Any distribution, use or reproduction of this information without the prior written permission of
Waterfield is unauthorized and strictly prohibited. The information is only for consumption and such
material should not be redistributed. The prices, value, income and appreciation of the securities
mentioned are based on the information available in public or the latest information provided to
Waterfield and are subject to change. Waterfield makes every effort to use reliable, comprehensive
information; but makes no representations or warranties, express or implied or assumes any liability
for the accuracy, completeness, or usefulness of any information contained in this document. No
warranty or representation, express or implied, is made by Waterfield, nor does Waterfield accept
any liability with respect to the information and data set forth herein.
The information contained here is intended solely to provide general guidance on matters of interest
for the personal use of the reader, who accepts full responsibility for its use. Investment in
securities market are subject to market risks. Read all the related documents carefully before
investing. Past performance is not indicative of future results. Recipient should evaluate all
investment risks before making any investment decisions. Any forward-looking statements made in
relation to the product are contingent on a number of risks, uncertainties and other factors that
could cause actual results to differ materially from those indicated by the forward looking
statements. For prospective clients, any information provided is only for discussion purpose and
based on the generic information and trends in the capital market and shall not be construed as an
investment advice.
Certain vehicles may come with a lock in period which also might lead to liquidity risk. The
portfolio might have concentration risk due to an over concentration in specific stocks/ sectors/
instruments. Overweight to a particular strategy/ manager in the portfolio may lead to concentration
risk at a portfolio level. Overweight to a particular style in the portfolio may lead to
concentration risk on a portfolio level. Shorter time horizon or view in the strategy may lead to
sub optimal results. The strategy may be subject to prolonged periods of underperformance due to
market/fund specific factors. Mismatch between the investor time horizon and portfolio construct may
lead to liquidity/price risk.
Securities listed on the stocks exchange may have daily price fluctuations. This may lead to
volatility in the underlying portfolio. Some of the underlying securities may become illiquid during
extreme market conditions which may lead to liquidity risk even in an open-ended load free vehicle.
The risk amplifies in a separately managed PMS vehicle as opposed to a pooled vehicle in Mutual
Funds (MF) and Alternative Investment Funds (AIFs). Fixed income portfolios may carry credit risks
derived from the issuers’ inability to repay obligations. This might lead to principal or IRR loss
in the portfolio. There might be risks related to interest rate sensitivity. Upward movement in
interest rates will lead to price deterioration. Certain instruments may become illiquid during
stress scenarios in the overall market or specific to the issuer. This might lead to liquidity risks
in the portfolio.
The securities quoted, if any, are for illustration only and are not recommendatory. Registration granted by SEBI (INA000001811), enlistment of IA with Exchange (1627) and certification from NISM in no way guarantee performance of the intermediary or provide any assurance of returns to Investors/ Clients.
Waterfield, its directors, employees and agents will not be liable for any direct, indirect,
incidental or consequential damages sustained or incurred in connection with the use, operation, or
inability to use, or reliance on the information contained in this document. This document is
intended to serve only as a general source and shall not be construed as a form of recommendation.
Neither Waterfield nor any of its affiliates has undertaken any regulatory, legal, tax or accounting
analysis relating to the suitability of the securities. Recipients should consult their professional
tax and accounting advisors for tax or accounting treatment conclusion, prior to acting on the
information set forth herein.
Please refer to link for
holdings of Waterfield Financial and Investment Advisors Private Limited the financial products or
securities which are subject matter of advice.
SEBI registration number: INA000001811 (Registration is valid
suspended/cancelled by SEBI)
Principal Officer: Ms. Soumya Rajan
Email ID: [email protected]
Contact No:
+91-22-66210700
Compliance & Grievance Officer: Mr. Kartik Kini
Email ID: [email protected]
Investor Grievance: [email protected]
Contact No:
+91-22-66210700
If you are not satisfied with the resolution provided, you can lodge your complaint online at
http://scores.gov.in or you can access ODR
Portal at https://smartodr.in/
Registered office address: 142, 14th Floor, Maker Chambers VI, Nariman Point,
Mumbai 400021, India.
Principal Place of Business and Correspondence office address: 7, Avighna House, 82, Dr. Annie
Besant Road, Worli Naka, Siddharth Nagar, Worli, Mumbai, Maharashtra 400018.
Contact No.: +91 22 6621 0700
Contact No: +91-22-66210700
For SEBI regional or local office address and more information, please visit our website www.waterfieldadvisors.com
