Investment Advisor (RIA)
A Registered Investment Advisor (RIA) is a person or firm authorized by SEBI to give investment advice to clients for a fee. The SEBI (Investment Advisers) Regulations, 2013, were introduced to separate the role of an advisor from a distributor (agent) to prevent conflict of interest.
RIAs are fiduciaries, meaning they must act in the best interest of their clients.
Structure Options
Individual IA
Best for solopreneurs. Net worth req: ₹5 Lakhs.
Non-Individual IA
Companies or LLPs. Net worth req: ₹50 Lakhs. Requires Principal Officer + Compliance Officer.
Key Requirements
- Qualification: Post Graduate in Finance + NISM Series-X-A and X-B Certification.
- Experience: Minimum 5 years of experience in financial products/markets.
- Client Segregation: Strict separation of advisory and distribution (arms-length distance).
Note: An individual cannot be both an RIA (Advisor) and a Distributor (Agent). You must choose one model.
Frequently Asked Questions
Find answers to common questions about Investment Advisor.
What documents are required for Investment Advisor?
Required documents typically include identity proof, address proof, business plan, financial statements, and specific regulatory forms. Our team will provide a complete checklist during consultation.
How long does the registration process take?
The timeline varies based on complexity and regulatory requirements. Typically, the process takes 30-90 days. We offer fast-track options for urgent requirements.
What is the cost for this service?
Pricing depends on the specific requirements and scope. Contact us for a customized quote. We offer competitive pricing with transparent fee structures.
Do you provide post-registration support?
Yes! We provide comprehensive post-registration compliance support including annual filings, regulatory updates, and ongoing advisory services.
Related Services
Discover other compliance solutions we offer.
NBFC Registration
Complete RBI license support
IRDA Registration
Insurance broker licensing
SEBI Registration
Investment advisor licensing
Choose Your Package
Flexible pricing options tailored to your business needs.
Starter
For small businesses
- Basic Document Preparation
- Application Filing
- Email Support
- Dedicated Manager
Professional
For growing companies
- Complete Documentation
- Priority Processing
- Dedicated Manager
- 6-Month Compliance Support
Enterprise
For large organizations
- Everything in Professional
- Multi-Entity Support
- Annual Compliance Retainer
- 24/7 Priority Support
Trusted by 500+ Companies Across India
DIY vs Expert Service
See why partnering with experts saves you time and money.
Download Helpful Guides
Get started with our free checklists and guides.
Ready to Get Started?
Let our experts guide you through the Investment Advisor process.
Schedule Free Consultation