Forms

NDTCO Account, Investment & Tax Forms

NDTCO Fee Schedule

To learn more about NDTCO account fees, please visit our Fee Schedule page or Fee Schedule PDF

Form 5304: Savings Incentive Match Plan for Employees of Small Employers (SIMPLE)

Click here to access Form 5304: Savings Incentive Match Plan for Employees of Small Employers (SIMPLE)

To see a PDF example of this form filled out, please click here.

Form 5305: HSA Health Savings Custodial Account

Click here to access Form 5305: HSA Health Savings Custodial Account

Form 5305: Roth Individual Retirement Custodial Account

Click here to access Form 5305: Roth Individual Retirement Custodial Account

Form 5305: SEP IRA Contribution Agreement

Click here to access Form 5305: Simplified Employee Pension—Individual Retirement Accounts Contribution Agreement

To see a PDF example of this form filled out, please click here.

Form 5305: Traditional Individual Retirement Custodial Account

Click here to access Form 5305: Traditional Individual Retirement Custodial Account

General Buy Direction Letter Form

The General Buy Direction Letter Form stipulates that you want to purchase an asset with your NDTCO account: 

General Buy Direction Letter – Electronic

General Buy Direction Letter Example – PDF

Real Estate Buy Direction Letter Form

The Real Estate Buy Direction Letter Form stipulates that you want to purchase real estate with your NDTCO account:

Real Estate Buy Direction Letter – Electronic

Real Estate Buy Direction Letter Example – PDF

Real Estate Refinance Buy Direction Letter Form

The Real Estate Refinance Buy Direction Letter Form should be completed if you are refinancing a property your NDTCO account already owns:

Real Estate Refinance Buy Direction Letter – Electronic

Real Estate Refinance Buy Direction Letter – PDF

Platform Investment Directive Form

The Platform Investment Directive Form is used for investing with any platform-based asset with your NDTCO account:

Platform Investment Directive – PDF

Checkbook IRA Buy Direction Letter Form

The Checkbook IRA Buy Direction Letter Form allows you to purchase any type of asset with your NDTCO account:

Buy Direction Letter – Electronic

Buy Direction Letter Example – PDF

Promissory Note Buy Direction Letter Form

The Promissory Note Buy Direction Letter Form allows you to purchase a note with your NDTCO account:

Promissory Note Buy Direction Letter – Electronic

Promissory Note Buy Direction Letter Example – PDF

Private Equity Buy Direction Letter Form

To purchase private equity with your NDTCO account, please click here.

You will be asked to log into the client portal and then directed to the “Private Equity: Invest Now” online form under the “Invest” tab. 

Precious Metals Buy Direction Letter Form

To purchase precious metals with your NDTCO account, please click here

You will be asked to log into the client portal and then directed to the “Precious Metals: Buy, Sale, Exchange” online form under the “Invest” tab.

Auction and Tax Deed Guide

The Auction and Tax Deed Guide provides instruction for self-directed purchases at auction. Please contact a NDTCO representative for additional details.

Auction and Tax Deed Guide

Fair Market Valuation Form

To complete the Fair Market Valuation Form on our client portal, please follow these instructions:

  • Login to the Client Portal.
  • On the overview page, please click on the “valuate” link next to your asset. For a real estate asset, the valuate button will be under “take action.”
  • You will be directed to complete an online form and upload your supporting documentation, which will be submitted securely and directly to NDTCO. Please note that there is no longer a requirement for a third-party signature.

Zero Value Distribution Form

The Zero Value Distribution Form allows you to request the removal of an asset with zero value: 

Zero Value Distribution Form – Electronic

Zero Value Distribution Form Example – PDF

Deposit Coupon Form

The Deposit Coupon Form allows you to deposit money into your account with an annual contribution or tell us how any investment returns should be classified:

Deposit Coupon – PDF

Transfer and Rollover Form

The Transfer and Rollover form allows you to request a cash, alternative asset, or public security transfer from an existing retirement account to perform a custodian-to-custodian transfer or deposit a rollover into your NDTCO account:

Transfer and Rollover Form – PDF

General Sell Direction Letter Form

The General Sell Direction Letter Form stipulates that you want to sell an asset in your NDTCO account:

General SDL – Electronic

General SDL Example – PDF

Limited Power of Attorney Form

The Limited Power of Attorney Form allows you to designate a Limited Attorney-in-Fact to initiate certain actions within your NDTCO account but not open an account in your name or request a distribution from your account:

Limited Power of Attorney Form – PDF

Direct Withdrawal Agreement Form

The Direct Withdrawal Agreement Form allows NDTCO to withdraw funds directly from your, your tenant’s, and/or your borrower’s checking or savings account:

Direct Withdrawal Agreement – Electronic

Direct Withdrawal Agreement Example – PDF

Credit Card Authorization Form

To keep a valid credit card on file for your NDTCO fees, please click here.

