The RIA Roadmap: From Registration Prerequisites to Fiduciary Duties

Affluence Advisory | Last updated: 15 May 2026

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Registered Investment Advisers (RIAs) in India are individuals or firms regulated by SEBI to provide unbiased investment advice. RIAs must adhere to strict fiduciary duties, acting solely in the client's best interest and operating on a fee-only model, meaning they cannot accept commissions. The process involves meeting specific educational and certification requirements, maintaining necessary infrastructure, and fulfilling deposit obligations.

Investment Adviser means any person, who for consideration, is engaged in the business of providing investment advice to clients or other persons or group of persons and includes a part-time investment adviser or any person who holds out himself as an investment adviser, by whatever name called. Investment Advice means advice relating to investing in, purchasing, selling or otherwise dealing in securities and advice on investment portfolio containing securities whether written, oral or through

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Why Affluence Advisory for any Tax Compliance services? Affluence Advisory Pvt Ltdis a multi-disciplinary consulting and compliance firm that is managed by a specialized team of Chartered Accountants, Company Secretaries, Corporate Lawyers, and Other Professionals who are committed to providing a quality experience ... Read more

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