Investment Advisors Registration
Investment Advisor Registration
If you want to legally offer investment advice in India — whether to clients, family offices, HNIs, or retail investors — SEBI requires you to register as an Investment Advisor (IA). This isn’t just a formality. It protects investors, builds market credibility, and allows you to advise professionally without regulatory risk.
What is Investment Advisor Registration?
A mandatory SEBI license for individuals, firms, and companies providing investment advice on securities, portfolios, financial planning, or asset allocation. Once registered, you must follow SEBI’s conduct, disclosure, and fee guidelines.
Who needs it
Financial planners
Wealth advisors and fee-based consultants
Research analysts advising clients directly
Professionals recommending securities or portfolios
Firms offering advisory through apps, webinars, or digital platforms
If you’re giving personalised investment advice for compensation, you need IA registration.
Eligibility basics
Graduate + relevant professional qualifications (NISM Series-X-A & B)
Minimum 5 years of financial services experience (for non-individual applicants)
Net worth requirement:
Individuals/partners: ₹5 lakh
Body corporates: ₹50 lakh
Fit and proper criteria and clean regulatory record
What we handle
Eligibility evaluation and advisory
Documentation, drafting, and application preparation
Net-worth certification and compliance support
NISM exam guidance and disclosures
SEBI application filing and follow-ups
Final registration and post-approval compliance setup
Key documents required
Educational qualifications and NISM certificates
PAN, Aadhaar, address proof
Experience and employment records
Net-worth certificate from CA
Business plan, compliance manual, and declarations
Corporate documents (if applying as LLP/company)
Our process
Understand business model and eligibility
Prepare documents and compliance framework
File SEBI application with supporting annexures
Address queries, clarifications, and inspections
Receive IA registration certificate and onboarding guidance
Frequently Asked Questions
Typically 2 to 6 months, depending on documentation and SEBI queries.
Not legally, unless it’s generic, unpaid, and non-personalised.
Not if they earn only commission and don’t provide advisory. Dual roles aren’t allowed.
Yes, registration must be renewed every 5 years.
Yes, provided eligibility, net-worth, and compliance systems are in place.