing internal compliance programs, conducting mock audit exams and annual 206(4)-7 reviews, and providing regulatory advice under the investment advisers Act of 1940 and other relevant federal and state regulations.

James Slabaugh
James Slabaugh