Welcome to the Legal Page of ZenithBridge Capital. Here, we prioritize a forward-thinking approach to wealth management, putting your financial goals at the forefront. As a premier provider of private wealth management services in India, our mission is to offer tailored and innovative solutions that help high-net-worth individuals and families achieve their financial aspirations.
At ZenithBridge Capital, we understand the complexities of the financial landscape, and our team of experienced professionals is here to guide you. We remain proactive, staying updated on the latest laws, regulations, and industry standards that shape our operations and the financial services sector.
This legal page serves as a valuable resource for you, our esteemed client. Here, you can access essential information, find answers to your questions, and gain insights into the legal and regulatory aspects of your financial journey. Transparency, open communication, and client education are core to our values, and we’re committed to helping you make informed decisions about your wealth.
Whether you’re focused on preserving your wealth, growing your assets, or planning for the future, we’re here to support you every step of the way.
Investment Advisory Disclosure
ZenithBridge Capital – Disclosures under SEBI (Investment Advisers) Regulations, 2013
ZenithBridge Capital commenced operations in 2010, establishing a strong reputation in wealth management services. Over the years, ZenithBridge Capital has expanded its offerings to include a range of wealth-related services such as mutual fund and financial products distribution, real estate advisory, lending solutions, investment banking, and succession and estate planning, providing clients a comprehensive, one-stop wealth management solution.
To ensure full compliance with SEBI (Investment Advisers) Regulations, ZenithBridge Capital has established an independent Investment Advisory Services Division. Below is our disclosure information in this regard.
ZenithBridge Capital’s independent advisory division, referred to as the ZenithBridge Investment Advisory Vertical (ZBIA Vertical), operates separately and maintains a strict arm’s length relationship from other ZenithBridge divisions involved in mutual fund research and third-party product distribution. This structure ensures that investment advisory services carry no financial liability from other operations.
Investment Advisory services are provided only after the ZBIA Vertical assesses a client’s risk profile and product suitability. To access these services, clients must:
- Complete and execute the Registered Investment Advisory Agreement.
- Complete and update their risk profiling and Know-Your-Client (KYC) information as required by ZenithBridge Capital.
- Complete and update their suitability profiling with information provided by ZenithBridge Capital.
The advisory fees payable by clients are detailed in the RIA Agreement. SEBI guidance on fees is fully incorporated to promote transparency in line with ZenithBridge Capital’s commitment to open client communication. All fees for execution or distribution services are paid directly to the respective division, separate from the ZBIA Vertical.
ZenithBridge Capital evaluates products offered to clients based on extensive research across multiple criteria. We regularly share insights, structured reports, and recommendations regarding key product features, track records, and risk factors. Clients are encouraged to review these insights and contact their Relationship Manager at ZBIA Vertical for clarifications.
The ZBIA Vertical upholds strict confidentiality of client information, disclosing it only with client consent or when required by law or regulatory directives. For offshore investments, ZBIA Vertical does not act as an agent for overseas mutual funds or other foreign financial entities; its guidance on offshore investments does not constitute solicitation.
Information about ZenithBridge Capital:
- Disciplinary History: ZenithBridge Capital has no regulatory actions on record.
Conflict of Interest: ZenithBridge Capital maintains clear separation between advisory and execution roles. Advisory and distribution teams operate independently, with separate organizational structures and control mechanisms to avoid conflicts of interest, in accordance with SEBI Investment Advisers Regulations, 2013. The Distribution team may receive commissions from third-party product providers periodically for distributing their products.
Investment Advisory Details
- Investment Adviser: ZenithBridge Capital
- Registration Type: Non-Individual
- Address: 113, 2nd Floor, Slendor House, Jasola, New Delhi – 110025
Principal Officer – Gurupreet Sandhar
- Contact Email: gurupreet@zenithbridgecapital.com
- Phone: +91 (0) 11 27183918
- Corresponding SEBI Office Address: SEBI Northern Regional Office (NRO), 8th Floor, Plate B, East Kidwai Nagar, New Delhi – 110023
For any investor grievances, please email our Compliance Officer at grievance@zenithbridgecapital.com, or register a complaint on SEBI’s complaint resolution platform at scores.sebi.gov.in.
Disclaimer: Registration with SEBI, BSAL membership, and NISM certification do not guarantee intermediary performance or assure returns to investors.
ZenithBridge Capital – Investor Charter in Portfolio Management Services (PMS)
Vision & Mission Statements for Investors
- Vision: To deliver thoroughly researched, customized investment strategies that align with investors’ long-term financial goals while considering appropriate risk levels.
- Mission: To uphold high standards of skill, integrity, transparency, and accountability, ensuring that Portfolio Management Services (PMS) provide a viable pathway for wealth creation.
Scope of Business with Investors
- Conducting thorough risk profiling.
- Providing comprehensive Disclosure Documents.
