Document Requirements
| Entity Type | Formation Documents | Ownership Documents | Supporting Documents |
|---|---|---|---|
| Limited Liability Company (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 |
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. Provide an authorized representative list, board resolution, or equivalent document for the entity to verify signing authority. |
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 |