You will be asked to log into the client portal and then directed to the Payment Options form under “Profile,” so you can update your Payment Method. 

Change of Address Form

To change the address or contact information we have on file for your account, please click here.

You will be asked to log into the client portal and then directed to the Contact Information form under “Profile.”

Beneficiary Designation Form

To update the beneficiary designation on your account, please click here.

You will be asked to log into the client portal and then directed to the Beneficiary Designation form under “Profile.”

Traditional to Roth Conversion Form

The Traditional to Roth Conversion Form allows you to convert your current Traditional IRA to a Roth IRA: 

Traditional to Roth Conversion Form – Electronic

Traditional to Roth Conversion Form Example – PDF

Please note that you will need to have a Roth IRA already opened with NDTCO to proceed. If you need to apply for a Roth IRA, you can access our online application here.

Spousal Consent Form

The Spousal Consent Form may be required if the primary beneficiary of an NDTCO account is not the account holder’s spouse, assuming the following conditions are present:

  • the account holder’s spouse is living
  • the account holder’s spouse is not the sole primary beneficiary named to the account
  • the account holder and spouse are residents of a community property state (AZ, CA, ID, LA, NM, NV, TX, WA, or WI)

Spousal Consent Form – Electronic

Spousal Consent Form Example – PDF

Outgoing Wire Instruction Form

The Outgoing Wire Instruction Form provides instructions for sending a bank wire from your NDTCO account to another party:

Outgoing Wire Instruction Form – Electronic

Outgoing Wire Instruction Form Example – PDF

Limited Interested Party Designation Form

The Limited Interested Party Designation Form allows you to designate a third party to have access to your NDTCO account for the duration of a transaction (typically used with investment providers):

Limited Interested Party Designation – Electronic

Limited Interested Party Designation Example – PDF

Interested Party Designation Form

The Interested Party Designation Form allows you to designate an interested party to your NDTCO account for third-party access to information:

Interested Party Designation – Electronic

Interested Party Designation Example – PDF

Inherited IRA Election Form (for date of death after 1/1/2020)

The Inherited IRA Election Form (for a date of death after to January 1, 2020) explains how you would like to handle your Inherited IRA in the future:

Inherited IRA Election (date of death after 1/1/2020) – Electronic

Inherited IRA Election Example – PDF

Inherited IRA Election Form (for date of death prior to 1/1/2020)

The Inherited IRA Election Form (for a date of death prior to January 1, 2020) explains how you would like to handle your Inherited IRA in the future:

Inherited IRA Election (date of death prior to 1/1/2020) – Electronic

Inherited IRA Election Example – PDF

Incoming Wire Delivery Instructions

The Incoming Wire Delivery Instructions explain how to wire funds into your NDTCO account:

Incoming Wire Delivery Instructions – PDF

Incoming International Wire Delivery Instructions

The Incoming International Wire Delivery Instructions stipulate how a payer can transmit a bank wire from a bank account outside of the United States into your NDTCO account:

Incoming International Wire Delivery Instructions – PDF

Distribution and Notice of Withholding Form

The Distribution and Notice of Withholding Form allows for a withdrawal or distribution from your account:

Distribution & Notice of Withholding – Electronic

Distribution & Notice of Withholding Example – PDF

Payment Authorization Letter

To set up scheduled payments that need to be automatically paid, such as a monthly mortgage or HOA payment, please click here.

You will be asked to log into the client portal and then directed to the “Bill Pay” page. Please use the dropdown menu to select which asset you are paying a bill for, and click “Pay Now.” You can then input all payment information into the online form as well as select the Payment Frequency if the payment is reoccurring. Simply hit submit, and you are done!

Form W-9: Request for Taxpayer Identification Number and Certification

Click here to access Form W-9: Request for Taxpayer Identification Number and Certification.

Use this form to provide your correct TIN to the person who is required to file an information return with the IRS to report.

Form SS-4: Application for Employer Identification Number

Click here to access Form SS-4: Application for Employer Identification Number

Form 990-T: Exempt Organization Business Income Tax Return

Click here to access Form 990-T: Exempt Organization Business Income Tax Return

Form 8606: Nondeductible IRAs

Click here to access Form 8606: Nondeductible IRAs.

