Disclosures
Essential Investment Managers Private Limited (“EIMPL” or “Company”) is a private limited company (CIN: U66190KA2021PTC145058) incorporated on March 09, 2021, under the Companies Act, 2013, and registered with the Bangalore ROC. EIMPL is also registered with SEBI as a non-individual Investment Adviser, with effect from April 24, 2023, with INA000017912 as the SEBI registration number. The said registration is valid perpetually. EIMPL, as a non-individual investment adviser, is also enlisted with BSE Limited as a member having the enlistment number 1981. The registered office & correspondence address of EIMPL is No. 51, 3rd Floor, Le Parc Richmonde, Richmond Road, Shanthala Nagar, Bangalore – 560025, Karnataka, India. The details of the relevant SEBI regional office address, in relation to the investment adviser registration of the Company, are: 7th Floor, 756-L, Anna Salai, Chennai - 600002, Tamil Nadu, Tel. Board: +91-44- 28880222 / 28526686, Fax : +91-44 -28880333, E-mail : sebisro@sebi.gov.in
The content and data, available in the material prepared by the Company and on the website of the Company, are for informational and illustration purposes only. Though reasonable care and skill has been exercised in preparing the content of the website and other materials, the Company does not guarantee the accuracy or completeness of any such available information. Information available on the website of the Company shall not be considered as a recommendation or advice or solicitation of an investment and viewers should not make the same a basis for making any investment decisions. The Company shall not be liable to any person for any loss or damage which may arise from the use of any information provided on the website. Investors are responsible for their own investment decisions and are responsible to validate all the information used to make their investment decisions.
Investments in securities market are subject to market risks. Further, past performance does not guarantee future returns. Read all the related documents carefully before investing. Registration granted by SEBI, membership of BASL and certification from NISM in no way guarantee performance of the investment adviser or provide any assurance of returns to investors. Investment advice made by the Company are subject to various market, currency, economic, political and business risks including but not limited to price and volume volatility in the stock markets, interest rates, currency exchange rates, foreign investments, changes in government policies, taxation, political, economic, pandemic, or other developments and closure of the stock exchange(s).
EIMPL, through a separately identifiable department, is involved in providing investment advisory services.
EIMPL will provide investment advisory services as agreed upon with a client as per the Investment Advisory Agreement to be executed between both the Parties as per applicable SEBI regulations. The Investment Advisory Agreement will be as per SEBI guidelines. EIMPL shall not render any investment advice nor charge any fee until the client has signed the said agreement.
Such a client shall provide all required documentation required by EIMPL in relation to the Know Your Client (KYC) and Anti Money Laundering related guidelines as required by SEBI from time to time. Further, the client shall also provide with any documentation as required by EIMPL for these purposes from time to time.
Such a client will pay fees as agreed upon with EIMPL, as per applicable SEBI guidelines. The fee will either be a fixed fee or as a percentage of the assets under advice (AUA). The client will make payments as per the agreed upon payment terms. EIMPL shall accept the fees only through regular banking channels, providing an audit trail of funds. The Company shall not accept fees in cash.
The Company will consider the client's investment objectives, risk profile, and financial situation while providing investment advice. The client shall furnish information as reasonably requested by EIMPL for the purpose of the risk profiling process.
Further, EIMPL also provides non-advisory services through partnerships with various RBI-registered NBFCs/Banks (“Lenders”), enabling people to avail credit facilities from the lenders, via a separately identifiable department which works at an arm’s length from the investment advisory department of EIMPL. The Company does not provide both advisory services and distribution services to the same client. In relation to the non-advisory services (or advisory services in respect to products or services that are outside the purview of SEBI) provided by EIMPL, please note that no recourse from SEBI shall be available for any grievance arising therefrom and grievances related to such products or services. The Company does not provide any service including investment advisory or non-advisory services on or through the website.
The Company has neither been suspended, nor debarred, from doing business by any Stock Exchange or by SEBI or by any other authorities, nor has its certificate of registration been canceled by SEBI at any point in time.
Any material prepared by the Company and on the website of the Company is not to be construed as an offer to buy /sell or the solicitation of an offer to buy / sell any security in any jurisdiction where such offer or solicitation would be illegal.
We and our associates, officers, directors, and employees (including relatives) worldwide may: (a) from time to time, have long or short positions in, and buy or sell the securities thereof, of Company/(ies) forming part of the investment advice rendered by the Company or (b) may have other potential/material conflict of interest with respect to any Company(ies) forming part of the investment advice of the Company. Any such positions of conflict of interest (including any conflicts of interest arising between the investment advisory activities and non-advisory activities of the Company) will be appropriately disclosed and dealt with in accordance with the applicable law.
The Company does not provide any promise or assurance of favorable view for a particular industry or sector or business group in any manner. The investors are requested to take into consideration all the risk factors including, but not limited to, their financial condition, suitability to risk-return profile and take professional advice before investing.
The Company’s holding Company, Smallcase Technologies Private Limited (“STPL”), is a shareholder in Zerodha Asset Management Private Limited (“Zerodha AMC”), which is the asset manager for the Zerodha Mutual Fund. The Company’s investment advice may include mutual funds and ETFs managed by the Zerodha AMC. The Company undertakes that its investment advice would be made independently and objectively based on merits and suitability without any influence due to STPL being a shareholder in Zerodha AMC.
Details of our Associates / Affiliates –
Smallcase Technologies Private Limited (STPL; incorporated as a Private Limited Company under the Companies Act, 2013), holding 100% shares of the Company bearing CIN: U62099KA2015PTC081722 with its registered office at No 51, 3rd Floor, Le Parc Richmonde Richmond Road, Shantala Nagar Bangalore, 560025. STPL holds a Mutual Fund Distributor registration (ARN 276729) granted by the Association of Mutual Funds in India (AMFI), which is valid from September 21, 2023 till September 20, 2026. STPL is also registered with AMFI as a ‘Category – I Execution Only Platform’ bearing registration number CAT-1 EOP -0004, which is valid from 21-Sep-2023 to 20-Sep-2026.
