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      1. FINANCIAL PROFESSIONALS KNOWLEDGE CENTER
      2. Investment Onboarding
      3. Investment Direction

      How Do I Provide Investment Confirmation to STRATA?

      Understand the investment confirmation process. Find out why confirmation is needed, who provides it, and how it affects the investor's investment purchase Pending status.

      Investment confirmation is an important step to ensure the tax-advantaged STRATA account remains in compliance with IRS regulations. 

      After funds have been sent for the investment purchase, the final step in the process is for the investment sponsor, issuer, or investor to provide confirmation verifying the asset details and registration to the IRA, typically within 30 days.

      STRATA will contact the investment sponsor or investor with the details needed to complete the confirmation. Until written confirmation is received verifying both the amount funded and the registration to the IRA, the investment purchase will appear as Pending in the investor's STRATA account.

      Please send investment confirmations and supporting documentation to InvestmentUpdates@StrataTrust.com.

      The type of documentation required varies based on the asset type. Supporting document details are outlined below. Click on the link below to jump to the supporting documentation.

      • Private equity - LLC (including LLC-structured real estate), LP, REITs, and Stock 
      • Private debt - Convertible Note, Notes secured by real estate, Notes secured by other collateral, Participating Note, Unsecured Note
      • Real estate - Directly owned real estate, mineral rights, or royalty interests
      • Other private assets -  Bond, debenture, structured settlements

      Private equity

      LLC (including LLC-structured real estate), LP, REITs, and Stock 

             

      Asset structure

      Supporting documentation

      Who is responsible for the submission?

      LLC (including LLC-structured Real Estate) or LP

      STRATA's Alternative Investment Purchase Confirmation form, or you may submit any one of the following:

      • Original certificate showing asset registration to the investor's IRA

      • Confirmation letter from the investment issuer on letterhead, including registration, amount received, effective date, and an authorized signature

      • Copy of the Subscription Agreement with asset registration to the investor's IRA and signed by the investment sponsor

      • Fund Statement showing asset registration to the investor's IRA

      Investment sponsor
      REIT

      Submit any one of the following:

      • Original Stock Certificate showing asset registration to the investor's IRA

      • Copy of the Subscription Agreement with asset registration to the investor's IRA, signed by the investment sponsor

      • Fund Statement showing asset registration to the investor's IRA

      Investment sponsor
      Stock

      Submit any one of the following:

      • Original Stock Certificate showing asset registration to the investor's IRA

      • Copy of an electronic stock certificate showing asset registration to the investor's IRA

      • Statement from the transfer agent confirming asset registration to the investor's IRA if held in book-entry form

      Investment sponsor

      Private Debt

      Convertible Note, Notes secured by real estate, Notes secured by other collateral, Participating Note, Unsecured Note

      Asset structure

      Supporting documentation

      Who is responsible for the submission?
      Convertible Notes and Unsecured Notes 

      Provide:

      • Copy of the Note showing asset registration to the investor's IRA, signed by the investment sponsor

      		 Investment sponsor
      Note secured by real estate

      Provide both:

      • Copy of the Note showing asset registration to the investor's IRA, signed by the investment sponsor

      • Copy of the original Recorded Deed of Trust/Mortgage

      		 Investment sponsor
      Note secured by other collateral

      Provide both:

      • Copy of the Note showing asset registration to the investor's IRA, signed by the investment sponsor

      • Security agreement, if applicable

      		 Investment sponsor

      Participating Note

      (The signed participation agreement and the recorded deed of trust/mortgage or security agreement are often provided during onboarding. If not, they are required to confirm the investment.)

      Provide all:

      • Copy of the Note signed by the borrower and investment sponsor

      • Signed Participation Agreement

      • Copy of the Recorded Deed of Trust/Mortgage or Security Agreement

       

      		 Investment sponsor

      Real estate

      Directly owned real estate, mineral rights, or royalty interests

      Asset structure

      Supporting documentation

      Who is responsible for the submission?
      Debt-financed real estate

      Provide all:

      • Copy of the Recorded Deed showing asset registration to the investor's IRA

      • Copy of the Non-Recourse Note and Deed of Trust/Mortgage

      		  Investor
      Directly owned real estate, mineral rights, or royalty interests

      Provide:

      • Copy of the Recorded Deed showing asset registration to the investor's IRA
      		 Investor

      Other private assets

      Bond, debenture, or structured settlements

      Asset Structure

      Supporting documentation

      Who is responsible for the submission?
      Bond, Debenture

      Provide:

      • Copy of the Bond or Debenture showing asset registration to the investor's IRA

      		 Investment sponsor
      Structured Settlements

      Provide:

      • The Assignment or Closing Book showing asset registration to the investor's IRA

      		 Investment sponsor