Sarthi Advisory Services

Bridging the Gap

Corporate Presentation

About Us
Sarthi was formed in 2009 by a set of experienced professionals, with an view to provide a complete range of Customized Financial Solutions to Individuals and Corporate under one roof. We offer best in the class services in the financial domain Investment Banking, Merchant Banking, Corporate & Treasury Advisory.

The rich & diverse experience of the core team, in-depth knowledge, in house research and

personalized services are the pillars of the organization, enabling us to constantly innovate
and deliver unique solution to meet diversified needs of the customers.

Although the future holds a variety of opportunities, we constantly remain focused on measuring success by the satisfaction of our clients.

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Bridging the Gap

Our Strengths
Rich Experience and Expertise
Sarthi has been formed by individuals who has rich experience, sincere commitment & strong domain expertise. Individually each has a successful track record to leverage each other strength across all verticals.

Networking
We believe that financial markets have no borders. Sarthi with its extensive network of relationship with corporate, banks, fund houses, HNIs offers you a bespoke palate of services.

Comprehensive Offering
Our multidisciplinary team comprises of people from different backgrounds to provides our clients fully integrated and a professionally managed solutions for their end to end needs.

Personalized Approach
We provide senior level attention to each & every client. We invest time in understanding your business, objectives & work closely with you to make a difference.

Research Driven Advisory

On course our advisory is backed with extensive research. Our dedicated team provides insights with deeper understanding in creating a plethora of opportunities for our clients.

Result Oriented Approach

We measure our efforts with success. Our proactive risk management process combined with investment expertise has the ability to deliver strategic solutions .

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The Service Basket

Sarthi Advisory Services
Sarthi Advisors Pvt. Ltd. Capital Market Services Sarthi Capital Advisors Pvt. Ltd. Corporate Advisory Services
Transaction Advisory Services Corporate Restructuring Valuation Services

Investment Banking Corporate & Trade Finance Treasury & Risk Advisory Wealth Management

Listing

Delisting

Corporate Compliance and Governance

Knowledge Management Support CLB/ SEBI/ SAT Litigation

Dilution

Legal Due Diligence Advisory to Asset Managers

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Investment Banking Services

We understand the role of Investment Banker as the crucial link between providers and users of Capital and the ability to add value and create opportunities for businesses through in-organic routes. Sarthi has reputation of consistently delivering innovative solutions to businesses through deep

insights, and perfect reach. Over the years, we have developed specialized verticals in the sectors
including Manufacturing, Healthcare, Logistics, E-Commerce, Entertainment, Education, and many more. Our Investment Banking services include Mergers and Acquisitions
Buy side and Sell side Sourcing Hostile Takeovers

Private Equity/ Venture Capital

Seed Fund / Venture Capital Early Stage /Growth Capital Large/ Mid Cap Private Capital Co-investing

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Corporate and Trade Finance

We work with the management to undertake a complete diagnostic review of the business to identify current and potential scope and opportunities for the efficient use of resources. We strive to reduce the debt cost for the businesses. We work closely with our clients to ensure effective negotiation and

implementation of the transactions. Competitive pricing with speedy response is the key for our trade
finance offerings. Our Corporate and Trade Finance services include

Structured Debt
ECB/ FCCB Private placement of Debt Asset/ Equipment Finance Promoter Funding Bridge Finance Acquisition Finance

Trade Finance
Pre export Finance Transit Finance Warehouse Finance Financing of receivables Any combination thereof

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Treasury & Risk Advisory Services

We provide Banks and Financial institutions with a wide range of corporate treasury solutions with special focus on risk management designed enabling us to foster clients by providing provide

competitive advantage in an already highly serviced market. Our Treasury services provide functionality to cover the full breadth of corporate

treasury management solutions. Our web based automated solution provide a more efficient and transparent service to clients, fully integrated with capital markets, which leads to increased repeat business and client retention, as well as having a service differentiator when pitching new business. Our Treasury & Risk Advisory services include
Reserve Management & Investment Cash Management Liquidity and Fund Management Focused Risk Management Asset Liability Management

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Wealth Management Services

An investment strategy is combination of expertise, perception, complex market dynamics and innate planning. With the variety and complexity of investment options available in today's market place, it is important to have disciplined, experienced professionals to provide advice and one stop solution at

every stage in your life.

