SEBI Disclosures | Ravi Gupta

SEBI RIA Compliance & Complaint Data

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

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.
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

B. Mandatory Disclaimers

Investment Warning (Required Minimum 10 Font Size):Investment in securities market are subject to market risks. Read all the related documents carefully before investing.
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.
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.
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 (c) below.

Investor Complaints Data Display (Monthly Disclosure)

(Required to be displayed prominently on the homepage (without scrolling) using font size 12 or above, updated monthly within 7 days of the end of the previous month, as per Annexure C).

Investor Complaints Data for the Month Ending [October, 2025]

Note: In case of any complaints received against the IA due to impersonation of the IA by some other entity, the IA may adjust the number of such complaints from total number of received/resolved complaints while preparing the above table.

* 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 (2025)

Trend of Annual Disposal of Complaints

Grievance Redressal Mechanism Disclosure

(Required to be prominently displayed in the office and on the website).

Dear Investor

In case of any grievance / complaint against the part-time Investment Adviser, Ravi Gupta (INA000021085), you are advised to follow the steps below:

Step 1: Direct Complaint to the Investment Adviser (Ravi Gupta)

The client should first contact the Individual Investment Adviser/Proprietor using the contact details provided below.

Step 2: Escalation to the Supervisory Body (IAASB)

If the client is not satisfied with the resolution provided by the Investment Adviser, or if the complaint is not resolved within the prescribed timeline, the client can lodge their grievance with the supervisory body.

Step 3: Complaint to SEBI SCORES (Second Review) and ODR

If the client is still not satisfied with the resolution provided by the IAASB, or the complaint is against the IAASB itself, the client can lodge their grievances directly with SEBI.

SEBI Toll Free Helpline

For any queries, feedback, or assistance, please contact the SEBI Office on the Toll Free Helpline at 1800 22 7575 / 1800 266 7575.

SEBI RIA Compliance & Complaint Data

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