SEBI Services · Investment Advisors

Investment Advisors Registration obtain your SEBI Investment Adviser licence and build a compliant, client-first advisory practice.

SEBI Investment Adviser (IA) registration is mandatory for any individual or entity that provides personalised investment advice on securities and financial products for a fee — with registration under SEBI (Investment Advisers) Regulations, 2013 required before engaging any advisory client.

Any person who provides personalised investment advice — recommending specific securities, mutual funds, insurance-cum-investment products, or portfolio strategies to individual clients for a consideration — must be registered as an Investment Adviser (IA) with SEBI under the SEBI (Investment Advisers) Regulations, 2013. Providing investment advice without registration is a SEBI violation attracting substantial penalties and client liability exposure.

The SEBI IA framework distinguishes between individual advisers (serving up to 150 clients, subject to lower net worth requirements) and non-individual advisers (no client limit, higher net worth). All registered IAs must comply with risk profiling requirements, suitability assessments, fee disclosure norms, and strict segregation from execution (distribution) activities. SEBI tightened the IA framework significantly in 2020, making compliance more demanding but also creating a more credible and professionally respected category.

At Beyonte Compliances, we provide complete Investment Adviser registration support — covering eligibility assessment, application preparation, compliance manual drafting, and ongoing regulatory maintenance — helping aspiring advisers build a legitimate, SEBI-authorised practice from a strong compliance foundation.

What Our Registration Service Covers

Our Process

Eligibility & Category Selection

Assessing eligibility for Individual or Non-Individual IA registration and advising on the most appropriate category based on proposed practice scale.

Document & Certificate Preparation

Gathering qualification certificates, NISM scorecards, net worth certificate, PAN, KYC, and entity documents required for the application.

Application Filing on SEBI Portal

Filing the complete IA registration application on the SEBI Intermediary Portal with all supporting documents attached.

SEBI Query Management

Responding to SEBI observations or additional information requests during the application review period.

Registration & Practice Setup

Receiving the SEBI IA registration certificate and establishing the compliance infrastructure — client agreements, risk profiling, and record-keeping systems.

Why It Matters

✓SEBI registration is legally required before commencing the regulated activity — operating without it is an offence

✓Registered status builds client credibility and trust in a market where investor protection is paramount

✓Compliance framework setup from day one prevents inadvertent regulatory violations as the practice grows

✓Proper documentation of client interactions protects against complaints and SEBI enforcement actions

✓SEBI-authorised status is a prerequisite for empanelment with leading financial institutions and platforms

✓Annual compliance management keeps the registration current and avoids lapse or suspension

✓Fee and commission disclosure compliance protects against SEBI action on undisclosed conflicts of interest

✓Structured registration process reduces application processing time and minimises SEBI query rounds

Frequently Asked Questions

A SEBI Investment Adviser (IA) provides personalised investment advice tailored to a specific client's financial situation — including risk profiling and suitability assessment. A Research Analyst (RA) publishes general investment research and recommendations without personalisation to individual client circumstances. Both require separate SEBI registrations and cannot be held simultaneously.

An Individual Investment Adviser registered with SEBI can serve a maximum of 150 clients at any point in time. Exceeding this limit requires conversion to a Non-Individual IA entity structure. Non-Individual IAs have no client limit but must maintain a minimum net worth of ₹50 lakh.

SEBI IA Regulations permit fee-only advisory — meaning IAs can charge either a fixed fee per service or an AUM-based fee (subject to prescribed caps), but cannot receive commissions or trail fees from product manufacturers such as mutual funds or insurance companies. Fee disclosure and written consent before charging are mandatory.

An individual IA applicant must have a postgraduate degree or postgraduate diploma in finance, accountancy, business management, commerce, economics, law, or related fields — or a professional qualification such as CA, CS, CFA, or CFP. NISM Series X-A and X-B certifications are also mandatory. A minimum of five years of experience in financial services is required for non-individual entities.

Build a SEBI-authorised investment advisory practice from day one.

Talk to our team about your Investment Adviser registration, eligibility, and compliance framework setup.