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 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

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

General Buy Direction Letter Form

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

To complete the General Buy Direction Letter, please click here.

Checkbook IRA Buy Direction Letter Form

The Checkbook IRA Buy Direction Letter stipulates that you want to invest in a Checkbook IRA with your NDTCO account. 

To complete the Checkbook IRA Buy Direction Letter, please click here.

Promissory Note Buy Direction Letter Form

To invest with a loan with your NDTCO account, please click here.

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

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.

Real Estate Buy Direction Letter Form

To purchase Real Estate with your NDTCO account, please click here.

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. To complete the form, please click here.

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. It may be displayed under a dropdown that states “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 Valuation Distribution Form

To complete the Zero Valuation Distribution 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. It may be displayed under a dropdown that states “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.

Make a Contribution

To make a contribution to your account, please click here and navigate to Funding in the left hand column.

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

You will be asked to log into the client portal and provide details about how the deposit should be classified.

Rollover Form

To complete a rollover to your account, please click here.

Transfer Forms and Funding Information

The Transfer 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 into your NDTCO account:

Transfer Form – PDF

Some custodians will allow for an ACAT transfer. You can view a list of custodians who will accept our ACAT transfer requests here, or you can reach out to your previous custodian directly to confirm. To initiate an ACAT transfer, please use this link via the Client Portal.

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

General Sell Direction Letter Form

To sell an asset in your NDTCO account, please click here.

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

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

The Inherited IRA Election Form explains how you would like to handle your Inherited IRA in the future:

Inherited IRA Election – Electronic

Inherited IRA Election Example – PDF

Incoming Wire Instructions

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

Incoming Wire and ACH 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

To complete the Distribution Form on our client portal, please follow these instructions:

  • Login to the Client Portal.
  • In the lefthand navigation, select ‘Distributions’.
  • Complete the embedded Docusign form.
    • Note: if using a mobile device to complete the form, it is easier to view in the horizontal orientation.

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.”

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 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.

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

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

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

Real Estate Buy Direction Letter Form

To purchase Real Estate with your NDTCO account, please click here.

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. To complete the form, please click here.

Real Estate Sell Direction Letter Form

To sell a Real Estate asset in your NDTCO account, please click here.

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

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.

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. 

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

To sell a Private Equity asset in your NDTCO account, please click here.

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 must be completed by the borrower. They will input their email address and we will email the form to them for completion:

Borrower’s Acknowledgement Letter

Promissory Note Buy Direction Letter Form

To invest with a loan with your NDTCO account, please click here.

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

Payoff Statement Form

To payoff a loan in your NDTCO account, please click here.

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

General Sell Direction Letter Form

To sell an asset in your NDTCO account, please click here.

Checkbook IRA Buy Direction Letter Form

The Checkbook IRA Buy Direction Letter stipulates that you want to invest in a Checkbook IRA with your NDTCO account. 

To complete the Checkbook IRA Buy Direction Letter, please click here.

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

General Buy Direction Letter Form

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

To complete the General Buy Direction Letter, please click here.

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

To purchase publicly traded securities such as stocks, bonds, or mutual funds with your NDTCO account click here.

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

To sell the brokerage account in your NDTCO account, please click here.

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

To create a brokerage account in order to purchase publicly traded securities such as stocks, bonds, or mutual funds click here.

Publicly Traded Securities Sell Direction Letter Form

To sell public securities in your NDTCO account, please click here.