Forms

Overview the steps for opening, funding, and directing investments in your Traditional, Roth, or SEP STRATA IRA. Click the link above to start and complete the process securely online, or you may download, print, and physically submit your IRA application following the directions provided on the form.

Account, processing, and service fees in your STRATA IRA.

Use Form 5305-SEP to establish your STRATA Traditional IRA to receive Simplified Employee Pension (SEP) contributions.

Overview the steps for opening, funding, and directing investments in your SIMPLE IRA. Click the link above to start and complete the process securely online, or you may download, print, and physically submit your IRA application following the directions provided on the form.

Account, processing, and service fees in your STRATA IRA.

Instructions and Form 5304-SIMPLE (Non-Designated Financial Institution), Participation Notice & Summary Description, and Salary Reduction Agreement.

Understanding the limited role of a custodian and the responsibilities of the accountholder.

Precious Metals account terms and disclosures.

Important information about your STRATA account statement, including how your assets are valued.

Important information about your uninvested cash balance held in your STRATA account.

STRATA's privacy policy with regard to your personal information.

Roth IRA account terms and disclosures under IRS Form 5305-RA

SIMPLE IRA account terms and disclosures under IRS Form 5305-SA.

Traditional IRA account terms and disclosures under IRS Form 5305-A.

Use this form when you want to set up, change, or cancel a periodic (monthly or quarterly) IRA contribution by ACH (Automated Clearing House) deposit. For online submission, click the ServiceNOW icon . For manual submission, click ACH Contribution Authorization Agreement_PDF.

Use this form to remit along with any contribution, rollover, or investment-related deposit or payment made to your IRA account. For online submission, click the ServiceNOW icon . For manual submission, click Deposit Certification_PDF.

Initiate a direct transfer from an existing IRA to your STRATA IRA. If electing the ServiceNOW option, ensure your current custodian allows electronic signature prior to initiating the request. For online submission, click the ServiceNOW icon . For manual submission, click IRA Transfer Request_PDF.

Initiate a cash-only transfer from an existing IRA to your STRATA IRA. For online submission, click the ServiceNOW icon . For manual submission, click here.

Direct a rollover or transfer of assets in kind.

Initiate a direct transfer from a STRATA IRA to another like STRATA IRA (ex: Roth IRA to Roth IRA). For online submission, click the ServiceNOW icon . For manual submission, click IRA Cash Only Transfer Request - Internal STRATA Transfer_PDF.

Initiate a conversion to your STRATA Roth IRA. For online submission, click the ServiceNOW icon .  For manual submission, click Roth Conversion Request_PDF.

Annual IRA contribution limits, deductibility limits and phase-out ranges

The IRA portability chart shows what the Internal Revenue Service deems as permissible when rolling funds over from one type of retirement account to another. This chart is intended for informational purposes only and is not legal, tax, or investment advice.  Please consult your legal, tax, or investment professional before rolling funds between plans.

Compare the differences between a Traditional, Rollover and Roth IRA

Request a withdrawal from your IRA. For online submission, click the ServiceNOW icon . For manual submission, click IRA Distribution Request_PDF.

Request a withdrawal of precious metals from your IRA account to a personal account with Delaware Depository. For online submission, click the ServiceNOW icon . For manual submission, click IRA Distribution Request for Precious Metals Held at Delaware Depository_PDF.

Request a withdrawal of precious metals from your IRA. For online submission, click the ServiceNOW icon . For manual submission, click IRA Distribution Request - Precious Metals Only_PDF.

Use this form to recharacterize a contribution from an existing STRATA IRA to another type of STRATA IRA (ex: Roth IRA to Traditional). For online submission, click the ServiceNOW icon .  For manual submission, click IRA Recharacterization Request and Certification_PDF.

Use this form to make or change your federal withholding election on your IRA when you want to receive a distribution (withdrawal) from your STRATA IRA. For online submission, click the ServiceNOW icon . For manual submission, click Withholding Notice and Election_PDF.

