Regulatory Compliance
Legal & Regulatory Disclosures
Transparency, client-first principles, and regulatory compliance form the foundation of how Rahul Rajgopal Wealth Advisor operates.
1. Registration Details
Rahul Rajgopal Wealth Advisor is registered as a SEBI Registered Investment Adviser (Individual).
- SEBI Registration No.:INA000021933
- BASL Membership No.:2446
- Validity:Perpetual
- Proprietor:Rahul Rajgopal
2. Advisory Model & Scope of Services
Rahul Rajgopal Wealth Advisor follows a fee-only, conflict-free advisory model. Services include:
- Personalised financial planning & goal mapping
- Cash-flow & expense management insights
- Retirement readiness analysis
- Risk management review (insurance adequacy)
- Asset allocation evaluation
- Ongoing advisory engagement
Advice is provided on a non-discretionary basis — clients retain complete control over investment execution.
3. No Commissions, No Product Sales
Rahul Rajgopal Wealth Advisor does not sell, distribute, or execute any financial products, including:
- Mutual funds (regular plans)
- Insurance products
- PMS, AIF, or structured products
- Bonds, FDs, NPS, SGB, or market-linked debentures
No commissions, referral fees, or incentives are received from any third party. Compensation comes exclusively from clients, ensuring complete alignment of interest.
4. Fee Structure
Fees are charged only under the Fixed Fee Mode permitted under Regulation 15A of the SEBI (Investment Advisers) Regulations, 2013. As specified by SEBI, fees under this mode shall not exceed ₹1,51,000 per annum per family of client across all services, excluding statutory charges. This limit applies to individual and HUF clients.
Specific fee amounts are communicated clearly before any engagement commences and are detailed in the Advisory Agreement.
5. Risk Disclosures
All investments are subject to market risks. Past performance does not guarantee future results. Asset values may fluctuate based on economic and market conditions.
Clients are encouraged to fully understand the risks involved in each investment decision before acting upon any recommendation.
6. Data Privacy & Confidentiality
All personal and financial data shared with Rahul Rajgopal Wealth Advisor is treated as strictly confidential. Data is used exclusively for advisory purposes and is not shared with external parties unless required by law.
7. Grievance Redressal
Clients may raise grievances or concerns via:
- Email: [email protected]
- Phone: +91 93110 33796
- Registered Office: F1/38, Sector-2A, Vaishali, Ghaziabad – 201019