Investment Managers: Within the USA
What You Need - Application
Jump to a section:
Single Fund Account Application
Multiple Fund Account Application
Allocation Fund Account Application
Single Fund Account Application
In addition to your name, address and phone number, you will need the following information to complete the Single Hedge Fund Account Application:
| Partnership, Corporation and Unincorporated Business |
|
If the Investment Advisor/Manager is registered with any regulatory agency or self-regulatory organization:
- Registration or license numbers;
- The Fund's Tax Identification Number.
If the Controlling Officer is registered with any regulatory agency or self-regulatory organization:
- Registration or license numbers.
For Fund Manager and/or Authorized Person:
- Social Security Number or ID number if not a US citizen (Driver's License, Alien Identification Card, Passport or National Identity Card).
For each 10% or greater shareholder:
- Name;
- Date of birth;
- Address;
- Phone;
- Country of citizenship or formation if entity;
- US Social Security Number or ID number if not a US citizen (Driver's License, Alien Identification Card, Passport or National Identity Card).
|
| LLC Everything from Partnership column plus the following: |
- Name and address of the Fund Administrator;
- Total Net Assets of the Fund;
- Bank or third-party broker account numbers for funding purposes, plus routing number for check deposits;
- The Fund's US Tax Classification (Partnership, Corporation, Disregarded Entity).
|
Multiple Fund Account Application
| Partnership, Corporation, Limited Liability Corporation and Unincorporated Business |
|
If the Investment Advisor/Manager is registered with any regulatory agency or self-regulatory organization:
- Registration or license numbers;
- Investment Manager/Advisor Tax Identification Number.
|
Allocation Fund Account Application
| Partnership, Corporation, Limited Liability Corporation and Unincorporated Business |
|
If the Investment Advisor/Manager is registered with any regulatory agency or self-regulatory organization:
- Registration or license numbers;
- Investment Manager/Advisor Tax Identification Number;
- Names of funds for which transactions will be executed;
- Total Net Assets of Funds.
|
What You Need - Documents (Investment Managers Registered in the US)
Investment Managers Registered in the US
| Document Category |
Acceptable Documents (only one document per category is needed) |
| Offering Document or Prospectus |
- A complete copy of the fund's offering document or prospectus showing the name of the fund (i.e., the account applicant) and the name of the fund's manager/investment advisor.
|
| Proof of principal place of business of fund or fund administrator or investment manager |
- Utility Bill
For example, a bill for electricity, water, telephone or gas service (mobile phone bills are not acceptable), a bank statement that clearly shows the person's or entity's full name and business address and that is less than one year old;
- Lease
The lease must clearly state the entity's full name and business address;
- Evidence of Ownership of Property
For example, a mortgage statement or deed. The document must clearly show the entity's name and business address;
- Other Acceptable Documents
Any of the documents that are acceptable as proof of the entity's existence, if the document is not also being submitted for that purpose.
|
| Proof of identity and date of birth for all 10% or greater shareholders in fund |
- Passport;
- Driver's License;
- National Identity Card;
- Alien Identification (Green) Card.
The document must be currently valid; signed; and include the person's full name, photograph, date of birth, expiration date and the country or state of issuance.
|
| Proof of identity and date of birth for "Fund Manager or Responsible Principal" |
- Passport;
- Driver's License;
- National Identity Card;
- Alien Identification (Green) Card.
The document must be currently valid; signed; and include the person's full name, photograph, date of birth, expiration date and the country or state of issuance.
|
| Account Statement for Fund from Another Financial Institution |
- A copy of a bank statement or brokerage statement for an account in the name of the fund.
|
What You Need - Funding
You can fund your account in any of the following currencies, regardless of which base currency you select:
- Australian Dollar
- British Pound
- Canadian Dollar
- Chinese Offshore Renminbi
- Czech Koruna
- Danish Krone
- Euro
- Hong Kong Dollar
- Hungarian Forint
- Japanese Yen
- Mexican Peso
- Norwegian Krone
- New Zealand Dollar
- Russian Ruble
- Singapore Dollar
- Swedish Krona
- Swiss Franc
- United States Dollar
During the funding step in the account application, you will need to provide us with additional information, which varies depending on the funding method you choose.
