Investment Advisors are the person who provides financial advice or guidance to their customers for compensation. Although they can provide other different services also such as investment management, tax planning, and estate planning. Increasingly, Investment advisors are providing a range of services from portfolio management to insurance products as a one stop shop. In short we can say that aFinancial advisors is a professional that provides expertise for clients, and take decisions for the best investment and for the course of action for you. Moreover, to become a Investment advisor one has to take its registration through SEBI under theSEBI (Investment Advisors) Regulations, 2013 by giving an application.
Who is a Investment Advisor?
Reviewed by: BIATConsultant CA, CS, legal, tax, finance, and compliance expert team.
Last reviewed: May 28, 2026.
Relevant official references: Securities and Exchange Board of India.
Important note: Timelines, government fees, professional fees, document requirements, and approvals depend on the applicable authority, applicant profile, document readiness, and current regulatory process.
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Obligations and Responsibilities of SEBI registered Investment advisors?
Following are the obligations and responsibilities of SEBI registered investment advisors-
1.They should act in a fiduciary capacity and in the interest of its clients.
2.They have responsibility for not disclosing any confidential information of their clients to others.
3.They should abide by the code of conduct as specified.
4.They should conduct risk profiling and risk assessment of the investor.
5.It is their duty to ensure that investments should be suitable and to the risk profile of their client.
6.Written records should be maintained for a period of 5 years.
7.Proper system and procedure should be maintained for redressing grievances of clients.
An investor can be in any form i.e. they can appear as an individual, as a Body Corporate (Including limited liability partnership (LLP)) or Partnership Firms.
Procedure for getting registered as a Investment Advisor?
Post Registration compliances?
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