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SEBI RIA Compliance & Complaint Data

Details of business transacted by the Investment Adviser with respect to the investors

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Investor Charter for Ravi Gupta, Part-Time Investment Adviser

 

(Based on Annexure F of the SEBI Master Circular and disclosures required under Regulation 18 and 19A)

Vision and Mission Statements for Investors

 

Vision: Invest with knowledge & safety.

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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.

 

A. About Your Investment Adviser

Name of RIA (as registered with SEBI)

  • Ravi Gupta

Type of Registration

  • Individual Part-Time Investment Adviser

SEBI Registration Number

  • INA000021085

Validity of Registration

  • Perpetual (valid till suspended or cancelled by the Board)

Proprietor/Principal Officer

  • Ravi Gupta

Official Address

  • M 5/11 Third Floor DLF City Phase 2 122008

Contact Number

  • 9999044287

Email ID (Grievance/Contact)

Corresponding SEBI Office Address

  • Mumbai (Place of Certificate Issue)

Supervisory Body (IAASB) Enlisted With

  • BSE Limited (BSE Administration and Supervision Limited - BASL)

Requirement for Part-Time IA

  • As a part-time investment adviser, Ravi Gupta shall use the term ‘part-time investment adviser’ in all correspondences with clients.

B. Mandatory Disclaimers

  1. Investment Warning : Investment in securities market are subject to market risks. Read all the related documents carefully before investing.

  2. Registration Disclaimer: Registration granted by SEBI, enlistment with IAASB (BASL) and certification from NISM in no way guarantee performance of the IA or provide any assurance of returns to investors.

  3. Prohibition on Dual Services: Ravi Gupta shall not provide any execution or distribution services (including receiving commission, incentive, or compensation from product manufacturers) to advisory clients.

  4. No Assured Returns: The IA shall not hold out any investment advice implying any assured returns or minimum returns or target return or percentage accuracy.

C. Grievance Redressal Disclosure (Overview)

The Investment Adviser is responsible to resolve grievances within twenty-one calendar days from the date of receipt. For detailed steps on lodging a complaint, please refer to section covering the Grievance Redressal process.

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