| Funding Method |
What You Need |
| Deposit Notifications: Notifications only and do not actually transfer money or positions. If you select one of these deposit methods, you are responsible for initiating the actual transfer of funds. |
| Wire Transfer |
- Amount of intended deposit
- Bank Name
- Bank Account Number (optional)
|
| Bank ACH Transfer from Your Bank |
- Amount of intended deposit
- Bank Name
|
| Check |
- Amount of intended deposit
- Check Number
- Bank Routing Number
- Bank Account Number
|
| Online Bill Payment |
- Amount of intended deposit
- Bank Name
|
| Free of Payment (FOP) |
- Name of Third-Party Bank or Broker
- Third-Party Bank or Broker Account Number
- Symbol, Number of Shares, and Exchange (optional) of each Stock to transfer
- Symbol, Number of Shares, Strike (optional), Put/Call (optional), and Expiration Date (optional) of each Warrant to transfer
- CUSIP Number and Aggregate Face Value of each US Bond to transfer
|
| Instruct us to contact your bank or broker to transfer funds and/or assets: If you select one of these methods, money and and/or positions are actually transferred. |
| Automatic Bank ACH Transfer |
- Bank Account Number
- Bank Account Type (Checking or Savings)
- Bank's 9-digit routing number
|
| Automated Customer Account Transfer Service |
- Name of Third-Party Bank or Broker
- Third-Party Bank or Broker Account Number
In addition, for partial ACATS transfers:
- Symbol, Number of Shares, and Exchange (optional) of each Stock and/or US Mutual Fund to transfer
- Symbol, Number of Shares, Strike (optional), Put/Call (optional), and Expiration Date (optional) of each Warrant to transfer
- CUSIP Number and Aggregate Face Value of each US Bond to transfer
- Underlying Symbol, Number of Contracts, Position (long or short), Strike, Put or Call, and Expiration Date of each Option to transfer
|
| Account Transfer on Notification (ATON) |
- Name of Third-Party Bank or Broker
- Third-Party Bank or Broker Account Number
In addition, for partial ATON transfers:
- Symbol, Number of Shares, and Exchange (optional) of each Stock and/or Canadian Stock to transfer
- Symbol, Number of Shares, Strike (optional), Put/Call (optional), and Expiration Date (optional) of each Warrant to transfer
- Underlying Symbol, Number of Contracts, Position (long or short), Strike, Put or Call, and Expiration Date of each Option and/or Canadian Option to transfer
|
| US Futures Asset Transfer |
From your Place Trade Account Application:
- Place Trade Account ID
- User Name
- Account Title
- Address
- Social Security Number or Tax ID Number on Account
- Email Address.
From the account to be transferred to your Place Trade account:
- Name of Brokerage Firm Currently Holding Your Account
- Address
- City/State/Zip
- Account Owner Name(s)
- Account Number.
In addition, for partial transfers:
- Description and quantity of each asset to be transferred.
|
| European Asset Transfer |
From your Place Trade Account Application
- Place Trade Account ID
- User Name
- Account Title
- Account Type
- Address
- Social Security Number or Tax ID Number on Account (US residents only).
From the account to be transferred to your Place Trade account:
- Name of Bank/Brokerage Firm Currently Holding Your Account
- Address
- City/State/Zip
- Name of Contact Person at Bank/Broker
- Account Owner Name(s)
- Account Number.
