For new SEBI Investment Advisor registration applicants, we offer a turn-key registration service. Our team can guide you through the registration process and requirements in detail, and assist in preparing your registration application.
For Registered Investment Advisors (RIA), if managing the compliance of your firm is taking up too much time, causing confusion, or you need expert advice — we can help. We assist RIA (individuals and body corporates) in complying with SEBI regulations. While understanding your compliance challenges, we design a customized compliance program that gives you the tools you need to stay compliant.
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SEBI (Investment Advisers) Regulations, 2013 require any person providing investment advice for a fee to be registered with SEBI as an Investment Adviser. RIAs can be individuals or body corporates. The registration process involves meeting eligibility criteria, preparing documentation, and submitting the application through the SEBI portal. Post-registration, RIAs must comply with ongoing obligations including annual filings, disclosure requirements, and adherence to the code of conduct. We assist with the complete registration journey and ongoing compliance.
End-to-end support for RIA registration and compliance.
Preparation and submission of SEBI RIA registration application.
Ongoing compliance with SEBI IA regulations and code of conduct.
SEBI annual compliance audit and gap assessment.
Dedicated compliance retainer for periodic support.
Advisory on business structure, policies, and best practices.
Explore our other SEBI registration and compliance services.
Common questions about RIA registration and compliance.
Any person providing investment advice for a fee or consideration must be registered with SEBI as an Investment Adviser, unless exempt. This includes individuals and body corporates offering advisory services.
SEBI typically processes applications within a few months. The exact timeline depends on completeness of documents and SEBI's review. We ensure your application is complete and accurate to avoid delays.
Yes. We offer compliance retainer support, annual compliance audit, and ad-hoc advisory to help RIAs meet SEBI obligations including disclosures, record-keeping, and code of conduct compliance.