The purpose of the Document is to provide essential information about the Investment Advisory Services in a manner to assist and enable the prospective client/client in making an informed decision for engaging Investment Advisor before investing.
For the purpose of this Disclosure Document, Investment Adviser is “SOLOMON HENRY PINTO” Individual registered with the Securities and Exchange Board of India as an Investment Advisor under SEBI (Investment Advisers) Regulations, 2013 vide registration no. INA000010016 dated Mar 09, 2018 having its registered office at B-1/002, Ground Floor, Lok Bharati CHS, Marol Maroshi Road, Marol, Andheri East, MUMBAI, MAHARASHTRA, 400059
- Terms & conditions for advisory services
Solomon Henry Pinto will provide Advisory Services which shall be in the nature of investment advice, and may include buying and selling the securities for an for an agreed fee structure and which may be for a definite period of time and which may vary / change from time to time, entirely at the Client’s risk. The detailed terms and conditions are as per the agreement executed between client and Solomon Henry Pinto
No action has been taken against the Individual as an Investment Adviser by any regulator.
Affiliations with other intermediaries
No other affiliations or intermediaries have been registered.
- Disclosures with respect to receipt of any consideration by way of remuneration or compensation or in any other form whatsoever, received or receivable by Solomon Henry Pinto or any of its associates or subsidiaries for any distribution or execution services in respect of the products or securities for which the investment advice is provided to the client
Solomon Henry Pinto does not have any distribution or execution arrangement with the issuers of the securities, that he advises on.
- Disclosure of consideration by way of remuneration or compensation or in any form whatsoever with respect to recommending the services of a stock broker or other intermediary to a client
Solomon Henry Pinto does not recommend services of any stock broker or intermediary to a client. He does not have any commission sharing agreement with any intermediary for recommending the services either as a stock broker or as other intermediary.
- Disclosures with respect to Solomon Henry Pinto’s own holding position in financial products / securities
Solomon Henry Pinto is not registered as a broker with SEBI.
He does invest in financial products / securities which may overlap with the advice he provides on financial products / securities.
- Actual or potential conflicts of interest arising from any connection to or association with any issuer of products/ securities, including any material information or facts that might compromise its objectivity or independence in the carrying on of investment advisory services
Solomon Henry Pinto maintains Fiduciary responsibility towards its clients and prospective clients. Solomon Henry Pinto’s father Mr. Henry Santan Pinto is a Mutual Distributor under ARN- 1594. A single client or family is not provided both advisory and distribution products hence maintaining client segregation at an Individual level.
- Disclosure of all material facts relating to the key features of the products or securities, particularly, performance track record, warnings, disclaimers etc.
Clients are requested to go through the detailed key features, performance track record of the product, or security including warnings, disclaimers etc. before investing as and when provided by the Investment Advisor. Such product materials may also be available to www.sebi.gov.in or www.nseindia.com or www.bseindia.com.
- Drawing client’s attention to warnings, disclaimers in documents, advertising materials relating to investment products
Solomon Henry Pinto who provides the investment advice to the clients, shall draw the client’s attention to the warnings, disclaimers in documents, advertising materials relating to an investment product/s which he is recommending to the client/s.
- Standard Risk Factors as perceived by Investment Adviser:
Investments in equities, derivatives and mutual funds are subject to market risks and there is no assurance or guarantee that the objective of the investment / products will be achieved.
The past performance does not indicate its future performance. There is no assurance that past performances will be repeated. Investors are not being offered any guaranteed or indicative returns.
As with any investment in securities, the NAV of the portfolio can go up or down depending upon the factors and forces affecting the capital market.
The performance of the investments/products may be affected by changes in Government policies, general levels of interest rates and risks associated with trading volumes, liquidity and settlement systems in equity and debt markets.
Investments in the products which the Clients have opted are subject to wide range of risks which inter alia also include but not limited to economic slow down, volatility & illiquidity of the stocks, poor corporate performance, economic policies, changes of Government and its policies, acts of God, acts of war, civil disturbance, sovereign action and /or such other acts/ circumstance beyond the control of Solomon Henry Pinto or any of its fellow subsidiaries.
The names of the products/nature of investments do not in any manner indicate their prospects or returns. The performance in the equity products may be adversely affected by the performance of individual companies, changes in the market place and industry specific and macro-economic factors.
Investments in debt instruments and other fixed income securities are subject to default risk, liquidity risk and interest rate risk. Interest rate risk results from changes in demand and supply for money and other macroeconomic factors and creates price changes in the value of the debt instruments. Consequently, the NAV of the portfolio may be subject to the fluctuation.
Investments in debt instruments are subject to reinvestment risks as interest rates prevailing on interest amount or maturity due dates may differ from the original coupon of the bond, which might result in the proceeds being invested at a lower rate.
Engaging in securities lending is subject to risks related to fluctuations in collateral value / settlement/ liquidity/counter party.
We trust that, before executing on the advice of the Investment Adviser, you have gone through all the relevant information about the product being advised and have sought requisite clarification about the same.
Solomon Henry Pinto shall maintain complete confidentiality of all information provided by the client/s and shall not disclose any such information, without your prior consent except if such disclosure is required to be made in compliance with any applicable law or regulatory direction.
The details of investor relation officer who shall attend to the investor queries and complaints is mentioned below:
Name: Solomon Henry Pinto – SEBI Registered Investment Advisor – INA000010016 (Individual)
Validity: Mar 09, 2018 – Perpetual
Designation: Investment Advisor/ Principal Officer
102, Twinkle Apartments, 1st Floor, Opp. State Bank of India, Vakola,
Phone : +91 9820003266
Closest SEBI Office
Plot No.C4-A, ‘G’ Block
Bandra-Kurla Complex, Bandra (East),
Mumbai – 400051, Maharashtra
- Disclosure w.r.t. compliance with annual compliance audit requirement under Regulation 19(3) SEBI (INVESTMENT ADVISORS) regulations, 2013, for last and current year are as under
Financial Year Compliance Audit Status Remarks
FY 2020-21 Conducted NA
FY 2021-22 Conducted NA