Telephone number: 080 71175775
E-mail address: help@smallcase.com
Anchorage Technologies Private Limited (ATPL; a wholly owned subsidiary of STPL and incorporated as a Private Limited Company under the Companies Act, 2013) bearing CIN: U74220KA2021PTC142979 with its registered office at No. 51, 3rd Floor, Le Parc Richmonde, Richmond Road, Shanthala Nagar, Richmond Town, Bangalore - 560025. ATPL holds a Mutual Fund Distributor registration (ARN 253554) granted by the AMFI, which is valid from September 20, 2022 till September 19, 2025.
Telephone number: 080 71175775
E-mail address: support@tickertape.in
Windmill Capital Private Limited (WCPL; a wholly owned subsidiary of STPL and incorporated as a Private Limited Company under the Companies Act, 2013) is registered with SEBI as a Research Analyst having INH200007645 as the SEBI registration number. The said registration is valid perpetually from June 25, 2020. WCPL, as a research analyst, is also enlisted with BSE Limited as a member having the enlistment number 5380. The CIN of WCPL is U74999KA2020PTC132398 with its registered office address at No. 51, 3rd Floor, Le Parc Richmonde, Richmond Road, Shanthala Nagar, Bangalore – 560025.
Telephone number: 080 29915553
E-mail address: support@windmill.capital.com
Nexum Finvest Private Limited (NFPL; a wholly-owned subsidiary of STPL and incorporated as a Private Limited Company under the Companies Act, 2013) bearing CIN U64990KA2023PTC172732 with its registered office address at No. 51, 3rd Floor, Le Parc Richmonde, Richmond Road, Shanthala Nagar, Bangalore – 560025. NFPL is registered with National Stock Exchange of India Limited as an Authorised Person of Zerodha Broking Limited, bearing registration code AP2516003703. The said registration is valid perpetually with effect from 10 December 2024.
Telephone number: NA
E-mail address: help@nexumfinvest.in
Zerodha Asset Management Private Limited (ZAMPL; incorporated as a Private Limited Company under the Companies Act, 2013) bearing CIN: U67190KA2021PTC155726 with its registered office address as: INDIQUBE PENTA New No. 51 (Old No.14), Richmond Road, Bangalore - 560025. STPL is a shareholder in ZAMPL. ZAMPL is an asset manager to Zerodha Mutual Fund, a SEBI-registered mutual fund house bearing registration number MF/080/23/06, valid perpetually from Aug 11, 2023.
Telephone number: NA
E-mail address: support@zerodhafundhouse.com
Details of the Board of Directors / Key Managerial Personnel:
Mr. Anugrah Shrivastava (DIN 07044041) holds an M.Sc. in Economics from IIT, Kharagpur.
Mr. Vasanth Sanoor Kamath (DIN 07214307) holds an M.Sc. in Economics (under the Integrated Programme) from IIT, Kharagpur.
Mr. Abhishek Jadon (DIN 08787673) holds an M.Sc. in Economics from IIT, Kharagpur. Mr. Abhishek Jadon is also the Principal Officer of the Company.
Support for advisory services:
Contact us at support@essentialadviser.com for any queries and assistance. All the grievances should be addressed to our grievance officer Mr. Ajoy Bharadwaj at compliance@essentialadviser.com.
Contact Details:
Support Telephone: 080 299 15553
Support Email: support@essentialadviser.com
Compliance Office Details:
Name: Ajoy Bharadwaj
Email: compliance@essentialadviser.com
Contact: +917738999687
Grievance Office Details:
Name: Ajoy Bharadwaj
Email: compliance@essentialadviser.com
Contact: +917738999687
Principal Officer Details:
Name: Abhishek Jadon
Email: principalofficer@essentialadviser.com
Contact: 08029915553
Grievance Redressal/ Escalation Matrix for advisory services:
Customer Care –
Physical address: No 51, 3rd Floor, Le Parc Richmonde, Richmond Road, Shanthala Nagar, Bangalore – 560025, Karnataka, India
Email-ID: support@essentialadviser.com
Head of Customer Care –
Please contact the Compliance Officer or the Principal Officer on the contact details given below.
Compliance Officer –
Contact Person Name: Ajoy Bharadwaj
Physical address: No 51, 3rd Floor, Le Parc Richmonde, Richmond Road, Shanthala Nagar, Bangalore – 560025, Karnataka, India
Contact No: +917738999687
Email-ID: compliance@essentialadviser.com
Working hours when complainant can call: 10:00 AM to 6:00 PM (Mon-Fri)
CEO –
Please contact the Principal Officer / Director on the contact details given below
Principal Officer / Director –
Contact Person Name: Abhishek Jadon
Physical address: No 51, 3rd Floor, Le Parc Richmonde, Richmond Road, Shanthala Nagar, Bangalore – 560025, Karnataka, India
Contact No: 08029915553
Email-ID: principalofficer@essentialadviser.com
Working hours when complainant can call: 10:00 AM to 6:00 PM (Mon-Fri)
If the grievance is not redressed satisfactorily, you may, in accordance with the SCORES guidelines, escalate the same through the SCORES website or the SEBI SCORES app for Android or iOS, in accordance with the process laid out therein. Alternatively, you can initiate dispute resolution through a dispute resolution mechanism that includes mediation and/or conciliation and/or arbitration, at Online Dispute Resolution portal in accordance with the prescribed procedure.