Form 5329: Additional Taxes on Qualified Plans (Including IRAs) and Other Tax-Favored Accounts

Click here to access Form 5329: Additional Taxes on Qualified Plans (Including IRAs) and Other Tax-Favored Accounts.

File and pay additional penalty taxes on the income you’ve earned on your IRA, qualified plan, and other tax-favored accounts.

NDTCO Account Application

The NDTCO Account Application will allow you to open a self-directed account with NDTCO using our online application:

Account Application – Electronic

Account Application Example – PDF

Coverdell Education Savings Account Application Packet

The Coverdell Education Savings Account Application packet includes everything you need to open a Coverdell ESA: account checklist, application, fee schedule, and opening fee page. 

Account Application – Electronic

Property Management Acknowledgement Letter Form

The Property Management Acknowledgement Letter Form is to be signed by your property management company:

Property Management Acknowledgement Letter – Electronic

Property Management Acknowledgement Letter – PDF

Real Estate Buy Direction Letter Form

The Real Estate Buy Direction Letter Form stipulates that you want to purchase real estate with your NDTCO account:

Real Estate Buy Direction Letter – Electronic

Real Estate Buy Direction Letter Example – PDF

Real Estate Refinance Buy Direction Letter Form

The Real Estate Refinance Buy Direction Letter Form should be completed if you are refinancing a property your NDTCO account already owns:

Real Estate Refinance Buy Direction Letter – Electronic

Real Estate Refinance Buy Direction Letter – PDF

Real Estate Sell Direction Letter Form

The Real Estate Sell Direction Letter Form stipulates that you want to sell real estate in your NDTCO account:

Real Estate Sell Direction Letter – Electronic

Real Estate Sell Direction Letter – PDF

Payment Authorization Letter

To set up scheduled payments that need to be automatically paid, such as a monthly mortgage or HOA payment, please click here.

You will be asked to log into the client portal and then directed to the “Bill Pay” page. Please use the dropdown menu to select which asset you are paying a bill for, and click “Pay Now.” You can then input all payment information into the online form as well as select the Payment Frequency if the payment is reoccurring. Simply hit submit, and you are done!

Auction and Tax Deed Guide

The Auction and Tax Deed Guide provides instruction for self-directed purchases at auction. Please contact a NDTCO representative for additional details.

Auction and Tax Deed Guide

Precious Metals Sell Direction Letter Form

To sell precious metals with your NDTCO account, please click here

You will be asked to log into the client portal and then directed to the “Precious Metals: Buy, Sale, Exchange” online form under the “Invest” tab.

Precious Metals Exchange Direction Form

To exchange precious metals with your NDTCO account, please click here

You will be asked to log into the client portal and then directed to the “Precious Metals: Buy, Sale, Exchange” online form under the “Invest” tab.

Precious Metals Buy Direction Letter Form

To purchase precious metals with your NDTCO account, please click here

You will be asked to log into the client portal and then directed to the “Precious Metals: Buy, Sale, Exchange” online form under the “Invest” tab.

Manager’s Acknowledgment Letter Form

The Manager’s Acknowledgement Letter Form is to be signed by the manager of your investment’s entity:

Manager’s Acknowledgement Letter – Electronic

Manager’s Acknowledgement Letter Example – PDF

Subscription Agreement Example (Information Purposes Only)

The Subscription Agreement Example details a private stock subscription agreement (for information purposes only):

Subscription Agreement Example (Information Purposes Only)

Private Equity Sell Direction Letter Form

The Private Equity Sell Direction Letter Form allows for you to sell private stock in your NDTCO account:

Private Equity Sell Direction Letter – Electronic

Private Equity Sell Direction Letter Example – PDF

Private Equity Disclaimer & Indemnity Agreement Form

The Private Equity Disclaimer & Indemnity Agreement Form will confirm our mutual understanding and agreement regarding the proposed investment by your NDTCO account in the named entity:

Private Equity Disclaimer & Indemnity Agreement – Electronic

Private Equity Disclaimer & Indemnity Agreement Example – PDF

Private Equity Buy Direction Letter Form

To purchase private equity with your NDTCO account, please click here.

You will be asked to log into the client portal and then directed to the “Private Equity: Invest Now” online form under the “Invest” tab. 

