Ara Jabrayan
Managing Member and senior RIA compliance consultant
Delray Beach, Florida
Boca Raton, Florida
Summary
Veteran RIA compliance consultant who leads a specialized consulting firm. ria-compliance+1
Active contributor to practical compliance guidance and commentary. ria-compliance+1
Engaged with compliance technology and industry platforms as an advisor and investor. smart-ria+1
Broad prior industry experience, including registration work and commodities trading. ria-compliance+1
Work
Writing
RIAs Can Expect Big Changes with SEC’s New Marketing Rule
December 1, 2020Guest post summarizing the SEC's Marketing Rule, its expanded definition of advertising, general prohibitions, treatment of testimonials and endorsements, and implications for RIAs' marketing practices.
RIA Books and Records Requirements
March 1, 2016Overview of Rule 204-2 (books and records) under the Investment Advisers Act, detailing the records RIAs must create and retain and practical guidance for compliance.