How Do I Direct a Private Equity Transaction After My Investment Has Been Onboarded?

Overview of the transaction documents, submission process, custody timeline, and asset registration requirements for private equity investments after an investment has been accepted for custody with STRATA.

Transaction Documents to Provide to STRATA

• • • • • • • • STRATA's Investment Direction - Private Investments form - This form authorizes STRATA to send funds from the STRATA IRA to the investment issuer once the investment is onboarded. Processing delays can be avoided by ensuring all sections of the form are completed.  
              • Subscription Document - Complete and sign the subscription document provided to you by the Investment Issuer. This may be referred to as the purchase agreement, investment agreement, shareholder agreement, limited partnership agreement, or operating agreement. After this has been signed by the accountholder, STRATA will sign in its capacity as the IRA custodian.

Document Submission

You may submit transaction documentation using email, fax or mail, please use only one method below:

Private Equity Custody Process Overview

This timeline is approximate, based on if the required documents are received in good order. If transferring from another custodian or rolling over an IRA asset from another institution, STRATA is dependent on the existing service providers' transaction process times.

What to Expect After STRATA Processes the Transaction

Once all the documentation has been completed and submitted, your STRATA IRA has been opened and funded, then it will take up to 2-3 business days for us to direct your investment.   

• The fully executed and accepted subscription document (or other investment confirmation) must be sent to STRATA as soon as possible after the transaction proceeds are received.
• The investment registration must reflect the following named investment owner:
  

  STRATA Trust Company, Custodian

  FBO (Accountholder Name) IRA (Account #)

  PO Box 23149, Waco TX 76702

  Tax ID:26-2637994

  STRATA’s Tax ID  should be used in place of the investor’s SSN to retain the tax-exempt status for the IRA investment

Additional Resources: 

• STRATA IRA Fee Schedule -  Overview account, processing, and service fees for your STRATA IRA.
• What Is the Pre-Custody Process for Private Equity Investments?
  
  
• Private Equity Investment Checklist - Document checklist with quick links and step-by-step guide.