Forms to Open a SDIRA Account

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Open a New Account

Open a Traditional, Roth, SEP, or SIMPLE IRA online at https://app.forgetrust.com/create-account, or use these forms to open a new account.

Traditional IRA application

Use this application to open a Traditional IRA Account.

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Roth IRA Application

Use this application to open a ROTH IRA Account.

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SEP or SIMPLE IRA Application

This kit includes all the necessary forms and instructions to establish a Self-Directed SEP or SIMPLE IRA account.

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SEP IRA Employer Agreement

This form must be completed by the employer and submitted with the Account Application Form.

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SIMPLE IRA Employer Agreement

This form must be completed by the employer and submitted with the Account Application Form.

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Inherited IRA Form

Complete this form if you are establishing an Inherited or Beneficiary IRA. Include this form with the applicable Account Application.

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Coverdell Education Savings Account Application

Use this application to open a new Coverdell Education Savings Account.

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401(k) Account Application (for Self-Employed only)

Use this application to open your Forge Trust Self-Employed 401(k) Traditional or Roth account

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401(k) Account Acceptance (for Self-Employed only)

Acknowledgement and signature of acceptance of the terms of a 401(k) account agreement

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Fund Your Account

Fund your account by requesting a transfer of cash and/or assets into your account or notify us of an incoming cash deposit.

Delivery Information

Wire instructions, checks & document instructions, DTC asset delivery instructions and contact information.

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Deposit Notification

Complete this form to notify us when an ACH, check, or wire deposit is sent. Checks must be made payable to “Forge Trust Co. FBO [Client Name]” and will be held for 5 business days.

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Transfer Request - Cash Only

Complete this form if you wish to transfer cash only from another IRA custodian.

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Transfer Request - Cash and/or Assets

Complete this form if you wish to transfer cash and/or assets in-kind from another IRA custodian.

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Roll Over Cash From Qualified Retirement Plan, such as a 401(k), 403(b) or other

Please contact your current Retirement Plan Administrator to initiate a rollover into your Forge Trust Co. IRA. Your Retirement Plan Administrator will give you the instructions necessary to move forward. You will need to provide Forge Trust Co.’s Delivery Information, which includes instructions for sending the funds via check or wire (additional wire fees may apply).

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Investment Rollover Notification

Use this form to initiate an "in-kind" rollover of an investment held in a qualified account, such as a 401(k), Defined Benefit Plan, or an investment that was distributed to you directly from another IRA custodian.

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Letter of Acceptance Request

Use this form to request a Letter of Acceptance if your Plan Administrator requires one in order to facilitate a rollover from a qualified retirement plan.

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Incoming Asset Questionnaire

This form is to be used by all individuals transferring Assets In-Kind to Forge Trust Co.

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Manage Your Account

Update your personal and/or account information (e.g. address change or beneficiary designation) or authorize a 3rd party to access your account.

Account Owner Information Change

Complete this form to update your contact information or notify us of a name change.

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Beneficiary Designation or Changes

Use to make changes to beneficiary information. If you designate multiple beneficiaries, be sure that you include the percentage attributable to each beneficiary and that the total equals 100%.

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One and the Same Letter

Use this form to notify Forge Trust of any slight discrepancies in the way your name is listed on your Forge Trust account and the account from which your assets are being transferred.

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Power of Attorney Affidavit

Use this form to certify the validity and effectiveness of the Power of Attorney (POA) that granted you the power to act on behalf of the account owner of the Forge Trust accounts listed on this form and to indemnify Forge Trust.

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Representative Authorization

Complete this form if you want to designate an individual as an authorized representative on your account, granting them access to your account information.

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Roth Conversion and Recharacterization Request

Use this form to request one of the following: a Roth Conversion (conversion from a Traditional IRA, Simple or SEP account to a Roth IRA), or a Recharacterization (correct a contribution or conversion from one account to another).

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Private Equity Investment & Maintenance

Invest in Private Equity (Private Stock, Private Funds, REITs) and manage your investment (e.g. provide an issuer/sponsor valuation or request a liquidation).

