Compliance is

Ara Compliance Support is focused on one topic, helping Portfolio Managers, Investment Fund Managers and Exempt Market Dealers manage their compliance obligations effectively and rationally. We are a boutique firm that offers a unique compliance support program for securities registrants. The program has been running effectively since 2006 and presently covers more than thirty independent businesses.

In cooperation with other service providers, we also offer investment advisors a roadmap to create and operate under their own securities registered financial planning firm.

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"Compliance knowledge, experience and judgment are a limited commodity in our industry."
Vipool Desai

We Make Compliance Affordable,
Because Non-Compliance Isn't

The Compliance Support Program is exclusive to Ara and was developed to address the unique needs of independent securities registrants. Our support program provides management with a rational process to manage their compliance obligations and ongoing access to senior-level compliance knowledge, experience and judgment.

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An Advisor's Guide to Profit
and Independence

The Dealership Withdrawal Program is a solution to the unbalanced give and take apparent in many investment advisor-dealer relationships and the consequent loss of value and freedom for the investment advisor. It is a solution that offers successful investment advisors the knowledge, ability and freedom to create and operate under their own financial planning firm.

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