James A. Slabaugh is a senior consultant at NCS Regulatory Compliance. Mr. Slabaugh has been working with registered investment advisers since 2008 and has extensive experience in assisting investment advisers with registration issues, developing compliance policies and procedures, conducting mock audit exams, and providing regulatory advice pursuant to the Investment Advisers Act of 1940 and other relevant federal and state regulations. Mr. Slabaugh received a Bachelor’s of Science in Finance from the University of Florida, a law degree (Juris Doctorate) from Nova Southeastern University, and an LL.M. in Taxation Law from the University of Miami, School of Law.
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