Investment Advisor Registration
Register as a SEBI Investment Advisor — IA-1 application, NISM qualification verification, net worth compliance and end-to-end compliance framework setup.
Get your SEBI Investment Advisor registration
Share your qualifications and advisory model. We assess eligibility, file the IA-1 application and build your compliance framework.
Talk to a CS →A complete SEBI IA registration package
Eligibility Assessment
NISM Series X-A and X-B certification, qualification and net worth requirements verified before filing.
IA-1 Application Filing
SEBI Investment Advisor registration application filed on the SEBI intermediaries portal.
Code of Conduct and Agreements
IA code of conduct, client agreement template and risk profiling framework drafted per SEBI IA Regulations.
Compliance Manual
Written compliance manual covering client onboarding, suitability assessment and fee disclosure.
Net Worth Certification
Net worth certificate from CA obtained and filed with SEBI — monitored annually.
Annual Compliance
Annual compliance audit, net worth certificate and SEBI IA annual report managed every year.
What SEBI IA registration requires
NISM Certification
NISM Series X-A (Investment Adviser Level 1) and X-B (Level 2) certifications are mandatory.
Qualification
Post-graduate degree or diploma in finance, economics, law or related field — or 5 years of relevant experience.
Net Worth
Individual IA: net worth of Rs. 5 lakhs. Non-individual IA: net worth of Rs. 50 lakhs minimum.
Client Agreement
A written investment advisory agreement with each client — mandatory before providing any advice.
Suitability Assessment
Risk profiling and suitability assessment must be conducted for each client before recommending products.
Fee Disclosure
Advisory fee must be disclosed upfront — commission-based model not permitted for registered IAs.
Providing investment advice for consideration without SEBI IA registration is illegal and attracts penalties of up to Rs. 25 crores. Any individual or entity providing fee-based investment advisory must be SEBI-registered.
Common SEBI IA registration issues
Simple steps, no surprises
Eligibility verified
NISM certifications, qualifications and net worth confirmed before filing.
IA-1 application filed
Complete SEBI IA registration application filed on the SEBI intermediaries portal.
Client framework established
Client agreement, risk profiling form, fee disclosure and compliance manual prepared.
Ongoing compliance managed
Annual compliance audit, net worth certificate and SEBI IA reporting handled every year.
Other services you may need
Frequently asked questions
A SEBI Investment Advisor (IA) is an individual or entity registered with SEBI under the Investment Advisers Regulations 2013. Anyone who provides investment advice — recommending specific securities, portfolios or asset allocations — for a fee must be SEBI-registered as an IA.
A SEBI IA provides personalised investment advice to individual clients based on their financial goals and risk profile. A SEBI RA publishes research reports and recommendations on securities for general distribution. An individual cannot simultaneously hold both IA and RA registration.
No. SEBI IA Regulations prohibit registered IAs from earning commissions from product manufacturers (mutual funds, insurance companies) for the products they recommend. IAs can only charge a fee directly from their clients — the advisory and distribution models are segregated.
Applicants must hold both NISM Series X-A (Investment Adviser Level 1) and NISM Series X-B (Investment Adviser Level 2) certifications. Both must be valid — NISM certifications must be renewed every 3 years.
Ongoing obligations include: annual compliance audit by a SEBI empanelled auditor, maintaining net worth above threshold, renewing NISM certifications, filing annual reports with SEBI, maintaining client records for 5 years, conducting suitability assessments for all clients and disclosing all conflicts of interest.
Ready to register as a SEBI Investment Advisor?
We file your IA-1 application, build your client compliance framework and manage annual obligations — registered and compliant.