Private Equity Investment Authorization - Initial Purchase

Complete this form to make your initial investment into a Private Equity Investment. These should accompany any paperwork required by the investment provider.

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Private Equity Investment Authorization – Subsequent Purchase

Complete this form to make a subsequent/additional investment into an existing Private Equity Investment. These should accompany any paperwork required by the investment provider.

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Wire Request

Complete these instructions if you are requesting an international wire to be sent for your Private Equity investment.

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Prohibited Transactions Questionnaire

Investors who lend funds from their IRA to a business entity, or invest in a Limited Partnership or Limited Liability Company (exclusive of IRA LLCs) must complete this questionnaire.

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Private Placement Valuation

This form must be completed by a Sponsor/Issuer of a private investment (e.g. private shares or funds) to provide current valuation information for their investments held at Forge Trust.

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Expense Payment Request

Use this form to make a payment from your IRA for an expense of the account (e.g., UBIT payment for 990-T filing, asset expenses, etc.)

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Liquidation Request

Use this form if you want to liquidate (sell) assets into cash.

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Investment Exchange Request

Complete this form to move assets from your IRA to your IRA LLC or from your IRA LLC to your IRA, or if you wish to exchange an asset currently held in your IRA with another asset.

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Worthless Investment Notification

Complete this form if your investment no longer holds value and should be removed from your account.

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IRA LLC Investment & Maintenance

Invest in and manage a Single-Member or Family-Controlled LLC held in your IRA, including providing an annual valuation.

IRA LLC – Initial Purchase

Complete this form, along with our IRA LLC Agreement form, to make an initial investment into your IRA LLC investment. This should be submitted along with the applicable investment documents.

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IRA LLC Agreement

Required when requesting an investment in a private, single-member or family IRA LLC. Please review, sign and return with your Investment Authorization.

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IRA LLC – Subsequent Purchase

Complete this form to invest additional funds into an existing IRA LLC investment.

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Expense Payment Request

Use this form to make a payment from your IRA for an expense of the account (e.g., LLC state filing fees, LLC facilitator fees, asset expenses, etc.)

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IRA LLC or IRA Trust Valuation

Did you know you can submit this information online?

If you prefer to print & sign, use this IRA LLC / Trust Valuation form.

Important Note: If you are required to take minimum distributions from your retirement account(s) (“RMD”) or plan to request a Roth conversion or in-kind distribution of this investment, you will need to provide supporting documentation verifying the provided value. The documents can be uploaded when you submit your valuation online or attached to your submitted form.

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Investment Exchange Request

Complete this form to move assets from your IRA to your IRA LLC or from your IRA LLC to your IRA, or if you wish to exchange an asset currently held in your IRA with another asset.

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Worthless Investment Notification

Complete this form if your investment no longer holds value and should be removed from your account.

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Real Estate Investment & Maintenance

Purchase and manage property in your IRA, including any property-related expenses.

Real Estate Investment Authorization

Complete this form to purchase direct Real Estate or Tax Lien investments. This should accompany any paperwork required to facilitate the investment.

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Prohibited Transactions Questionnaire

Investors who lend funds from their IRA to a business entity, or invest in a Limited Partnership or Limited Liability Company (exclusive of IRA LLCs) must complete this questionnaire.

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Real Estate Valuation

Use this form to report the fair market value of real estate property.

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Expense Payment Request

Use this form to make a payment from your IRA for an expense of the account (e.g., payments of property taxes or asset expenses, etc).

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Investment Exchange Request

Complete this form to move assets from your IRA to your IRA LLC or from your IRA LLC to your IRA, or if you wish to exchange an asset currently held in your IRA with another asset.

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Real Estate Sale Authorization

Use this form to request a full or partial sale of a property held in your account.

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Worthless Investment Notification

Complete this form if your investment no longer holds value and should be removed from your account.