For partial transfers:
- Symbol, Description, Quantity, and ISIN number of each asset to be transferred
|
| Asian Asset Transfer |
- Summary and country of origin/exchange of each asset to transfer
|
Investment Managers: Outside of the United States
What You Need - Application
Jump to a section:
Single Fund Account Application
Multiple Fund Account Application
Allocation Fund Account Application
Single Fund Account Application
In addition to your name, address and phone number, you will need the following information to complete the Single Hedge Fund Account Application:
| Partnership, Corporation and Unincorporated Business |
|
If the Investment Advisor/Manager is registered with any regulatory agency or self-regulatory organization:
- Registration or license numbers;
- The Fund's Tax Identification Number.
If the Controlling Officer is registered with any regulatory agency or self-regulatory organization:
- Registration or license numbers.
For Fund Manager and/or Authorized Person:
- Social Security Number or ID number if not a US citizen (Driver's License, Alien Identification Card, Passport or National Identity Card).
For each 10% or greater shareholder:
- Name;
- Date of birth;
- Address;
- Phone;
- Country of citizenship or formation if entity;
- US Social Security Number or ID number if not a US citizen (Driver's License, Alien Identification Card, Passport or National Identity Card).
|
| LLC Everything from Partnership column plus the following: |
- Name and address of the Fund Administrator;
- Total Net Assets of the Fund;
- Bank or third-party broker account numbers for funding purposes, plus routing number for check deposits;
- The Fund's US Tax Classification (Partnership, Corporation, Disregarded Entity).
|
Multiple Fund Account Application
| Partnership, Corporation, Limited Liability Corporation and Unincorporated Business |
|
If the Investment Advisor/Manager is registered with any regulatory agency or self-regulatory organization:
- Registration or license numbers;
- Investment Manager/Advisor Tax Identification Number.
|
Allocation Fund Account Application
| Partnership, Corporation, Limited Liability Corporation and Unincorporated Business |
|
If the Investment Advisor/Manager is registered with any regulatory agency or self-regulatory organization:
- Registration or license numbers;
- Investment Manager/Advisor Tax Identification Number;
- Names of funds for which transactions will be executed;
- Total Net Assets of Funds.
|
What You Need - Documents (Investment Managers Registered outside the US)
Investment Managers Registered outside the US
| Document Category |
Acceptable Documents (only one document per category is needed) |
| Offering Document or Prospectus |
- A complete copy of the fund's offering document or prospectus showing the name of the fund (i.e., the account applicant) and the name of the fund's manager/investment advisor.
|
What You Need - Funding
You can fund your account in any of the following currencies, regardless of which base currency you select:
- Australian Dollar
- British Pound
- Canadian Dollar
- Chinese Offshore Renminbi
- Czech Koruna
- Danish Krone
- Euro
- Hong Kong Dollar
- Hungarian Forint
- Japanese Yen
- Mexican Peso
- Norwegian Krone
- New Zealand Dollar
- Russian Ruble
- Singapore Dollar
- Swedish Krona
- Swiss Franc
- United States Dollar
During the funding step in the account application, you will need to provide us with additional information, which varies depending on the funding method you choose.