Keeping this in mind, we have designed our Wealth Management services for Corporate and Ultra High Net Worth Individuals (UHNIs) to offer a comprehensive suite of services that match the needs and helps to achieve the pinnacle of financial success. Our wealth management services include
Trading Services Equity/ Commodities/ Derivatives Depository Services Mutual Funds Advisory Fixed Income products Structured Products Real Estate investments Capital market lending On shore & offshore investment services IPO Funding Discretionary & Non discretionary Portfolio management

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Transaction Advisory Services

Managing Capital and transactions in a rapidly changing world needs better informed decisions and strategies. The capital agenda puts your capital needs at the heart of our strategy and focuses on the issue that matters most to you. Our understanding of the market, and continuous analysis makes possible the difficult tasks of preserving, optimizing, raising, and investing capital easy. Our Transaction Advisory Services include
Lead Advisory Operational Transactional Services Transactional Support Services Acquisition and Alliance Creating Cost and Tax Efficient Structures

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Corporate Restructuring
We believe that the potential available within the companies are mostly left unexploited. Corporate restructuring has been one of the most constructive tools enabling corporate to enjoy the benefits of economies of scale and size and to deploy the available resources in the best possible manner.

In the scenario of globalised economies wherein entities around the globe are haunting towards
creation of business synergies and integrations both in-house and outside the local boundaries, our corporate restructuring service is an attempt to serve such orientation . Our Restructuring Advisory services include
Business Reconstruction/ Deconstruction Spin offs/ Split offs/ Carve outs Hostile Takeover Risk Modeling Working Capital Optimization BIFR/ Sick companies revival

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Corporate Compliance & Governance

Globally, the recent economic crisis with its high-profile corporate failures has turned the spotlight on corporate governance. While on one hand, regulators are strengthening regulations and making it more prescriptive, companies are revisiting their governance structures, disclosure practices, risk

management practices in an effort to regain investor confidence and counter increasing shareholder
activism. Companies are looking at improving their corporate governance practices not just to achieve compliance but to help them improve their businesses and position them for competitive advantage. We also have the experience of working with corporate boards to undertake meaningful

self assessments and improve their oversight processes.

Our Corporate Compliance and Governance services include
Board Process and Structures Holding & Subsidiary Management Integrity, and Business Ethic Analysis Legal and Regulatory Compliances, e.g. Clause 49, Board and Audit Committee effectiveness & assessment

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Valuation/Certification
As a financial consulting firm, we specialize in valuing, and had been providing valuation services to various corporate across industries. The Team consists of very senior professional from Industry, Chartered Accountants, CFAs, and Company Secretaries.

Top of the line resources and industry know how make us the most sought after valuation companies
in India. With our network of financial and business analysts, appraisers working for you. You can rest assured that your most important financial decisions are in expert hands. Our wide range of services vary across Business, Intangible, and ESOP related valuations.

Our valuation , and certification services include

Business Valuation
Acquisition/ Merger Swap, Fairness Opinion, Business segments, spin off,

Intangible Asset Valuation

Brand Valuation, Intellectual Property valuation, Purchase Prices allocation in business combination, Carried interest Valuation, Derivative valuation,

ESOP Valuation
Equity share/ perquisite taxation, Sweat Equity, Stock options through Black Scholes, binomial, etc, Share based payment awards.

restructuring, Share Purchase, Investment, etc, Impairment testing, Valuation for regulatory purposes, Private & Confidential

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Knowledge Management Support

In todays competitive and dynamic business environment, one of the most important and determining assets for a company is Knowledge. Most traditional company policies and controls focus on the existing tangible assets of the company and leave unmanaged the important knowledge assets. We offer companies an efficient knowledge management solutions backed by our strong and in-depth research. Our solutions help organisations respond swiftly to this constantly changing macroeconomic, regulatory and business environment in order to sustain its competitive position, tap growth opportunities and minimize damage.

Our knowledge management services include

Tracking Regulatory and Business Environment, Identifying, and analyzing available required knowledge assets, Appraising the value and usability of a knowledge asset, Studying effect of incorporation of knowledge into an organizational goals, Planning. Monitoring, and execution.

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Legal Due Diligence

Any business proposal is underlined by a need for thorough due diligence be it a takeover, merger, acquisitions, amalgamations, joint ventures or collaborations. Investment process requires comprehensive assessment of possible legal risks related to the corporate status, assets, contracts,

securities, intellectual property for the concerned business transaction.

