The greatest dividend of
transparency is
INVESTOR CHARTER
Vision
Our vision is to empower clients with comprehensive financial solutions that ensure long-term prosperity and security, tailored to their unique goals and aspirations.
Mission
Enhancing wealth creation for individuals by reducing the cost of personalized advice through technology, AI, and behavioral science.
Details of business transacted by the Investment Adviser with respect to the investors
SFI offers comprehensive financial planning and wealth management services to its clients, ensuring thorough evaluation before delivering any service.
SFI will enter into an agreement with the client, detailing fees, disclosing any conflicts of interest, and maintaining confidentiality. SFI will provide a copy of the agreement and complete KYC formalities for the client. SFI will conduct thorough and impartial risk profiling and suitability assessments for the client.
Business Details:
Legal Name :
SFI Investment Advisors LLP
SEBI Registered number :
INA000019114
E-mail Address :
Info@thesofi.in
Contact Number :
+91 79824 68986
Registered Office :
W1C101, DLF Wellington Estate, DLF City 5, Gurugram, Gurgaon, Haryana, 122009
Correspondence Address :
W1C101, DLF Wellington Estate, DLF City 5, Gurugram, Gurgaon, Haryana, 122009
Investors Do’s and Don’ts:
ANNEXURE - A
Data for the month ending – July 2024
|
Received From
|
Pending at end of the Month
|
Received
|
Resolved
|
Total Pending
|
Pending 3 Months
|
Avg. Resolution Time
|
|---|---|---|---|---|---|---|
|
Directly From Investors
|
0
|
0
|
0
|
0
|
0
|
0
|
|
SEBI (Scores)
|
0
|
0
|
0
|
0
|
0
|
0
|
|
Other Sources
|
0
|
0
|
0
|
0
|
0
|
0
|
|
Grand Total
|
0
|
0
|
0
|
0
|
0
|
0
|
Trend of monthly disposal of complaints
|
Month
|
Carried forward Previous Month
|
Received
|
Resolved
|
Total Pending
|
|---|---|---|---|---|
|
May 2023
|
0
|
0
|
0
|
0
|
|
June 2023
|
0
|
0
|
0
|
0
|
|
July 2023
|
0
|
0
|
0
|
0
|
|
August 2023
|
0
|
0
|
0
|
0
|
|
September 2023
|
0
|
0
|
0
|
0
|
|
October 2023
|
0
|
0
|
0
|
0
|
|
November 2023
|
0
|
0
|
0
|
0
|
|
December 2023
|
0
|
0
|
0
|
0
|
|
January 2024
|
0
|
0
|
0
|
0
|
|
February 2024
|
0
|
0
|
0
|
0
|
|
March 2024
|
0
|
0
|
0
|
0
|
|
April 2024
|
0
|
0
|
0
|
0
|
|
Grand Total
|
0
|
0
|
0
|
0
|
Trend of Annual disposal of complaints
|
Year
|
Carried forward Previous Month
|
Received
|
Resolved
|
Total Pending
|
|---|---|---|---|---|
|
2020 - 21
|
0
|
0
|
0
|
0
|
|
2021 - 22
|
0
|
0
|
0
|
0
|
|
2022 - 23
|
0
|
0
|
0
|
0
|
|
2023 - 24
|
0
|
0
|
0
|
0
|
|
2024 - 25
|
0
|
0
|
0
|
0
|
|
Grand Total
|
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 the total number of complaints resolved in the current month.
Inclusive of complaints of previous months/years resolved in the current month/year.
Inclusive of complaints pending as on the last day of the month/year.
Grievance Redressal
Details of grievance redressal Mechanism
In case of any grievances or disputes the client has the following redressal mechanism as prescribed by SEBI:–
Step 1 – The client should initially address any grievances with SFI Investment Advisors LLP by filing a complaint directly with the compliance officer, Mrs. Pratibha Shrotriya, at info@thesofi.com. Grievances will be resolved within 21 calendar days from the date of receipt by the compliance officer.
Step 2 – If the investor's complaint remains unresolved, they may escalate it to SEBI through SEBI's 'SCORES' portal, a centralized web-based system for complaints resolution. SEBI addresses complaints registered via SCORES. Click here to access the portal.
Step 3 – If the investor's grievance is not resolved to satisfaction, they have the option to lodge a complaint with SEBI using SEBI's 'SCORES' portal, a centralized web-based system for complaint resolution. SEBI addresses complaints registered via SCORES. Access the portal by clicking here.
Step 4 – With regard to physical complaints, investors may send their complaints to: 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 – 400 051.
Associate Regional SEBI office :
5th Floor, Bank of Baroda Building, 16, Sansad Marg
New Delhi, Delhi 110001
Annual Audit
Compliance
Disclosure With Respect To Compliance With Annual Compliance Audit Requirement Under Regulations 19(3) Of SEBI Investment Advisers Regulation 2013 For Last And Current Financial Year Are As Under :
|
Financial Year
|
Compliance Audit Status
|
Remarks If Any
|
|---|---|---|
|
2020 - 21
|
Conducted
|
N/A
|
|
2021 - 22
|
Conducted
|
N/A
|
|
2022 - 23
|
Conducted
|
N/A
|