About Us

RIA Compliance Group, LLC, was established in 2010 and is based in Delray Beach, Florida. The firm provides ongoing consulting services to over three hundred clients. It has been engaged by over fifty additional clients to provide à la carte compliance and regulatory consulting services. The mission of RIA Compliance Group is to provide affordable, timely, practical, and cost-effective compliance advice.

RIA Compliance Group possesses considerable expertise in servicing the compliance needs of small and large advisers. The firm’s client base ranges from single person financial planners that have no assets under management to multi-state RIAs with over one hundred investment adviser representatives and up to $4 billion in assets under management.

Our consultants have decades of experience in the compliance and regulatory field and have conducted hundreds of onsite and remote compliance audits of advisory firms. They interact frequently with SEC and state securities regulators.

Ara Jabrayan

Mr. Jabrayan is the Managing Member and a senior compliance consultant at RIA Compliance Group, LLC. He has over 18 years of experience as a compliance consultant. His responsibilities as a compliance consultant include comprehensive audits for state and SEC registered investment advisers, investment adviser registrations, ongoing compliance assistance, the drafting of compliance procedures and advertising, compliance training, and marketing creation and reviews.

Prior to the formation of RIA Compliance Group, LLC, Mr. Jabrayan was a senior compliance consultant with National Compliance Services, Inc. (2004 to 2010), where he was responsible for the registration of over 150 new investment advisers and the drafting of over 200 compliance procedures manuals. Mr. Jabrayan has also conducted over 150 mock SEC and anti money laundering audits.

Prior to joining National Compliance Services, Mr. Jabrayan spent three years as a senior account executive at Harrington Financial and Energy Advisors (2001 to 2004), a commodities trading Firm based in Boca Raton, Florida.

Mr. Jabrayan holds a Certified Anti-Money Laundering Specialist (CAMS) designation obtained through the Association of Certified Anti-Money Laundering Specialists® (ACAMS®).

Mr. Jabrayan currently holds the FINRA Series 65, Uniform Investment Adviser Law License and has held the FINRA/NFA Series 3 commodities and futures contracts license.

Deborah Dobbs, CSCP®

Ms. Dobbs is the Compliance Director and a senior compliance consultant at RIA Compliance Group, LLC. Her responsibilities as a compliance consultant include investment adviser and representative registrations, reviewing and drafting compliance procedures, books and records reviews for state and SEC registered investment advisers, EDGAR filing assistance, advertising and marketing reviews, email reviews, and ongoing compliance assistance.

Prior to joining RIA Compliance Group, LLC, Ms. Dobbs was a Vice President and Senior Compliance Consultant for NCS Regulatory Compliance (formerly National Compliance Services, Inc.) from 2004-2016, where she was responsible for overseeing client technology services and the investment adviser registrations department in addition to providing ongoing, full-service, compliance consulting assistance to a broad range of registered investment advisory firms.

Ms. Dobbs earned a Master of Arts degree from the University of Memphis in 2003 and currently holds the Certified Securities Compliance Professional designation (CSCP®) obtained through the National Society of Compliance Professionals as one of the inaugural recipients of the designation in 2011.

Anne C. Czizek

Ms. Czizek is a Senior Compliance Consultant for RIA Compliance Group, LLC.  Her area of expertise is investment advisory compliance, operations, examinations and training.  Ms. Czizek has been an independent Compliance Consultant to Registered Investment Advisers and Broker-Dealers since 2001.  She has a Bachelor of Science degree from Cardinal Stritch University with a major in Business Administration.

Before becoming a Compliance Consultant, Ms. Czizek was an Assistant Vice President at Wells Fargo Van Kasper where she was responsible for retail and investment advisory compliance for the firm.  Her career in the securities industry began with Drexel Burnham Lambert in New York City in 1985.  Since that time, she has worked for registered investment advisors and broker dealers in both retail and institutional capacities. Ms. Czizek has held Series 7, 24, 63 and 65 licenses.

James A. Slabaugh

Mr. Slabaugh is a senior compliance consultant at RIA Compliance Group, LLC. His responsibilities as a compliance consultant include comprehensive reviews for SEC and state-registered investment advisers, investment adviser registrations, drafting Form ADV disclosures and compliance procedures, advertising and marketing reviews, and providing regulatory advice under the Investment Advisers Act of 1940 and other relevant federal and state investment adviser regulations. 

Prior to joining RIA Compliance Group, LLC, Mr. Slabaugh was a Senior Director for ACA Group (formerly Foreside / NCS Regulatory Compliance / National Compliance Services) from 2008 – 2022 where he was responsible for providing ongoing, full-service, compliance consulting assistance to a broad range of registered investment advisory firms.

Mr. Slabaugh earned an LL.M. in Tax Law from the University of Miami, a J.D. from Nova Southeastern University Shepherd Broad College of Law, and a B.S. in Finance from the University of Florida.

Elizabeth Slone

Ms. Slone is the Operations Director at RIA Compliance Group, LLC. She oversees internal operations, client services, communications, IARD/CRD account maintenance, and various regulatory filings.

Ms. Slone has worked in the financial industry since 1995 in various roles specializing in Operational Management and Employee Management Systems and has held Series 7 and Series 24 licenses.

Before joining RIA Compliance Group, Ms. Slone was the Managed Services Supervisor at COMPLY Technologies, Inc. where she led a newly organized team specializing in Regulatory Filings and high-touch client management accounts.