Statutory Disclosure (Including Risk Disclosures and Important Disclaimers)
(As per SEBI (Investment Advisers) Regulations, 2013)
|
Name as Registered with SEBI |
Vishal Pramod Rotwadkar Proprietor Heritage City Ventures |
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Type of Registration |
Individual |
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Registration Number |
INA000020970 |
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Validity of Registration |
August 25, 2025 - Perpetual |
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BSE Enlistment number |
2324 |
|
Registered Office Address |
Mohata devi chowk, RL-174 A, First floor, Shop no. 2, Bajajnagar, Chhatrapati Sambhajinagar- 431136, Maharashtra |
|
Principal/Compliance Officer |
Mr. Vishal Pramod Rotwadkar |
|
Contact Details |
Mob: 7888139878, Email ID: heritagecityservices@gmail.com |
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Corresponding SEBI Regional/Local Officer Address |
Securities and Exchange Board of India, SEBI Bhavan II, Plot No: C7, “G” Block, Bandra Kurla Complex, Bandra (East), Mumbai-400051. Tel. Board: +91-22- 26449000 / 40459000; Helpline no.: 1800 22 7575/1800 266 7575 |
This Document is prepared in accordance with the provisions of the SEBI (Investment Advisers) Regulations, 2013 and relevant SEBI circulars.
The purpose of this document is to provide essential and material information to enable prospective and existing clients to make an informed decision before availing investment advisory services.
Heritage City Ventures is a sole proprietorship firm established on 06th August 2024 and managed by Mr. Vishal Pramod Rotwadkar.
The Investment Adviser provides fee-based investment advisory services in securities in accordance with SEBI regulations. The advisory process involves:
Understanding the client’s financial goals, return expectations, and risk tolerance
Conducting risk profiling and suitability assessment
Advising on asset allocation and suitable investment strategies
Periodic review of client portfolios and recommending corrective actions, where required
Insurance Planning, Tax Planning, Loan Management, Retirement Planning etc.
All advice is provided independently and in the best interest of the client.
Investment advisory services are provided only after:
Completion of KYC and risk profiling
Execution of a written Investment Advisory Agreement
Agreement on advisory fees and scope of services
The detailed terms and conditions governing the advisory relationship are contained in the Investment Advisory Agreement executed with the client and shall prevail.
There are no past or pending disciplinary actions against the Investment Adviser by SEBI or any other regulatory authority.
The Investment Adviser:
Is not affiliated with any stock broker, mutual fund distributor, insurance intermediary, or other capital market intermediary
Does not have any commission-sharing or referral arrangements
This ensures independence and objectivity in providing advisory services.
The Investment Adviser:
Receives remuneration only from advisory clients
Does not receive any brokerage, commission, referral fee, or other consideration from product manufacturers or intermediaries
Does not recommend any specific stock broker or intermediary for execution
The Investment Adviser or the proprietor may hold investments in mutual funds or other financial products.
Such holdings do not influence the advisory services provided to clients.
The Investment Adviser provides advisory services independently and does not have any association with issuers of securities or financial products.
Accordingly, no actual or potential conflicts of interest arise that could compromise objectivity or independence.
Clients are advised to carefully review:
Scheme documents
Offer documents
Risk factors, warnings, and disclaimers
before investing in any product.
Relevant information may also be available on official websites such as www.sebi.gov.in, www.nseindia.com, and www.bseindia.com.
The Investment Adviser shall draw the client’s attention to material warnings and disclaimers while providing advice.
Investments in securities market are subject to market risks. Read all the related documents carefully before investing and there is no assurance or guarantee that the objective of the investment / products will be achieved.
Past performance of any security or product does not indicate future performance.
The value of investments may fluctuate due to market movements, economic conditions, interest rate changes, liquidity factors, and regulatory or policy changes.
Equity investments are subject to company-specific, sectoral, and macroeconomic risks.
Debt and fixed income instruments are subject to credit risk, interest rate risk, liquidity risk, and reinvestment risk.
Use of derivative instruments, where applicable, involves higher risk due to leverage, valuation complexities, and imperfect correlation with underlying assets.
Changes in settlement cycles, taxation, or government policies may impact investment outcomes.
Registration granted by SEBI, enlistment as IA with Exchange and certification from National Institute of Securities Markets (NISM) in no way guarantee performance of the intermediary or provides any assurance of returns to investors.
The Investment Adviser cannot promise or guarantee of assured risk-free return to the investors. The Investment Adviser cannot imply any assured returns or minimum returns or target return or percentage accuracy or service provision till achievement of target returns or any other nomenclature that gives the impression to the client that the investment advice/recommendation of research report is risk-free and/or not susceptible to market risks and/or that it can generate returns with any level of assurance.
Investment advice, only related to securities shall fall under the purview of SEBI. In case of any services offered by IA related to products/services not under the purview of SEBI, such products/services and the services of IA in respect of such products/services do not come under regulatory purview of SEBI and that no recourse is available to the client with SEBI for grievances related to such products/services or services of IA in respect of such products/services.
Where a client seeks a general view or opinion on specific securities already held by the client, such communication shall be treated as an opinion and not as a formal investment recommendation.
The client remains solely responsible for decisions taken based on such opinion, and the Investment Adviser shall not be liable for losses arising therefrom. Any securities mentioned are for illustrative purposes only and are not recommendatory unless explicitly stated.
All client information shall be maintained in strict confidence and shall not be disclosed without client consent, except where disclosure is required under applicable laws or regulatory directions.
The Investment Adviser may obtain relevant portfolio or transaction-related information, where necessary, solely for the purpose of providing informed and suitable advice.
Clients are advised to carefully read and understand this Document before entering into an advisory relationship.
By engaging the Investment Adviser, the client acknowledges awareness of the risks, disclosures, and limitations stated herein.