Aria Capital Advisors, LLC provides only investment banking advisory services.  Since Aria Capital Advisors, LLC’s provides only these financial advisory services, the firm does not accept, hold, or transfer customer funds or securities, extend credit, or engage in trading securities on its own or its clients’ behalf.  As the firm’s business is purely advisory in nature and does not engage in trading securities, there is no clearing relationship.

Aria Capital Advisors, LLC’s policy is to respond to a Significant Business Disruption by safeguarding employees’ lives and firm property, making a financial and operational assessment, quickly recovering and resuming operations, protecting all of the firm’s books and records and continuing to conduct its business.

This plan contemplates two kinds of Significant Business Disruptions (SBD), internal and external.  Internal SBDs affect only a single location’s ability to communicate and do business, for example, a fire in an office building.  External SBDs prevent the operation of the securities markets or a number of firms; for example, a significant epidemic or a pandemic, including an influenza pandemic, a terrorist attack, a city flood, or a wide-scale, regional disruption.  Response to an external SBD would be very similar to that for an internal SBD since Aria Capital Advisors, LLC does not trade securities and, therefore, does not rely on other organizations (such as clearing firms) to accomplish its work.

Aria Capital Advisors, LLC has access to technology to enable its employees to work with flexibility and effectiveness from remote locations.  Thus, in the event of an SBD that results in the loss of a particular facility, Aria Capital Advisors, LLC employees and independent contractors have the ability to work from remote locations (i.e., homes, temporary office space, hotels, etc.).

Aria Capital Advisors, LLC Electronic data is managed, replicated and backed up offsite at a secure facility containing redundant power and cooling to sustain operations.  Aria Capital backs up its electronic records daily.  In the event of an internal or external SBD and the primary location is inoperable, the firm will continue operations from its backup site or an alternate location.  For the loss of electronic records, Aria Capital Advisors, LLC will recover data from its backup site.

In the event of a SBD, Aria Capital Advisors, LLC will immediately identify how to communicate with its customers, employees, critical business constituents and regulators.  Although the effects of an SBD will determine the means of alternative communication, the communications options Aria Capital Advisors, LLC will employ will include telephone voice mail, secure e-mail, etc.  Aria Capital Advisors, LLC will also post contact information on its website.