1. SEBI Registration Details
2. Contact Details & Escalation Matrix
| Details of Designation | Contact Person Name | Address | Contact Number | E-mail id | Working Hours |
|---|---|---|---|---|---|
| Customer Care / Head of Customer Care |
Sanika Asalekar | 502, Medha Apartments, Tulsibaugwale Colony, Sahakar Nagar 2, Pune 411 009 | +91 85302 96092 | clientconnect@prosperentia.com | Mon to Friday 9:30 AM to 5:30 PM |
| CEO | Not Applicable | ||||
| Compliance Officer | Viraj Padhye | 502, Medha Apartments, Tulsibaugwale Colony, Sahakar Nagar 2, Pune 411 009 | +91 99234 30110 | viraj.padhye@prosperentia.com | Mon to Friday 9:30 AM to 5:30 PM |
| Principal Officer | Trupti Rane | 1401, Marathon Millenium, LBS Road, Mulund West, Mumbai - 400080 | +91 96197 78842 | trupti.rane@prosperentia.com | Mon to Friday 9:30 AM to 5:30 PM |
3. SEBI Regional Office
SEBI Bhavan, Plot No. C4-A, 'G' Block
Bandra-Kurla Complex, Bandra (East)
Mumbai - 400051, Maharashtra
4. Fee Model
The Investment Adviser operates under a fee-only advisory model and earns fees directly from clients for advisory services. The Investment Adviser does not receive any commissions, referral fees, or distribution income from financial product providers.
5. Conflict of Interest
Efforts are made to avoid conflicts of interest. Should a conflict arise, disclosures will be made and appropriate steps taken to safeguard client interests.
6. AI Tools Usage
The Investment Adviser does not currently use Artificial Intelligence (AI) tools for delivering personalized investment advisory services.
7. Confidentiality
Strict client confidentiality is maintained. Data is never disclosed to third parties unless required by applicable law or with prior written consent.
8. Services Offered
- Investment advisory
- Financial planning
- Portfolio review
- Goal-based planning
9. Regulatory Disclaimer
Investments in securities markets are subject to market risks. Investors are advised to read all related documents carefully before making investment decisions.
Registration granted by SEBI, certification from NISM, and membership of any recognized body does not guarantee the performance of the intermediary or provide any assurance of returns to investors.
10. Refund Policy
Applicable to services by Prosperentia, SEBI RIA (Registration No: INA000018957)10.1 Termination of Advisory Agreement
The Advisory Agreement may be terminated under the following circumstances:
- Voluntary or mandatory termination by the Investment Adviser or client.
- Suspension or cancellation of SEBI registration.
- Regulatory or governmental action affecting service continuation.
10.2 Advance Fees & Refunds
Advance Fees: Fees charged in advance will not exceed the maximum period permitted under SEBI regulations (currently one year).
Proportionate Refund: In case of premature termination, the client receives a refund of proportionate fees for the unexpired period (excluding GST and taxes).
Breakage Fee: A breakage fee not exceeding one-quarter of the advisory fee may be retained as per agreement terms.
Refund Processing Timeline
Eligible refunds are processed within 7 working days from the date of confirmation.