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Promissory Note Investment & Maintenance

Lend money from your IRA through a Promissory Note and manage your investment (e.g. modify terms or notify us of a payoff).

Promissory Note Investment Authorization

Complete this form to invest in a Promissory Note. This should accompany any paperwork required to facilitate the investment.

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Prohibited Transactions Questionnaire

Investors who lend funds from their IRA to a business entity, or invest in a Limited Partnership or Limited Liability Company (exclusive of IRA LLCs) must complete this questionnaire.

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Note Modification Authorization

This form is to be completed if you wish to modify the terms of a promissory note.

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Investment Exchange Request

Complete this form to move assets from your IRA to your IRA LLC or from your IRA LLC to your IRA, or if you wish to exchange an asset currently held in your IRA with another asset.

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Note Payoff Notification

Complete this form to notify us your Note investment has been paid in full and should be removed from your account.

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Worthless Investment Notification

Complete this form if your investment no longer holds value and should be removed from your account.

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Precious Metals Investment & Maintenance

Purchase and manage investments in Precious Metals, including authorizing storage with a 3rd party depository.

Precious Metals Investment Authorization - Initial Purchase

Complete this form to make your initial investment into a Precious Metals Investment. These should accompany any paperwork required by the investment provider.

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Precious Metals Investment Authorization – Subsequent Purchase

Complete this form to make a subsequent/additional investment into an existing Precious Metals Investment. These should accompany any paperwork required by the investment provider.

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BlueVault Investment Authorization

Complete this Investment Authorization packet to authorize your purchase of BlueVault Precious Metals. These should accompany the invoice/purchase order for the investment. The packet also includes the BlueVault Wire Request and BlueVault Depository Expense Payment Request forms.

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Investment Exchange Request

Complete this form to move assets from your IRA to your IRA LLC or from your IRA LLC to your IRA, or if you wish to exchange an asset currently held in your IRA with another asset.

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Additional Investment Types

Miscellaneous forms related to making and managing additional types of investments, including Publicly Traded assets (e.g. Mutual Funds, Public Stocks, and Bonds).

Publicly Traded Buy & Sell Authorization

Complete this form to request a buy or sell of a publicly traded asset such as a Mutual Fund or Public Stock.

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Prohibited Transactions Questionnaire

Investors who lend funds from their IRA to a business entity, or invest in a Limited Partnership or Limited Liability Company (exclusive of IRA LLCs) must complete this questionnaire.

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IRA Asset Valuation

You must submit valuations annually to report the fair market value of your assets. Do NOT use this form for Private LLC or Real Estate Valuations if your asset can be updated using our Online Valuation.

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Expense Payment Request

Use this form to make a payment from your IRA for an expense of the account (e.g., payments of property taxes or asset expenses, etc).

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Investment Exchange Request

Complete this form to move assets from your IRA to your IRA LLC or from your IRA LLC to your IRA, or if you wish to exchange an asset currently held in your IRA with another asset.

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Worthless Investment Notification

Complete this form if your investment no longer holds value and should be removed from your account.

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Take a Distribution

Request a distribution of cash and/or assets from your IRA, including satisfying your required minimum distribution (RMD).

Distribution Request - Cash and/or Assets

Use this form to make a withdrawal payable to yourself. Also use this form if you are requesting an RMD.

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Terms & Disclosures

Important disclosures governing your account, including the fee schedule and privacy notice.

Account Disclosure Information

This disclosure will provide you with information about your self‐directed account and your requirements for managing the account.

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Coverdell ESA Custodial Agreement

This is the custodial agreement for Coverdell Education Savings Accounts.

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Fee Schedule and Financial Disclosure

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Roth IRA Custodial Agreement

Custodial agreement for Roth accounts.

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SIMPLE IRA Custodial Agreement

Custodial agreement for SIMPLE accounts.

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Traditional IRA Custodial Agreement

Custodial agreement for Traditional accounts.

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Traditional and Roth IRA Combined Disclosure Statement

Disclosure statement required by federal tax regulations.

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