SEBI Disclosures

SEBI
Disclosures

SEBI Registration Details

RIA Name : Sridhar Nagarajan
RIA Number : INA000018027
Registration Type : Individual
Validity : Perpetual
Registered Address : Villa 100, Purva Sound of Water, Chikkakammanahalli, Begur Hobli, Begur Koppa Road, Kammanahalli Village, Bengaluru – 560068

BASL Membership no – BASL1998

Local SEBI Address

2nd Floor, Jeevan Mangal Building, No.4, Residency Road, Bangalore 560025.

Tel: +91 80 22222262/64/83
Email: bangalore-lo@sebi.gov.in

Complaints Data

SEBI mandates all registered investment advisers to display the complaints status on the website. Investors can first contact the investment adviser in case of complaints. The SEBI Scores website that facilitates investors in logging any complaints against SEBI intermediaries can be accessed here, and the common Online Dispute Resolution Portal, which facilitates online arbitration for resolution of disputes arising in the Indian Securities Market can be accessed here.

Designation	Person Name	Address	Contact No.	Email	Working hours
Customer Care	Sridhar Nagarajan	Villa 100, Purva Sound of Water, Chikkakammanahalli, Begur Hobli, Begur Koppa Road, Bengaluru 560068	+91 9986541839	sridhar.naga@gmail.com	10 am to 6 pm (Mon-Fri except public holidays)
Head of Customer Care	Sridhar Nagarajan	As above	As above	As above	10 am to 6 pm (Mon-Fri except public holidays)
Compliance Officer	Sridhar Nagarajan	As above	As above	As above	10 am to 6 pm (Mon-Fri except public holidays)
CEO	Sridhar Nagarajan	As above	As above	As above	10 am to 6 pm (Mon-Fri except public holidays)
Principal Officer	Sridhar Nagarajan	As above	As above	As above	10 am to 6 pm (Mon-Fri except public holidays)

* Inclusive of complaints of previous months resolved in the current month.
# Inclusive of complaints pending as on the last day of the month
^ Average Resolution time is the sum total of time taken to resolve each complaint in days, in the current month divided by total number of complaints resolved in the current month.

Trend of monthly disposal of complaints

Trend of annual disposal of complaints

Disclosure with respect to compliance with Annual compliance audit requirement under Regulation 19(3) of SEBI (Investment Advisers) Regulations, 2013 for the previous and current financial year are as under:

SEBI’s INVESTOR CHARTER IN RESPECT OF INVESTMENT ADVISORS

Vision and Mission Statements for investors:
- Vision: Invest with knowledge & safety.
- Mission: Every investor should be able to invest in right investment products based on their needs, manage and monitor them to meet their goals, access reports and enjoy financial wellness.
Details of business transacted by. the Investment Adviser with respect to the investors
- To enter into an agreement with the client providing all details including fee details, aspect of Conflict of interest disclosure and maintaining confidentiality of information.
- To do a proper and unbiased risk — profiling and suitability assessment of the client.
- To obtain registration with Know Your Client Registration Agency (KRA) and Central Know Your Customer Registry (CKYC).
- To conduct audit annually.
- To disclose the status of complaints in its website.
- To disclose the name, proprietor name, type of registration, registration number, validity, complete address with telephone numbers and associated SEBI regional/local Office details in its website.
- To employ only qualified and certified employees.
- To deal with clients only from official number
- To maintain records of interactions, with all clients including prospective clients (prior to onboarding), where any conversation related to advice has taken place.
Details of services provided to investors (No Indicative Timelines)
- Onboarding of Clients
  - Sharing of agreement copy
  - Completing KYC of clients
- Disclosure to Clients
  - To provide full disclosure about its business, affiliations, compensation in the agreement.
  - To not access client's accounts or holdings for offering advice.
  - To disclose the risk profile to the client.
- To provide investment advice to the client based on the risk-profiling of the clients and suitability of the client.
Details of grievance redressal mechanism and how to access it
- In case of any grievance / complaint, an investor should approach the concerned Investment Adviser and shall ensure that the grievance is resolved within 30 days.
- If the investor's complaint is not redressed satisfactorily, one may lodge a complaint with SEBI on SEBl's 'SCORES' portal which is a centralized web based complaints redressal system. SEBI takes up the complaints registered via SCORES with the concerned intermediary for timely redressal. SCORES facilitates tracking the status of the complaint.
- With regard to physical complaints, investors may send their complaints to Office of Investor Assistance and Education, Securities and Exchange Board of India, SEB' Bhavan, Plot No. C4-A, 'G' Block, Bandra-Kurla Complex, Bandra (E), Mumbai - 400 051.
Expectations from the investors (Responsibilities of investors)
- Do's
  - Always deal with SEBI registered Investment Advisers.
  - Ensure that the Investment Adviser has a valid registration certificate.
  - Check for SEBI registration number - Please refer to the list of all SEBI registered Investment Advisers which is available on SEBI website in the following link: https://www.sebi.gov.in/sebiweb/other/OtherAction.do?doRecognisedFpi=yes&intmId=13
  - Pay only advisory fees to your Investment Adviser. Make payments of advisory fees through banking channels only and maintain duly signed receipts mentioning the details of your payments.
  - Always ask for your risk profiling before accepting investment advice. Insist that Investment Adviser provides advisory strictly on the basis of your risk profiling and take into account available investment alternatives.
  - Ask all relevant questions and clear your doubts with your Investment Adviser before acting on advice.
  - Assess the risk—return profile of the investment as well as the liquidity and safety aspects before making investments.
  - Insist on getting the terms and conditions in writing duly signed and stamped. Read these terms and conditions carefully particularly regarding advisory fees, advisory plans, category of recommendations etc. before dealing with any Investment Adviser.
  - Be vigilant in your transactions.
  - Approach the appropriate authorities for redressal of your doubts / grievances.
  - Inform SEBI about Investment Advisers offering assured or guaranteed returns.
- Don'ts
  - Don’t fall for stock tips offered under the pretext of investment advice.
  - Do not provide funds for investment to the Investment Adviser.
  - Don't fall for the promise of indicative or exorbitant or assured returns by the Investment Advisers. Don't let greed overcome rational investment decisions.
  - Don't fall prey to luring advertisements or market rumors.
  - Avoid doing transactions only on the basis of phone calls or messages from any Investment adviser or its representatives.
  - Don't take decisions just because of repeated messages and calls by Investment Advisers.
  - Do not fall prey to limited period discount or other incentive, gifts, etc. offered by Investment advisers.
  - Don't rush into making investments that do not match your risk taking appetite and investment goals.
  - Do not share login credential and password of your trading and demat accounts with the Investment Adviser.
SEBI provides an Investor information website www.investor.sebi.gov.in and has also made available the SEBI Saarathi App on the Google Play and Apple App Stores.