| Funding Method |
What You Need |
| Deposit Notifications: Notifications only and do not actually transfer money or positions. If you select one of these deposit methods, you are responsible for initiating the actual transfer of funds. |
| Wire Transfer |
- Amount of intended deposit
- Bank Name
- Bank Account Number (optional)
|
| Bank ACH Transfer from Your Bank |
- Amount of intended deposit
- Bank Name
|
| Check |
- Amount of intended deposit
- Check Number
- Bank Routing Number
- Bank Account Number
|
| Online Bill Payment |
- Amount of intended deposit
- Bank Name
|
| Free of Payment (FOP) |
- Name of Third-Party Bank or Broker
- Third-Party Bank or Broker Account Number
- Symbol, Number of Shares, and Exchange (optional) of each Stock to transfer
- Symbol, Number of Shares, Strike (optional), Put/Call (optional), and Expiration Date (optional) of each Warrant to transfer
- CUSIP Number and Aggregate Face Value of each US Bond to transfer
|
| Instruct us to contact your bank or broker to transfer funds and/or assets: If you select one of these methods, money and and/or positions are actually transferred. |
| Automatic Bank ACH Transfer |
- Bank Account Number
- Bank Account Type (Checking or Savings)
- Bank's 9-digit routing number
|
| Automated Customer Account Transfer Service |
- Name of Third-Party Bank or Broker
- Third-Party Bank or Broker Account Number
In addition, for partial ACATS transfers:
- Symbol, Number of Shares, and Exchange (optional) of each Stock and/or US Mutual Fund to transfer
- Symbol, Number of Shares, Strike (optional), Put/Call (optional), and Expiration Date (optional) of each Warrant to transfer
- CUSIP Number and Aggregate Face Value of each US Bond to transfer
- Underlying Symbol, Number of Contracts, Position (long or short), Strike, Put or Call, and Expiration Date of each Option to transfer
|
| Account Transfer on Notification (ATON) |
- Name of Third-Party Bank or Broker
- Third-Party Bank or Broker Account Number
In addition, for partial ATON transfers:
- Symbol, Number of Shares, and Exchange (optional) of each Stock and/or Canadian Stock to transfer
- Symbol, Number of Shares, Strike (optional), Put/Call (optional), and Expiration Date (optional) of each Warrant to transfer
- Underlying Symbol, Number of Contracts, Position (long or short), Strike, Put or Call, and Expiration Date of each Option and/or Canadian Option to transfer
|
| US Futures Asset Transfer |
From your Place Trade Account Application:
- Place Trade Account ID
- User Name
- Account Title
- Address
- Social Security Number or Tax ID Number on Account
- Email Address.
From the account to be transferred to your Place Trade account:
- Name of Brokerage Firm Currently Holding Your Account
- Address
- City/State/Zip
- Account Owner Name(s)
- Account Number.
In addition, for partial transfers:
- Description and quantity of each asset to be transferred.
|
| European Asset Transfer |
From your Place Trade Account Application
- Place Trade Account ID
- User Name
- Account Title
- Account Type
- Address
- Social Security Number or Tax ID Number on Account (US residents only).
From the account to be transferred to your Place Trade account:
- Name of Bank/Brokerage Firm Currently Holding Your Account
- Address
- City/State/Zip
- Name of Contact Person at Bank/Broker
- Account Owner Name(s)
- Account Number.
For partial transfers:
- Symbol, Description, Quantity, and ISIN number of each asset to be transferred
|
| Asian Asset Transfer |
- Summary and country of origin/exchange of each asset to transfer
|
Investment Managers: Not Registered Anywhere
What You Need - Application
Jump to a section:
Single Fund Account Application
Multiple Fund Account Application
Allocation Fund Account Application
Single Fund Account Application
In addition to your name, address and phone number, you will need the following information to complete the Single Hedge Fund Account Application:
| Partnership, Corporation and Unincorporated Business |
|
If the Investment Advisor/Manager is registered with any regulatory agency or self-regulatory organization:
- Registration or license numbers;
- The Fund's Tax Identification Number.
If the Controlling Officer is registered with any regulatory agency or self-regulatory organization:
- Registration or license numbers.
For Fund Manager and/or Authorized Person:
- Social Security Number or ID number if not a US citizen (Driver's License, Alien Identification Card, Passport or National Identity Card).
For each 10% or greater shareholder:
- Name;
- Date of birth;
- Address;
- Phone;
- Country of citizenship or formation if entity;
- US Social Security Number or ID number if not a US citizen (Driver's License, Alien Identification Card, Passport or National Identity Card).
|
| LLC Everything from Partnership column plus the following: |
- Name and address of the Fund Administrator;
- Total Net Assets of the Fund;
- Bank or third-party broker account numbers for funding purposes, plus routing number for check deposits;
- The Fund's US Tax Classification (Partnership, Corporation, Disregarded Entity).
|
Multiple Fund Account Application
| Partnership, Corporation, Limited Liability Corporation and Unincorporated Business |
|
If the Investment Advisor/Manager is registered with any regulatory agency or self-regulatory organization:
- Registration or license numbers;
- Investment Manager/Advisor Tax Identification Number.
