Armin K. Sarabi is a Managing Director at Bates Group and has worked across the financial services industry since the start of his professional career in 2009, advising clients on a wide range of regulatory, legal, and risk-related matters. He advises financial firms on compliance program design, regulatory exams, mergers and acquisitions, and technology integration. Armin’s leadership focuses on building scalable compliance structures that enhance efficiency, reduce risk, and promote a culture of compliance. Before joining Bates, he served as Chief Compliance Officer and General Counsel for multiple SEC-registered investment advisers and provided counsel to financial institutions and individuals. He is a member of the National Society of Compliance Professionals and the Investment Adviser Association and a former Adjunct Professor at the University of Denver Sturm College of Law.
Armin is a consultant and subject matter expert in these Practice Areas and Services:
Credentials
EXPERIENCE
Bates Group LLC, Managing Director, Portland, OR, 2025 – Present
Alphastar Capital Management, LLC, CCO & General Counsel, Cornelus, NC, 2020 – 2024
Institute for Wealth Management, LLC, CCO & General Counsel, Denver, CO, 2019
Advisorlaw, LLC/HLBS Law, Senior Attorney, Broomfield, CO, 2017 – 2018
Pure Strategic, Inc., Business Strategy Consultant, Boulder, CO, 2016 – 2017
Fader Pro, Inc., Co-Founder, COO & General Counsel, Denver, CO, 2015 – 2016
Institute for Wealth Management, LLC, CCO & General Counsel, Denver, CO, 2013 – 2015
Sarabi Zelnick LLP, Managing Partner, Denver, CO, 2011 - 2013
Holland & Hart LLP, Associate Attorney, Denver, CO, 2009 – 2011
EDUCATION
Juris Doctor (JD), University of Denver: Sturn College of Law, Denver, CO
Bachelor of Arts (BA), Philosophy, University of Maryland, College Park, MD
Bachelor of Arts (BA), Psychology, University of Maryland, College Park, MD
PROFESSIONAL QUALIFICATIONS
Bar Admissions, Colorado
National Society of Compliance Professionals (NSCP)
Investment Adviser Association (IAA)
Adjunct Professor of Law
- University of Denver Sturm College of Law (Contract Drafting and Business Negotiations)
HONORS AND AWARDS
- Thomson Reuters, Colorado Super Lawyers, Super Lawyer
- University of Denver, Sturm College of La, Leadership Award
PUBLICATIONS
- Sarabi, Armin: Practical Guide to SEC Rule 13h-1 Reporting Obligations on Large Traders and Registered Broker-Dealers. University of Denver Corporate and Commercial Law Blog. 2011.
- Sarabi, Armin and Stark, Lucy: SEC Provides Guidance for Existing Public Company Disclosure Requirements Regarding the Impact of Climate Change. Holland and Hart News Update. 2010.
- Sarabi, Armin and Webber, Matt: The Role of Internal Investigations and Self-Disclosure in Effective Compliance Programs. Compliance Today. 2008.