Purchase (or in-kind transfer or rollover) of a private stock, LP, or LLC investment. For online submission, click the ServiceNOW icon . For manual submission, click Alternative Investment Direction_PDF.

Purchase, sell, or exchange precious metals through your dealer. For online submission, click the ServiceNOW icon . For manual submission, click Precious Metals Investment Direction and Disclosures_PDF.

This form is used to authorize the opening of a TradeStation brokerage account (within a STRATA IRA) and to request funds be moved between STRATA and TradeStation (for purchases or sells). For online submission, click the ServiceNOW icon . For manual submission, click TradeStation Investment Direction_PDF.

Purchase (or in-kind transfer or rollover) of a real estate property. For online submission, click the ServiceNOW icon . For manual submission, click Real Estate Investment Checklist and Forms_PDF.

Purchase (or in-kind transfer or rollover) of secured debt. For online submission, click the ServiceNOW icon . For manual submission, click Secured Debt Investment Checklist and Forms_PDF.

This form must be completed by new precious metals dealers looking to work with STRATA. For online submission, click the ServiceNOW icon . For manual submission, click Precious Metals Dealer Representation Letter_PDF.

Purchase (or in-kind transfer or rollover) of a structured settlement investment. For online submission, click the ServiceNOW icon . For manual submission, click Public Investment Checklist and Forms_PDF.

Purchase (or in-kind transfer or rollover) of a public investment

Purchase of a Futures Investment

Investment issuers (i.e., investment sponsor, general partner, managing member, officer, or trustee) -  Use this form to onboard a new investment. For online submission, click the ServiceNOW icon . For manual submission, click Private Equity Checklist and Forms PDF.

Investors - Private LLC assets require a pre-custody review that includes a Representation Letter completed and signed by the investment issuer of the named investment.  STRATA will send the Representation Letter to the investment issuer and confirm submission with you - click here to get started.

Investment issuers (i.e., investment sponsor, general partner, managing member, officer, or trustee) -  Use this form to onboard a new investment. For online submission, click the ServiceNOW icon . For manual submission, click Private Equity Checklist and Forms PDF.

Investors - Private LLC assets require a pre-custody review that includes a Representation Letter completed and signed by the investment issuer of the named investment.  STRATA will send the Representation Letter to the investment issuer and confirm submission with you - click here to get started.  

Investment issuers (i.e., investment sponsor, general partner, managing member, officer, or trustee) -  Use this form to onboard a new investment. For online submission, click the ServiceNOW icon .  For manual submission, click Private Equity Checklist and Forms PDF.

Investors - Private LP assets require a pre-custody review that includes a Representation Letter completed and signed by the investment issuer of the named investment.  STRATA will send the Representation Letter to the investment issuer and confirm submission with you - click here to get started.  

Investment issuers (i.e., investment sponsor, general partner, managing member, officer, or trustee) -  Use this form to onboard a new investment. For online submission, click the ServiceNOW icon . For manual submission, click Private Equity Checklist and Forms PDF.

Investors - Private stock assets require a pre-custody review that includes a Representation Letter completed and signed by the investment issuer of the named investment.  STRATA will send the Representation Letter to the investment issuer and confirm submission with you - click here to get started.

Investment issuers (i.e., investment sponsor, general partner, managing member, officer, or trustee) -  Use this form to onboard a new investment. For online submission, click the ServiceNOW icon . For manual submission, click Private Debt Checklist and Forms PDF.

Investors - Corporate debt and convertible note assets require a pre-custody review that includes a Representation Letter completed and signed by the investment issuer of the named investment.  STRATA will send the Representation Letter to the investment issuer and confirm submission with you - click here to get started.

Generic investment issuer (general partner, managing member, officer, or trustee) agreement with STRATA used by an investment issuer to onboard a new investment to STRATA's platform. For online submission, click the ServiceNOW icon . For manual submission, click Private Investment Issuer Representation Letter_PDF.

