SEBI Disclosures

Regulatory Information


Name	Nitish Consul
Type of Registration	Individual Investment Adviser
SEBI Registration No.	INA000020642
Validity of Registration	July 16, 2025 – Perpetual
Office Address	G-1550, 11th Avenue, Gaur City 2, Greater Noida West, Gautam Budhha Nagar, Noida, Uttar Pradesh – 201318
Contact Details	📞 +91 9873071152
SEBI Regional / Local Office Address	NBCC Complex, Office Tower-1, 8th Floor, Plate B, East Kidwai Nagar, New Delhi – 110023
Compliance Officer	Nitish Consul

COMPLAINT DATA TO BE DISPLAYED BY IAs

Data for the month ending – December, 2025

Sr. No	Received from	Pending at the end of last Month	Received	Resolved	Total Pending #	Pending complaints > 3months	Average Resolution time^ (in days)
1	Directly from Investors	0	0	0	0	0	0
2	SEBI (SCORES)	0	0	0	0	0	0
3	Other Sources (if any)	0	0	0	0	0	0
	Grand Total	0	0	0	0	0	0

^ 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

Sr. No	Month	Carried forward from previous month	Received	Resolved*	Pending#
1	December, 2025	0	0	0	0
2	November, 2025	0	0	0	0
3	October, 2025	0	0	0	0
4	September, 2025	0	0	0	0
5	August, 2025	0	0	0	0
6	July, 2025	0	0	0	0
	Grand Total	0	0	0	0

*Inclusive of complaints of previous months resolved in the current month.

#Inclusive of complaints pending as on the last day of the month.

Trend of annual disposal of complaints

Sr. No	Year	Carried forward from previous year	Received	Resolved*	Pending#
1	2025-26	0	0	0	0
	Grand Total	0	0	0	0

*Inclusive of complaints of previous years resolved in the current year.

#Inclusive of complaints pending as on the last day of the year.

Grievance Redressal / Escalation Matrix

If you have a grievance, you can reach out to our Support Team for assistance.

Details of designation	Contact Person Name	Address	Contact No	Email-ID	Working hours
Customer Care	Nitish Consul	G-1550, 11th Avenue Gaur City 2, Greater Noida West, Gautam Budhha Nagar, Noida, Uttar Pradesh, 201318	+91 9873071152	nitishconsul.ria@gmail.com	Mon-Sat 10 AM – 6 PM (Except public holidays)
Head of Customer Care	Nitish Consul	G-1550, 11th Avenue Gaur City 2, Greater Noida West, Gautam Budhha Nagar, Noida, Uttar Pradesh, 201318	+91 9873071152	nitishconsul.ria@gmail.com	Mon-Sat 10 AM – 6 PM (Except public holidays)
Compliance Officer	Nitish Consul	G-1550, 11th Avenue Gaur City 2, Greater Noida West, Gautam Budhha Nagar, Noida, Uttar Pradesh, 201318	+91 9873071152	nitishconsul.ria@gmail.com	Mon-Sat 10 AM – 6 PM (Except public holidays)
CEO	Nitish Consul	G-1550, 11th Avenue Gaur City 2, Greater Noida West, Gautam Budhha Nagar, Noida, Uttar Pradesh, 201318	+91 9873071152	nitishconsul.ria@gmail.com	Mon-Sat 10 AM – 6 PM (Except public holidays)
Principal Officer	Nitish Consul	G-1550, 11th Avenue Gaur City 2, Greater Noida West, Gautam Budhha Nagar, Noida, Uttar Pradesh, 201318	+91 9873071152	nitishconsul.ria@gmail.com	Mon-Sat 10 AM – 6 PM (Except public holidays)

We aim to resolve all grievances within 21 working days from the date of receipt.

If your grievance is not resolved within this timeframe, you can escalate it to SEBI’s SCORES Platform (SEBI Complaints Redress System).

SCORES Portal: scores.sebi.gov.in

In case you are unsatisfied with the resolution provided through our support or the SCORES platform, you can access the Online Dispute Resolution (ODR) Portal.

ODR Portal: smartodr.in

Investor Charter in respect of Investment Adviser (IA)

A. Vision and Mission Statements for Investors

Vision
Invest with knowledge & safety.

Mission
Every investor should be able to invest in the right investment products based on their needs, manage and monitor them to meet their goals, access reports, and enjoy financial wellness.

B. Business Transacted by the Investment Adviser with Respect to Investors

Enter into a formal agreement with the client, including fee details, conflict-of-interest disclosures, and confidentiality obligations.
Conduct proper and unbiased risk-profiling and suitability assessment of clients.
Conduct annual audits of advisory practices.
Disclose the status of complaints on the company website.
Display on the website: Name, proprietor, type of registration, registration number, validity, complete office address with contact details, and associated SEBI office details.
Employ only qualified and certified employees.
Communicate with clients exclusively via official numbers.
Maintain records of all client interactions, including pre-onboarding conversations related to advice.
Ensure all advertisements comply with SEBI’s Advertisement Code for Investment Advisers.
Provide equal services to all clients opting for similar products/services without discrimination.

C. Services Provided to Investors

(No Indicative Timelines Provided)

Onboarding of clients.
Sharing of agreement copy.
Completion of client KYC.
Full disclosure of business, affiliations, and compensation.
Advising without accessing client accounts or holdings.
Disclosure of client risk profile.
Disclosure of conflicts of interest.
Disclosure of the use of AI tools in advisory services.
Providing investment advice based on risk profiling and suitability.
Treating all clients with honesty and integrity.
Disclosure of material facts, including risks, obligations, and costs of advised products.
Providing guidance and caution notices when advising on complex or high-risk financial products.
Ensuring client information confidentiality unless legally obligated or client consents.
Disclosing timelines for services and adhering to them.

