How do you registered Investment advisor?

To legally provide investment advisor in India, individuals and entities must register with the Securities and Exchange Board of India (SEBI) under the SEBI (Investment Advisers) Regulations, 2013. This ensures compliance, protects investors, and promotes transparency in financial advisory services.

Step-by-Step Process for Investment Advisor Registration

– Check Eligibility

To become a Registered Investment Advisor (RIA), you must meet both educational and professional requirements:

A post-graduate degree/diploma in finance, commerce, economics, business management, or related fields from a recognized university,

OR

A graduate degree with 5 years of relevant experience in financial advisory, securities, or fund management.

You must also pass the NISM Series-XA and Series-XB certification exams.

– Ensure Net Worth Criteria

Individuals & Partnership Firms: Minimum net worth of ₹5 lakh

Body Corporates & LLPs: Minimum net worth of ₹50 lakh

A Net Worth Certificate from a Chartered Accountant is required.

– Prepare Required Documents

KYC documents (PAN, Aadhaar, photo, address proof)

Educational qualification and NISM certification

Business plan and compliance structure

Income tax returns

Details of infrastructure (office, systems, data protection)

Net worth certificate

Details of proposed fees to clients

Risk profiling and grievance redressal mechanisms

– Apply on SEBI Intermediary Portal

Create a login on the SEBI Intermediary Portal. Upload documents and submit the online application along with the applicable registration fee (₹5,000 for individuals; ₹25,000 for corporates).

– SEBI Review and Clarification

SEBI will review your application and may ask for clarifications. Timely responses and complete documentation ensure faster approval.

– Receive Certificate of Registration

On successful verification, SEBI grants a Certificate of Registration and a unique RIA code. You’re now authorized to offer investment advisory services in India.

Why Register?

Being registered ensures legal credibility, protects clients, enhances professional image, and allows participation in regulatory frameworks. Non-compliance can lead to penalties and legal action.

Need help with your SEBI Investment Advisor registration? Contact Compliance Calendar LLP for expert assistance—eligibility check, document support, SEBI portal filing, and post-registration compliance.