Promissory Note Buy Direction Letter Form

The Promissory Note Buy Direction Letter Form allows you to purchase a note with your NDTCO account:

Promissory Note Buy Direction Letter – Electronic

Promissory Note Buy Direction Letter Example – PDF

Payoff Statement Form

The Payoff Statement Form removes an asset from your account if you have a loan that is being paid off: 

Payoff Statement – Electronic

Payoff Statement Example – PDF

Original Document Release Form

The Original Document Release Form provides permission from the account holder to release an original document associated with an NDTCO account asset:

Original Document Release Form – Electronic

Original Document Release Form Example – PDF

Notice of Conversion Form

The Notice of Conversion Form notifies NDTCO if a note you have lent from your self-directed account converts to a different asset type:

Notice of Conversion – Electronic

Notice of Conversion Example – PDF

Note Amendment, Extensions and Modifications Form

The Note Amendment, Extensions and Modifications Form is required for amending existing notes, whether it is extending the maturity date or adding additional funds to note:

Note Amendment, Extensions and Modifications – Electronic

Note Amendment, Extensions and Modifications Example – PDF

Borrower’s Acknowledgement Letter Form

The Borrower’s Acknowledgement Letter Form is required for funding notes in your NDTCO account and must be signed by the borrower:

Borrower’s Acknowledgement Letter – Electronic

Borrower’s Acknowledgement Letter Example – PDF

Account Holder’s Acknowledgement Letter Form

The Account Holder’s Acknowledgement Letter Form contains important information you must understand and acknowledge when lending money from your NDTCO account:

Account Holder’s Acknowledgement Letter – Electronic

Account Holder’s Acknowledgement Letter Example – PDF

General Sell Direction Letter Form

The General Sell Direction Letter Form stipulates that you want to sell an asset in your NDTCO account:

General SDL – Electronic

General SDL Example – PDF

Manager’s Acknowledgment Letter Form

The Manager’s Acknowledgement Letter Form is to be signed by the manager of your investment’s entity:

Manager’s Acknowledgement Letter – Electronic

Manager’s Acknowledgement Letter Example – PDF

Closely Held Entity Acknowledgement Form

The Closely Held Entity Acknowledgement Form contains important information you must understand when establishing a single-member LLC or other closely-held entity in your NDTCO account:

Closely Held Entity Acknowledgement – Electronic

Closely Held Entity Acknowledgement Example – PDF

Checkbook IRA Buy Direction Letter Form

The Checkbook IRA Buy Direction Letter Form allows you to purchase any type of asset with your NDTCO account:

Buy Direction Letter – Electronic

Buy Direction Letter Example – PDF

General Buy Direction Letter Form

The General Buy Direction Letter Form stipulates that you want to purchase an asset with your NDTCO account: 

General Buy Direction Letter – Electronic

General Buy Direction Letter Example – PDF

Beneficiary Designation Form

To update the beneficiary designation on your account, please click here.

You will be asked to log into the client portal and then directed to the Beneficiary Designation form under “Profile.”

Brokerage Account Buy Direction Letter Form

The Brokerage Account Buy Direction Letter Form is used to create a brokerage account or make an additional funding to your brokerage account:

Brokerage Account Buy Direction Letter – Electronic

Brokerage Account Buy Direction Letter Example – PDF

Publicly Traded Securities Sell Direction Letter Form

The Publicly Traded Securities Sell Direction Letter is used to sell any public securities (such as stocks, bonds, or mutual funds) that your NDTCO account holds:

Publicly Traded Securities Sell Direction Letter – Electronic

Publicly Traded Securities Sell Direction Letter Example – PDF

Publicly Traded Securities Conversion Form

The Publicly Traded Securities Conversion Form is used if your NDTCO account holds an investment that was previously a private investment, but the company has since had an IPO and your stock needs to be converted from private to public:

Publicly Traded Securities Conversion Form – Electronic

Publicly Traded Securities Conversion Form Example – PDF

Publicly Traded Securities Buy Direction Letter Form

The Publicly Traded Securities Buy Direction Letter Form is used to purchase a public security, such as a stock, bond, or mutual fund with your NDTCO account:

Platform Investment Directive Form

The Platform Investment Directive Form is used for investing with any platform-based asset with your NDTCO account:

Platform Investment Directive – PDF

Mutual Fund Exchange Form

The Mutal Fund Exchange Form is used when you wish to exchange one mutual fund for another:

Mutual Fund Exchange Form – Electronic

Mutual Fund Exchange Form Example – PDF

Brokerage Account Sell Direction Letter Form

The Brokerage Account Sell Direction Letter Form allows you to liquidate a brokerage account in your NDTCO account:

Brokerage Account Sell Direction Letter – Electronic

Brokerage Account Sell Direction Letter Example – PDF