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Investment Document Requirements

To make your initial investment purchase, you are required to submit supporting documents with your Investment Authorization Kit. Please ensure that all paperwork is completed correctly prior to submitting to Forge Trust Co.

IMPORTANT: Investments must be registered and/or titled “Forge Trust Co. CFBO [Investor Name] [IRA Account No.]” (Tax ID: 26-2627205)

Below is a list of common investment assets and their document requirements. For all other assets not listed below, please call us at (800) 248-8447.

 

Brokerage Account (For publicly traded securities, foreign exchange, commodity exchange, etc.)

 

  • Brokerage firm’s account application form—Please ensure that the firm is able to establish an account under the name of “Forge Trust Co. CFBO [Investor Name] [IRA Account No.]”

 

Certificate of Deposit (CD)

 

  • CD with Fremont Bank: No additional documentation required. Please ensure that you include the length of the term and the amount to be invested on the Investment Authorization form.
  • CD with another financial institution: Application form provided by financial institution of your choice—Please ensure that the financial institution is able to establish an account under the name of “Forge Trust Co. CFBO [Investor Name] [IRA Account No.]”

 

Hedge Funds

 

  • Application form provided by hedge fund manager
  • Subscription Agreement 
    • Investment interest/membership must be registered under “Forge Trust Co. CFBO: [Investor Name] [IRA Account No.]” with a signature line for Forge Trust Co.’s authorized signer
    • Subscription Agreement must also include the investor’s name and signature
  • Forge Trust’s Prohibited Transaction Questionnaire

 

IRA LLC (Private, Single-Member, Family)

 

 

Precious Metals

 

  • Invoice/purchase contract/order form from precious metals dealer under the name of “Forge Trust Co. CFBO: [Investor Name] [IRA Account No.]”
  • You are responsible for finding a precious metals dealer and contacting them to obtain an invoice, purchase contract or order form to be submitted with our Investment Authorization form. All precious metals are to be stored at a facility approved by Forge Trust (see our Fee Schedule for a list of approved storage facilities and their respective storage fees). For a list of precious metals allowed in an IRA, please see the “Acceptable Precious Metals” document.

 

Private Placements, Limited Partnerships, Public LLCs, Non-Public Partnerships, etc.

 

  • Subscription Agreement and Private Placement Memorandum
    • Investment interest/membership must be registered under “Forge Trust Co. CFBO: [Investor Name] [IRA Account No.]” with a signature line for Forge Trust Co.’s authorized signer
    • Subscription Agreement must also include the investor’s name and signature
  • Forge Trust’s Prohibited Transaction Questionnaire form

 

Private Stock (Non-publicly traded)

 

 

Promissory Notes

 

1. Unsecured Promissory Note

 

Asset Type
Required Pre-Funding Documents
Required Post-Funding Documents
If the borrower is an individual
  • Investment Authorization with funding instructions
  • Original notarized note*
  • Note servicing agreement (if applicable)
  • Amortization/payment schedule (if applicable)
If the borrower is a business entity
  • Investment Authorization with funding instructions
  • Copy of notarized note*
  • Copy of assignment of note
  • Documents certifying formation of entity
  • Evidence that the entity is in good standing
  • Prohibited Transactions Questionnaire
  • Amortization/payment schedule (if applicable)

 

2. Secured Promissory Note

 

Asset Type
Required Pre-Funding Documents
Required Post-Funding Documents
If the borrower is an individual
  • Investment Authorization with funding instructions
  • Original notarized note*
  • Note servicing agreement (if applicable)
  • Amortization/payment schedule (if applicable)
If the borrower is a business entity
  • Investment Authorization with funding instructions
  • Copy of notarized note*
  • Note servicing agreement (if applicable)
  • Documents certifying formation of entity
  • Evidence that the entity is in good standing
  • Prohibited Transactions Questionnaire
  • Amortization/payment schedule (if applicable)
In addition to the above documents, below documents are also required if the promissory note is
a) Secured by Real Estate
  • Copy of deed of trust/mortgage
  • Copy of assignment of dead of trust (if applicable)
  • Copy of note endorsement (if applicable)
  • Evidence that borrower is/will be on the title
  • Recorded dead of trust/mortgage
  • Recorded assignment of deed of trust (if applicable)
  • Executed note endorsement (if applicable)
b) Secured by Vehicle, Manufactured or Mobile Home
  • Copy of certificate of ownership in borrower’s name
  • Registration of title/lien holder to “Forge Trust Co. CFBO [Investor Name] [IRA Account No.]”
  • Evidence that borrower is/will be on the title
  • Executed security agreement
  • Certificate of ownership
c) Secured by Equipment
  • Copy of UCC filing (if applicable)
  • Evidence that borrower is/will be on the title
  • Executed security agreement
  • Recorded UCC filing (if applicable)
d) Secured by Company Shares
  • Copy of security agreement (if applicable)
  • Copy of pledge agreement (if applicable)
  • Documents certifying formation of entity
  • Evidence that the entity is in good standing
  • Private Placement Memorandum/Subscription Agreement/Operating Agreement
  • Executed security agreement
  • Stock Certificate (if applicable)
  • Stock Power (if applicable)
e) Secured by Participation Agreement
  • Copy of participation agreement
  • Evidence that borrower is/will be on the title
  • Documents certifying formation of entity
  • Evidence that the entity is in good standing
  • Private Placement Memorandum/Subscription Agreement/Operating Agreement
  • Executed participation agreement
f) Secured by Other Collateral
  • Evidence that borrower is/will be on the title
  • Applicable security agreement
  • Executed security agreement
  • Executed certificate of ownership

 

*Promissory note must outline the following terms, with signature lines for both the borrower and the lender:

  • Amount of loan
  • Date of issuance
  • Interest rate
  • Interest compounding period (annual, quarterly, monthly, daily, none)
  • Re-payment terms (payments must be sent to Forge Trust Co: PO Box 7080, San Carlos, CA 94070)
  • Maturity date

 

Lender must be listed as “Forge Trust Co. CFBO [Investor Name] [IRA Account No.]” (Tax ID: 26-2627205).

 

Mutual Funds

 

  • No additional documentation required. Mutual Funds are purchased through Matrix Settlement and Clearing Services (MSCS). MSCS requires funds be sent via wire for payments on settlement date. A $25 outgoing wire fee will apply.

 

Real Estate (Residential, Commercial, Land, Mobile Home, etc)

 

When purchasing real estate, be sure that the third party understands that the buyer is “Forge Trust Co. CFBO [Investor Name] [IRA Account No.]”

 

Asset Type
Required Pre-Funding Documents
Required Post-Funding Documents
Earnest money/For deposit only
  • Investment Authorization with funding instructions
  • Purchase Contract or Preliminary Settlement Statement in the name of “Forge Trust Co. CFBO [Investor Name] [IRA Account No.]”
  • Recorded Grant Deed Title Insurance Policy
Purchase/Closing
  • Investment Authorization with funding instructions
  • Purchase Contract (without deposit)
  • Estimated Closing Statement
  • Preliminary title report
  • Escrow package (if applicable)
  • Loan package (if applicable)
  • Proposed deed with “When Recorded Return To” address listed as: Forge Trust Co. – PO Box 7080, San Carlos, CA 94070
  • Recorded Grant Deed Title Insurance Policy

 

REITs (Real Estate Investment Trust)

 

  • Application form from REIT company

 

Tax Liens

 

Asset Type
Required Pre-Funding Documents
Required Post-Funding Documents
Tax Lien
  • Investment Authorization with funding instructions
  • Application for purchase
  • Tax lien certificate