SEBI RIA Compliance and Complaints Data
Disclosure with respect to compliance with Annual compliance audit requirement under Regulation 19(3) of SECURITIES AND EXCHANGE BOARD OF INDIA (INVESTMENT ADVISERS) REGULATIONS, 2013 for last and current financial year are as under:
| Sr. No. | Financial Year | Compliance Audit Status | Remarks, If any |
| 1 | FY 2020-21 | Conducted | NA |
| 2 | FY 2021-22 | Conducted |
CKYC Registration pending.
Awaiting clarity from SEBI and CERSAI |
| 3 | FY 2022-23 | Conducted |
CKYC Registration pending.
Awaiting clarity from SEBI and CERSAI |
| 4 | FY 2023-24 | Conducted | CKYC Registration pending. Awaiting clarity from SEBI and CERSAI |
| Sr. No. | Received from | Pending at the end of last month | Received | Resolved | Total Pending | Pending complaints > 3 months | Average Resolution time (in days) | Reason |
| 1 | Directly from Investors | 0 | 0 | 0 | 0 | 0 | N/A | N/A |
| 2 | SEBI (SCORES) | 0 | 0 | 0 | 0 | 0 | N/A | N/A |
| 3 | Other Sources (if any) | 0 | 0 | 0 | 0 | 0 | N/A | N/A |
| Grand Total | 0 | 0 | 0 | 0 | 0 | N/A | N/A |
Trend of monthly disposal of complaints
| Sr. No. | Month | Carried Forward from previous month |
Received | Resolved | Pending | Reason |
| 1 | Apr-24 | 0 | 0 | 0 | 0 | NA |
| 2 | May-24 | 0 | 0 | 0 | 0 | NA |
| 3 | Jun-24 | 0 | 0 | 0 | 0 | NA |
| 4 | Jul-24 | 0 | 0 | 0 | 0 | NA |
| 5 | Aug-24 | 0 | 0 | 0 | 0 | NA |
| 6 | Sep-24 | 0 | 0 | 0 | 0 | NA |
| 7 | Oct-24 | 0 | 0 | 0 | 0 | NA |
| 8 | Nov-24 | 0 | 0 | 0 | 0 | NA |
| 9 | Dec-24 | |||||
| 10 | Jan-25 | |||||
| 11 | Feb-25 | |||||
| 12 | Mar-25 |
Trend of annual disposal of complaints
| Sr. No. | Year | Carried forward from previous year | Received | Resolved | Pending | Reason |
| 1 | 2019-2020 | 0 | 0 | 0 | 0 | N/A |
| 2 | 2020-2021 | 0 | 0 | 0 | 0 | N/A |
| 3 | 2021-2022 | 0 | 0 | 0 | 0 | N/A |
| 4 | 2022-2023 | 0 | 0 | 0 | 0 | N/A |
| 5 | 2023-2024 | 0 | 0 | 0 | 0 | N/A |
| Grand Total | 0 | 0 | 0 | 0 | N/A |
Grievance Redressal
The Grievance Redressal mechanism is only available to clients of the Investment Adviser. The clients are those individuals/entities with whom the Investment Adviser has signed an investment advisory agreement. Refer to the Beware of Impostors page and avoid working with unregistered people if you want access to Grievance Redressal against any SEBI intermediary.
In case of any complaints (only for clients) against the Investment Adviser (INA100002719), please write to support[at]PersonalFinancePlan.in.
If your complaint (only for clients) is not resolved to your satisfaction within 21 days, you can raise a complaint in SEBI Scores website or mobile app.
If you (only for clients) are still unsatisfied with the response of the Investment Adviser, you may access ODR Portal. Your attention is drawn to the SEBI circular no. SEBI/HO/OIAE/OIAE_IAD-1/P/CIR/2023/131 dated July 31, 2023 on “Online Resolution of Disputes in the Indian Securities Market”.
A common Online Dispute Resolution Portal (“ODR Portal”) which harnesses conciliation and online arbitration for resolution of disputes arising in the Indian Securities Market has been established. ODR Portal can be accessed via the following link – https://smartodr.in/