Our due diligence procedures are so structured that it facilitates an organisation in an assessment of the main risks or issues involved and provide potential solutions for our client that become an integral component of their decision-making and negotiation processes. Our Legal Due Diligence services include
Target Company, Asset evaluation, Legal and Structural Analysis, Intellectual Property research, Legal/ Business Contact details,

Share/ Registry Information

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Litigation Support
We have experience in all aspects of litigation, and provide pragmatic council, making strategic decisions, and advise clients realistically on cases that have won clients trust and confidence. We consider the utmost importance of senior level involvement at every stage of the case to be of great importance and ensure that all cases are handled with utmost integrity and energy. Our specialization lies in litigation matter involving SEBI/ SAT/ CLB.

Our Litigation services include

Legal Research, including citations, Case pulls, appellate records and brief searches, Preparing briefs, memoranda, motions, Pleading for trial work and formal presentation,

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Advisory Service To Asset Managers

Sarthi is a pioneer in providing advisory services to asset managers of funds. This is our niche segment, which helps asset managers in quick closure of complex transactions. Our firm has very deep understanding of its chosen sectors, which it leverages to advise fund managers from different aspect related to fund launch, investment analysis, market research, regulatory issues & many more. We partner with the fund houses from the very onset of idea formulation and provide the following services to the Asset managers and fund houses in the form of: Our Advisory Services to Asset Managers offerings include
Industry Analytics Product Viability Market Research Marketing strategy plan Marketing operation plan Financial plan & budget Execution & Expertise Launch monitoring and adjustment

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Listing Services
We believe in offering pragmatic advise to its clients on various listing related capital market services enabling the companies to derive economic benefits in the long run. We advice the clients to select the right launch pad to achieve high growth potential, and the benefits of capital markets.

Our strength has been deep knowledge of capital markets and understanding of financial markets,
earned over years of experience. Our Listing services include
IPO /FPO SME Exchange,

Rights Issue,
Preferential allotments, QIPs, FCCB, AIF Listing.

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Delisting/ Dilution
We have devised a full spectrum of services designed to facilitate and ease the entire process of delisting/ dilution of equity shares of a company from any one or all of the stock exchanges on which it is listed. With our, in-built knowledge, and innovative skills, we have developed a niche in the securities and stock exchange arena, thus paving a growth path for the companies across industries. Our Delisting/ Dilution services include
Planning, Opinion, and Advisory, Comprehensive Delisting Management, Procurement of Consent orders from SEBI, Adjudication of Violations, Exit offer Services, Dilution of stake by promoters, Buyback/ Open offers Compulsory/ Voluntary Delisting Services Relisting of Delisted Companies

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Our Resources- Knowledge Incubators

Mr. Deepak Sharma Over 15 years of experience in financial services, During the tenure had served as COO & Head Wealth Business for IL&FS Investsmart, and has also been instrumental in winning the prestigious CNBC TV18 Best National Financial Advisor-Retail for 3 consecutive years for the company, and served as CEO for SPA Cap Ltd. Education: B.Com, CWA (Institute of Cost and Works Accountant of India) Mr. Anand Lakhotia Over 17 years of experience in Financial services, During the tenure has served as a senior tax consultant in taxation, audit, and corporate affairs to corporate like CASIO, TATA Group, SWAROVSKI India, etc Education: B.Com, CA (Institute of Chartered Accountant of India) from S.R. Batliboi & Co. (Ernst & Young) Mr. Mahavir Lunawat Over 11 years of experience in corporate advisory and secretarial services. During the tenure has served in RIL, ITC and PWC in various areas like corporate advisory, corporate compliance & governance and knowledge management. Education: B.Com (H), FCS, CFA, LLB, PGDSL, DEM. Mr. Raman Mangla Over 2 decades of experience as practicing Chartered Accountant. During the tenure has handled several critical assignments in financial service sector. Served as former Chairman of NIRC of ICAI, Education: B.Com (H), FCA (Institute of Chartered Accountant of India)

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Illustrative Clients

Our Premium clients in Advisory to Asset Managers Portfolio

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Get in Touch
Sarthi Advisory Services
Corporate Headquarters 159/11, Amar Brass Compound, Vidhya Nagari Marg, Kalina, Santacruz(E), Mumbai-400098 Landline: (022) 26528671-72 I Fax: (022) 26528673
Regional Office Flat No. 610, Deepali Building, 6th Floor, Nehru Place, New Delhi-110019 Landline: (011) 26419815-16 I Fax: (011) 26419818 advisors@sarthiwm.in www.sarthiwm.in

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