INDEPENDENT FINANCIAL ADVICE!
Disclosure with respect to compliance with Annual Compliance Audit requirement under Regulation 19(3) fo SEBI RIA Regualtions, 2013
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Sr. No. |
Financial Year |
Compliance Audit Status |
Remarks If Any |
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1 |
FY 2020 - 2021 |
Conducted |
The Investment Adviser has entered into an investment advisory agreement with its clients; however, the said agreement didn’t cover the clauses as provided in the Circular issued by the SEBI in this regard. Action Taken : I am in a practice of entering into the agreement with my clients since inception of my advisory practice. The amendment to the SEBI Regulation took place in September, 2020, so due to Covid-19 situation and lockdown across the city, I couldn’t get the new Agreement signed from them. However, as on date the new agreement has been executed with them. |
|
2 |
FY 2021 - 2022 |
Conducted |
|
|
3 |
FY 2022 - 2023 |
Conducted |
|
INVESTING WITH A PURPOSE
There are very few leaders, products or companies that create movements. Think about Gautam Buddha, Mahatma Gandhi, Apple, their inspiration spans across generations, geographies and cultures. And the reason they are able to do this is because they are able to define the “Why” or the purpose very clearly.
We too start with the “why” you want to invest, we call it “Investing With A Purpose” and build on to “how” we want to invest, eventually narrowing it down to “what instrument” we will choose to invest in. Most people do the reverse, they start by choosing what they want to invest in, sometimes moving on to how they will invest but for most people the purpose is seldom very clearly defined.
So when you come to us, you will find that there is :
- Clarity of WHY
- Discipline of HOW
- Consistency of WHAT
Clarity of WHY
We have made life simple for you, when you deal with us, you do not have to worry about any hidden costs or commissions.
Our only source of income is the fee that you pay us. Our business model thus enforces loyalty for the customers.
The only way we can make money, is if you make money from our advice and find them worthy enough to pay for them. Thus we add value to your investments by recommending only those investments that are in your best interest.
It’s simple, If YOU Win, WE Win.
For us it all starts and ends with YOU. Since we wanted to make our advisory altruistic in nature, we decided to be YOU centric and not product centric. We strongly believe that our services should revolve around YOU, and not any products. Which is why YOU are the centre of everything that we do !
To ensure that we do not sell any financial products to you. We did the most fundamental thing, that is we do not have any affiliations with any Mutual Fund Companies, Insurance Companies or Banks, so they do not pay us a single penny (in cash or kind) on your investments.
Disciplined HOW
Sucess Does Not Happen, As a Team You & Us - We Create It
Develop
We gather vast amount of information in the most structured manner, to develop an Investment Plan for You.
Design
An Investment plan is designed, bearing in mind your needs, constraints, aspirations, and many other factors.
Deploy
Either you can invest as per the recommendations yourself or we can assist you to deploy your investments.
Consistency of WHAT
A desired outcome is the result of
consistent actions.
While everyone is looking for big gains—the proverbial get rich quick scheme—there is a space that’s not getting much attention, which is,
"Tiny Changes, leads to Remarkable Results, when you factor in Time" writes James Clear in his book "Atomic Habits". Clear is a big proponent of systems and believes that it is a much more effective way to achieve the results you want versus focusing on setting goals ( remember “winners and losers have the same goals” when they start out, what differentiates a winner is the systems he has in place to achieve the goal).
Gautam Buddha said the near same thing centuries ago, "Take One Idea, and Take it Seriously".
This is the philosophy that embodies all the actions at Alliance Consultants.
We pitch simple investment ideas to our clients, that
we do conissitently with tiny incremental gains that
build serious out-performance over time. What we lack
for in variety we make up for in consistency.
Our simple ways of managing money are :
1) If you are short of time, invest in
Debt
2) If you are short of time and unwilling to take much risk, Invest in Near Capital Protection Portfolio.
3) If you have some time, and can take some risk, but are unsure of asset performances, we create a Risk Equated Multi Asset Portfolio for you.
4) If you have time, money and high risk taking capacity then we advice WABTA (An Index Fund Based Strategy of Investing in Mutual Funds) or ValueContra Strategy (Invests in
companies that are good value bets) or Consumption Strategy (Invest in companies that are B2C oriented) for Investing in Direct Equity.
Doing these consistently fulfills more than 90% of our clients needs, because at the end of the day what you really want as a client is to be able to create wealth reasonably, and if that ccan be attained by doing simple things, where is there the need to chase complicated products, that can blow up in your face and give you heart aches for years to come. So we strongly adovcate, "Keep it Simple, Keep it Consistent"
CLIENT TESTIMONIALS
Investment in securities market are subject to
market risks. 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 intermediary or provide any assurance of returnstoinvestors”
Name Registered: Premal B Thakkar, Type of Registration: Individual, Registration No.: INA000008534, Validity: Perpetual, Trade Name : Alliance Consultants Contact of Principal Officer & Compliance Officer : 9909008490, Email: premal@allianceconsultants.in SEBI WRO Address: SEBI Bhavan, Western Regional Office, Panchvati 1st Lane, Gulbai Tekra Road, Ahmedabad - 380006, Gujarat; Tel. Board: 079-26583633-35, E-mail: sebiwro@sebi.gov.in
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