Arista Investment Advisors' Client Identification Program is as follows:

Before opening a client “account” or granting trading authority, Arista will collect, at a minimum, the following information from the client, including all signatories and all persons granted authority to effect transactions in an account:

For U.S. persons and entities:
· Client’s name
· Tax Identification Number
· Address
· Date of Birth

For non-U.S. persons and entities:
· Client’s name
· Identification Number – from taxpayer, passport, alien id card or similar photograph-bearing source
· Address
· Date of Birth

Arista Investment Advisors will verify this information by verifying documents within a reasonable period after establishing the account. Non-document based means of verification will be used as an alternative when documents are not available, or in addition to documents, when concerns appear indicating that accounts and customers may be high risk.

Documents may include un-expired government-issued identification, showing nationality or residence, with a photograph or similar safeguard (i.e. driver’s license). For businesses, verification may be documents showing the entity’s existence (e.g., articles of incorporation).

Non-document methods will be used when document verification is not available or when “red flags” are noted, such as an unwillingness or inability to disclose information relating to identity, occupation, or assets; the use of offshore holding companies; a lack of concern regarding investment objectives/risks or advisory fees; clients from countries identified as money laundering havens; clients who appear to be acting as agents for undisclosed principals; clients who are senior foreign political officials, their immediate family members and their close associates. They may include contacting a client, checking reports from credit bureaus or public databases, and/or obtaining references from other financial institutions.

If the identity of a client cannot be verified within a reasonable period of time by means of documents, but the client is cooperative and forthcoming with non-documentary information and no “red flags” are noted, then an account may still be opened and transactions conducted while identification is being verified. If “red flags” are noted, an account will not be opened and/or no transactions will be conducted until identification is verified. If after a reasonable period of time, all reasonable attempts to verify identification have been made and the client’s identity still cannot be verified, an account will not be opened, and/or Arista will de-link itself from an existing account immediately and a suspicious activity report will be filed.

Featured News

Contact Info

New York Office
255 Washington Avenue Extension, Suite 204
Albany, NY 12205
Phone: 518-464-0319
Fax: 518-464-5004
Email: Info@aristaadv.com

Hawaii Office
841 Bishop Street, Suite 1607
Honolulu, HI 96813
Phone: 808-531-5665
Fax: 518-464-5004
Email: Info@aristaadv.com


California Office
Phone: 831-227-2624
Fax: 518-464-5004
Email: bernard@aristaadv.com

Massachusetts Office
314 Main Street, Suite 13
Great Barrington, MA 01230
Phone: 413-717-3139
Fax: 518-464-5004
Email: melissa@aristaadv.com