D. Grievance Redressal Mechanism

1. Filing Complaints with the Investment Adviser:

Investors may approach the Investment Adviser directly.
Grievances should be resolved immediately, but not later than 21 days from receipt.

2. Filing Complaints via SCORES or IAASB:

SCORES 2.0: SEBI’s centralized web-based grievance system (https://scores.sebi.gov.in).
IAASB: First review by the Investment Adviser Administration and Supervisory Body.
SEBI: Second review by SEBI.
Complaints can also be sent via designated IAASB email ID.

3. Online Dispute Resolution:

Investors dissatisfied with resolutions can approach SMARTODR platform for online conciliation or arbitration.

4. Physical Complaints:

Address to send complaints:
Office of Investor Assistance and Education,
Securities and Exchange Board of India,
SEBI Bhavan, Plot No. C4-A, ‘G’ Block,
Bandra-Kurla Complex, Bandra (E), Mumbai – 400051

E. Rights of Investors

Right to Privacy and Confidentiality
Right to Transparent Practices
Right to Fair and Equitable Treatment
Right to Adequate Information
Right to Initial and Continuing Disclosure
Right to information about statutory and regulatory disclosures
Right to Fair & True Advertisement
Right to Awareness about Service Parameters and Turnaround Times
Right to be informed of timelines for each service
Right to be Heard and Satisfactory Grievance Redressal
Right to Timely Redressal
Right to Suitability of Financial Products
Right to Exit from Financial Products/Services as per agreement
Right to receive guidance and caution notices for complex/high-risk products
Additional rights for vulnerable consumers, including accessibility for differently-abled clients, right to provide feedback, and protection against coercive/unfair clauses

F. Responsibilities of Investors

Do’s:

Deal only with SEBI-registered Investment Advisers with valid registration.
Verify SEBI registration number (SEBI Registered Investment Advisers).
Pay only advisory fees through banking channels and maintain receipts. Use CeFCoM if available.
Insist on risk profiling before receiving advice.
Ask questions and clarify doubts before acting on advice.
Assess risk-return, liquidity, and safety aspects of investments.
Get terms and conditions in writing, signed and stamped.
Be vigilant in all transactions.
Approach authorities for grievance redressal if required.
Inform SEBI about advisers offering guaranteed returns.
Exercise the right to exit the adviser’s service if desired.
Seek clarifications and guidance on advice.
Provide feedback on services received.
Refuse to be bound by clauses violating regulatory provisions.

Don’ts:

Do not fall for stock tips disguised as investment advice.
Do not provide funds directly to the adviser.
Avoid promises of assured or exorbitant returns.
Avoid acting on advertisements or market rumors.
Do not transact solely based on calls or messages from advisers.
Avoid decisions prompted by repeated communications from advisers.
Ignore limited-period discounts, gifts, or incentives.
Avoid rushing into investments misaligned with your risk profile.
Do not share trading, demat, or bank login credentials with advisers.

Disclosures

I am a SEBI Registered Investment Adviser having registration number - INA000020642.
I am not affiliated with any other intermediaries, nor do receive any brokerage or commission from any third party.
No penalties/directions have been issued by the SEBI under the SEBI Act or any other regulatory body.
I do not recommend any stock broker or other intermediary to a client. Nor do I receive any consideration by way of remuneration or compensation or in any other form whatsoever from stock broker or other intermediary.
Investments in debt instruments are subject to reinvestment risks as interest rates prevailing on interest amount or maturity due dates may differ from the original coupon of the bond, which might result in the proceeds being invested at a lower rate.
If client wants opinion in the specific positions made by him only, I will be able to suggest appropriate view on the securities. Such suggestion/view under any circumstances shall be considered as an opinion (not advice) from our side and I advise client to consider our opinion and not consultancy to make his/her final decision. I will not be liable for any losses whatsoever client may incur in accepting this opinion.
Nitish Consul and, its associates and employees might have positions or might have recommended to clients which might be in-line with the recommendations made here. Nitish Consul, its associates or their family members may or may not trade or may have investments in the same recommendations.
The names of the products/nature of investments do not in any manner indicate their prospects or returns. The performance in the equity products may be adversely affected by the performance of individual companies, changes in the market place and industry specific and macro-economic factors.
I do not have any association in any manner with any issuer of products/ securities; this ensures that there are no actual or potential conflicts of interest. This also ensures that objectivity or independence in the carrying on of investment advisory services is not compromised.
Investment in market is subject to market risk, though best attempts are made for predicting markets, but no surety of return or accuracy of any kind is guaranteed.
I do not guarantee any profit/return.
The performance of the investments/products may be affected by changes in Government policies, general levels of interest rates and risks associated with trading volumes, liquidity and settlement systems in equity and debt markets.
I do not provide any profit/loss sharing services, guaranteed profit services, Demat services.

Disclaimers

Registration granted by SEBI, enlistment as IA with exchange and certification from NISM in no way guarantee performance of the intermediary or provide any assurance of returns to investors.
The securities quoted, if any are for illustration only and are not recommendatory.
Investments in securities market are subject to market risks. Read all the related documents carefully before investing.

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