A. Business Activity

The focus of Aditya Shah is to provide services restricted to providing a model portfolio of listed equities. The services to be rendered are merely recommendatory, non-binding in nature.

B. Disciplinary history:

No action has been taken against the Investment Adviser by any regulator.

C. Disclosures

Aditya Shah has an independent activity of providing research services. These services shall be provided by maintaining an arm’s length relationship with any issuer of products and/or securities.

Aditya Shah has not served as an officer, director, or employee of the subject company.

No compensation has been received for research, investment banking, or merchant banking from the subject company or any 3rd party.

Aditya Shah has not managed any public offering or engaged in the market-making activity for subject companies.

The research reports on our blog reflect factual information about the subject company and are based on reliable information to the best of our knowledge.

Further, as per the regulations -we shall not enter into transactions on our own or associated accounts that are contrary to the research provided to the clients

Aditya Shah may hold ownership in any or all of the stocks recommended as part of the Small case. The financial interests of the client and Aditya Shah are aligned in this way.

We do not benefit in any other way - either through brokerage commissions or any consulting assignments with any of the companies part of the SmallCase.

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