- Executing PMS agreements.
- Making investment decisions on behalf of investors (discretionary), assisting with decisions (non-discretionary), or advising on investment choices (advisory), depending on the client’s needs.
Services Provided to Investors & Timelines
Portfolio Management Services (PMS)
Discretionary & Non-Discretionary PMS: Investors can entrust their portfolio, which must meet the SEBI-required minimum size of ₹50 lakhs (subject to change per PMS provider discretion). Under Discretionary PMS, ZenithBridge Capital manages investments aligned with the investor’s objectives. For Non-Discretionary PMS, decisions rest with the investor.
Investment Advisory Services: ZenithBridge Capital provides buy/sell recommendations while maintaining an advisory-only role, without handling trade execution or portfolio administration. These advisory services adhere to regulatory and client guidelines and maintain a strict, arm’s-length relationship with other ZenithBridge activities.
Client Onboarding
- Compliance with KYC and AML guidelines.
- Execution of Power of Attorney for investment authority.
- Establishment and funding of demat accounts from verified bank/demat accounts, and mapping with custodians.
Ongoing Portfolio Management Activities
- Periodic statements as per SEBI PMS Regulations 2020.
- Providing audited annual account statements to investors.
Fees and Expenses
ZenithBridge Capital follows PMS Regulations on fees and expenses, ensuring disclosure and alignment with SEBI’s guidelines.
Ongoing Portfolio Management Activities
Upon termination of the PMS agreement, securities and funds are transferred to the investor’s verified bank or demat account.
Grievance Redressal
ZenithBridge Capital promptly addresses investor inquiries, service requests, and grievances. Complaints can also be filed via SEBI SCORES, a centralized online grievance system, at scores.gov.in.
Service / Activity | Timeline |
Opening of PMS account (Residents) | 7 days from receipt of all required documents. |
Opening of PMS account (Non-Individual) | 14 days from receipt of all required documents. |
Opening of PMS account (Non-Residents) | 14 days from receipt of all required documents. |
Nominee Registration / Modification | Alongside account opening; 10 days for modifications. |
PMS account in KRA & CKYC | 10 days from account opening date. |
Disclosure of Net Worth & AUM | Monthly to SEBI; updated in Disclosure Document with material changes. |
Account Statements & Transaction Intimation | Quarterly, or upon client request. |
Audited Reports & Fund/Securities Balance | Annually. |
Grievance Redressal | 30 days, provided all necessary complaint information is submitted. |
Grievance Redressal Mechanism
ZenithBridge Capital registers with SEBI SCORES for complaint resolution. The investor relations officer’s contact details are provided in the PMS Disclosure Document for investor support. Investors may also approach SEBI for complaints at SEBI’s Investor Assistance Office, Mumbai.
Investor Responsibilities
Investors are expected to:
- Verify intermediary registration on the SEBI website.
- Submit accurate KYC documentation.
- Carefully review terms in PMS agreements.
- Study Disclosure Documents to understand investment risks.
- Answer Risk Questionnaire accurately to aid proper risk assessment.
- Regularly review quarterly statements and update ZenithBridge Capital on any changes to personal details or negative securities lists in a timely manner.
ZenithBridge Capital
PMS Grievance Redressal and Dispute Settlement Mechanism
PMS Registration No. INP100009876
If you, as a Client, have any grievances related to the service standards or reporting agreed upon by ZenithBridge Capital, please contact our Compliance Officer at the details provided below:
Mr. Arjun Malhotra
ZenithBridge Capital
4th Floor, Skyline Towers,
M.G. Road, Sector 29,
Mumbai, Maharashtra – 400018
Tel: 022-45678900
Mobile No: +91 9823456789
Email: grievance@zenithbridge.com or arjunmalhotra@zenithbridge.com
The Compliance Officer will acknowledge receipt of your complaint within two working days. Within seven working days, the Compliance Officer will address the grievance and provide an Action Taken Report (ATR) detailing the action taken and, where necessary, the steps adopted to prevent recurrence.
If the Client is dissatisfied with the ATR, they may escalate the complaint to the Principal Officer, who can be contacted at the address above or by email at principalofficer@zenithbridge.com. The Principal Officer will follow the same timelines for acknowledging and addressing the complaint.
If you do not receive a response from ZenithBridge Capital or are unsatisfied with our resolution, you may lodge a complaint through SEBI’s Complaints Redress System (SCORES) at https://scores.gov.in/scores/Welcome.html.
Arbitration and Dispute Settlement
In case of any dispute or disagreement between the Client and ZenithBridge Capital, such matters will be resolved through arbitration as per the Arbitration and Conciliation Act, 1996. The board of ZenithBridge Capital will appoint a sole arbitrator, and proceedings will be conducted in Mumbai or another location decided by ZenithBridge Capital. Arbitration rules will be available upon request, and the costs will be shared by both parties.