Document Requirements
| Entity Type | Formation Documents | Ownership Documents | Supporting Documents |
|---|---|---|---|
| LLC | REGISTRATION_DOCUMENT, CONSTITUTIONAL_DOCUMENT, EVIDENCE_OF_DIRECTORS_AND_CONTROLLERS(non-US only) | PROOF_OF_SIGNATORY_AUTHORITY | PROOF_OF_ADDRESS, PROOF_OF_SOURCE_OF_FUNDS, SHAREHOLDER_REGISTER, CERT_OF_INCUMBENCY, E_SIGNATURE_CERTIFICATE |
| Corporation (Inc, Corp) | REGISTRATION_DOCUMENT, CONSTITUTIONAL_DOCUMENT, EVIDENCE_OF_DIRECTORS_AND_CONTROLLERS(non-US only) | PROOF_OF_SIGNATORY_AUTHORITY | PROOF_OF_ADDRESS, PROOF_OF_SOURCE_OF_FUNDS, SHAREHOLDER_REGISTER, CERT_OF_INCUMBENCY, E_SIGNATURE_CERTIFICATE |
| Partnership | REGISTRATION_DOCUMENT, CONSTITUTIONAL_DOCUMENT | PROOF_OF_SIGNATORY_AUTHORITY | PROOF_OF_ADDRESS, PROOF_OF_SOURCE_OF_FUNDS, SHAREHOLDER_REGISTER, CERT_OF_INCUMBENCY, E_SIGNATURE_CERTIFICATE |
| Trust | FORMATION_DOCUMENT | PROOF_OF_SIGNATORY_AUTHORITY | PROOF_OF_ADDRESS, PROOF_OF_SOURCE_OF_FUNDS, E_SIGNATURE_CERTIFICATE |
| Sole Proprietorship | PROOF_OF_NATURE_OF_BUSINESS, PROOF_OF_ENTITY_NAME_CHANGE, PROOF_OF_TAX_IDENTIFICATION | None | PROOF_OF_ADDRESS, PROOF_OF_SOURCE_OF_FUNDS |
| Private Foundation | REGISTRATION_DOCUMENT, CONSTITUTIONAL_DOCUMENT | PROOF_OF_SIGNATORY_AUTHORITY | PROOF_OF_ADDRESS, TAX_EXEMPT_ENTITY_CONFIRMATION, PROOF_OF_SOURCE_OF_WEALTH, PROOF_OF_SOURCE_OF_FUNDS, CERT_OF_INCUMBENCY, E_SIGNATURE_CERTIFICATE |
| Charity | REGISTRATION_DOCUMENT, CONSTITUTIONAL_DOCUMENT | PROOF_OF_SIGNATORY_AUTHORITY | PROOF_OF_ADDRESS, TAX_EXEMPT_ENTITY_CONFIRMATION, PROOF_OF_SOURCE_OF_WEALTH, PROOF_OF_SOURCE_OF_FUNDS, CERT_OF_INCUMBENCY, E_SIGNATURE_CERTIFICATE |
| Non-profit Organization | REGISTRATION_DOCUMENT, CONSTITUTIONAL_DOCUMENT | PROOF_OF_SIGNATORY_AUTHORITY | PROOF_OF_ADDRESS, TAX_EXEMPT_ENTITY_CONFIRMATION, PROOF_OF_SOURCE_OF_WEALTH, PROOF_OF_SOURCE_OF_FUNDS, CERT_OF_INCUMBENCY, E_SIGNATURE_CERTIFICATE |
| Government Agency | CONSTITUTIONAL_DOCUMENT | PROOF_OF_SIGNATORY_AUTHORITY | PROOF_OF_ADDRESS, PROOF_OF_SOURCE_OF_FUNDS, SHAREHOLDER_REGISTER, E_SIGNATURE_CERTIFICATE |
| Publicly Listed Company | REGISTRATION_DOCUMENT, CONSTITUTIONAL_DOCUMENT, EVIDENCE_OF_DIRECTORS_AND_CONTROLLERS(non-US only) | PROOF_OF_SIGNATORY_AUTHORITY | PROOF_OF_ADDRESS, PROOF_OF_SOURCE_OF_FUNDS, SHAREHOLDER_REGISTER, CERT_OF_INCUMBENCY, E_SIGNATURE_CERTIFICATE |
Document Types & Descriptions
| Document | Description |
|---|---|
registration_document | Certificate of Incorporation OR Certificate of Formation/Registration or Limited Partnership |
constitutional_document | Constitutional or formation documents OR Articles of Organization OR Partnership Agreement OR Operating/LP Agreement (if applicable) OR Articles of Incorporation/Bylaws or equivalent document |
evidence_of_directors_and_controllers | A Certificate of Incumbency or a Register of Directors (or their equivalent) |
formation_document | Trust Agreement |
proof_of_tax_identification | Tax Filings |
proof_of_signatory_authority | Authorized Representative List OR List of Manager or similar person(s) that has(have) the ability to legally bind the entity and carry out its instructions |
shareholder_register | Register of shareholders or members |
ownership_information | Voting Records |
ownership_chart | Fund Structure Chart |
directors_registry | Register of Directors |
cert_of_incumbency | Certificate of Incumbency |
proof_of_address | Proof of Business Entity Address |
proof_of_source_of_funds | Proof of Source of Funds (if applicable) |
proof_of_source_of_wealth | Annual Reports |
proof_of_nature_of_business | Business License |
proof_of_entity_name_change | Trade Name Registration / Doing Business As (DBA) Filing |
tax_exempt_entity_confirmation | Tax Exemption or Charity Registration Letter (for US, provide IRS Determination Letter) |
marketing_materials | Prospectus, Offering Memorandum, or Private Placement Memorandum |
aml_comfort_letter | AML Attestation Letter issued by Fund Administrator |
e_signature_certificate | Electronic Signature Certificate |
flow_of_funds | Flow of Funds diagram or statement |
evidence_of_good_standing | Certificate of Good Standing |
proof_of_nature_of_business_license | National or State License or Registration to provide money transmission or digital asset services |
proof_of_nature_of_business_aml_policy | AML and Sanctions Policy |
proof_of_account_purpose | Statement of Account Purpose |
other | Any other supporting document not listed above |