Use this form to instruct STRATA to process an expense payment related to an investment held within your self-directed IRA account. For online submission, click the ServiceNOW icon . For manual submission, click Expense Payment Authorization_PDF.

Update the fair market value of an asset held in your STRATA account. For online submission, click the ServiceNOW icon . For manual submission, click Fair Market Valuation Update Request_PDF.  

Update the valuation of a real estate property held in your STRATA account. For online submission, click the ServiceNOW icon . For manual submission, click Real Estate Valuation Form_PDF.

This form may be used to authorize the funding of the earnest money deposit/option fee payment which may be required when investing in real estate property. For online submission, click the ServiceNOW icon . For manual submission, click Real Estate: Earnest Money Deposit Authorization_PDF.

Authorize the sale of a real estate property held in your STRATA IRA account. For online submission, click the ServiceNOW icon . For manual submission, click Real Estate Sale Checklist_PDF.

Change the terms of a promissory note/debt investment held in your STRATA account. For online submission, click the ServiceNOW icon . For manual submission, click Note Modification Agreement_PDF.

Use this form to request the removal of an uncollectable note held within your STRATA IRA. For online submission, click the ServiceNOW icon . For manual submission, click Uncollectable Note Removal Request_PDF.

This form may be used by an investment sponsor/issuer to confirm that an investment purchase has been completed. For online submission, click the ServiceNOW icon . For manual submission, click Financial Professionals: Alternative Investment Purchase Confirmation_PDF.

This form may be used by an investment sponsor/issuer to confirm that an asset has been re-registered to a STRATA account as part of an IRA transfer from another custodian. For online submission, click the ServiceNOW icon . For manual submission, click Financial Professionals: Alternative Investment Transfer Confirmation_PDF.

Use this form to designate or change the preferred method to pay account fees. Elect AutoPay to handle routine payments such as Annual Account Fees, Asset Holding Fees, Storage Fees, and Processing Fees. To change your fee payment preferences, simply complete a new Fee Payment Authorization form. For online submission, click the ServiceNOW icon . For manual submission, click Fee Payment Authorization_PDF.

Use this form to authorize a one-time credit card charge to pay account fees. If you wish to keep a card on file or enroll in AutoPay, use the Fee Payment Authorization form. For manual submission, click Credit Card Charge Authorization_PDF.

Specify how you would like to receive communications from STRATA - online or by paper mail. For online submission, click the ServiceNOW icon . For manual submission, click Communications Preference Request_PDF.

Use this form to update your address of record, email address, or phone number on your STRATA account. To change your email address for the Online Account Access portal account password recovery follow these steps.  For online submission, click the ServiceNOW icon . For manual submission, Address Change Request_PDF.

Provide supplemental instructions to STRATA with regard to your account. For online submission, click the ServiceNOW icon . For manual submission, click General Letter of Instruction_PDF.

Complete this form if you are a financial advisor firm requesting access to your client's account information through a portfolio management system. For online submission, click the ServiceNOW icon . For manual submission, click Financial Professionals: Advisor Access Request_PDF.

Use this form to designate a Representative or remove an existing one from your account. For online submission, click the ServiceNOW icon . For manual submission, click Account Representative Designation Request_PDF.

Use this form to add or change your beneficiary designation on your STRATA IRA. For online submission, click the ServiceNOW icon . For manual submission, click IRA Beneficiary Designation_PDF.

Use this form to add or remove a Power of Attorney ("POA") on your STRATA IRA account(s). For online submission, click the ServiceNOW icon . For manual submission, click Power of Attorney Designation_PDF.

Use this form to authorize a third party to view and discuss your account information. For online submission, click the ServiceNOW icon . For manual submission, click Interested Party Designation Request_PDF.

Please complete the information on this form to update the investment issuer address of record/contact information. For online submission, click the ServiceNOW icon . For manual submission, click Investment Issuer Contact Change Request_PDF.