|
Allocation Fund Account Application
| Partnership, Corporation, Limited Liability Corporation and Unincorporated Business |
|
If the Investment Advisor/Manager is registered with any regulatory agency or self-regulatory organization:
- Registration or license numbers;
- Investment Manager/Advisor Tax Identification Number;
- Names of funds for which transactions will be executed;
- Total Net Assets of Funds.
|
Hedge Funds & Mutual Funds: Investment Managers not Registered Anywhere
What You Need - Documents
Investment Managers not Registered Anywhere
| Document Category |
Acceptable Documents (only one document per category is needed) |
| Offering Document or Prospectus |
A complete copy of the fund's offering document or prospectus showing the name of the fund (i.e., the account applicant) and the name of the fund's manager/investment advisor. |
| Proof of principal place of business of fund or fund administrator or investment manager |
- Utility Bill
For example, a bill for electricity, water, telephone or gas service (mobile phone bills are not acceptable), or a bank statement that clearly shows the person's or entity's full name and business address and that is less than one year old;
- Lease
The lease must clearly state the entity's full name and business address;
- Evidence of Ownership of Property
For example, a mortgage statement or deed. The document must clearly show the entity's name and business address;
- Other Acceptable Documents
Any of the documents that are acceptable as proof of the entity's existence, if the document is not also being submitted for that purpose.
|
| Proof of identity and date of birth for all 10% or greater shareholders in fund |
- Passport;
- Driver's License;
- National Identity Card;
- Alien Identification (Green) Card.
The document must be currently valid; signed; and include the person's full name, photograph and date of birth and the expiration date and the country or state of issuance.
|
What You Need - Funding
You can fund your account in any of the following currencies, regardless of which base currency you select:
- Australian Dollar
- British Pound
- Canadian Dollar
- Chinese Offshore Renminbi
- Czech Koruna
- Danish Krone
- Euro
- Hong Kong Dollar
- Hungarian Forint
- Japanese Yen
- Mexican Peso
- Norwegian Krone
- New Zealand Dollar
- Russian Ruble
- Singapore Dollar
- Swedish Krona
- Swiss Franc
- United States Dollar
During the funding step in the account application, you will need to provide us with additional information, which varies depending on the funding method you choose.
| Funding Method |
What You Need |
| Deposit Notifications: Notifications only and do not actually transfer money or positions. If you select one of these deposit methods, you are responsible for initiating the actual transfer of funds. |
| Wire Transfer |
- Amount of intended deposit
- Bank Name
- Bank Account Number (optional)
|
| Bank ACH Transfer from Your Bank |
- Amount of intended deposit
- Bank Name
|
| Check |
- Amount of intended deposit
- Check Number
- Bank Routing Number
- Bank Account Number
|
| Online Bill Payment |
- Amount of intended deposit
- Bank Name
|
| Free of Payment (FOP) |
- Name of Third-Party Bank or Broker
- Third-Party Bank or Broker Account Number
- Symbol, Number of Shares, and Exchange (optional) of each Stock to transfer
- Symbol, Number of Shares, Strike (optional), Put/Call (optional), and Expiration Date (optional) of each Warrant to transfer
- CUSIP Number and Aggregate Face Value of each US Bond to transfer
|
| Instruct us to contact your bank or broker to transfer funds and/or assets: If you select one of these methods, money and and/or positions are actually transferred. |
| Automatic Bank ACH Transfer |
- Bank Account Number
- Bank Account Type (Checking or Savings)
- Bank's 9-digit routing number
|
| Automated Customer Account Transfer Service |
- Name of Third-Party Bank or Broker
- Third-Party Bank or Broker Account Number
In addition, for partial ACATS transfers:
- Symbol, Number of Shares, and Exchange (optional) of each Stock and/or US Mutual Fund to transfer
- Symbol, Number of Shares, Strike (optional), Put/Call (optional), and Expiration Date (optional) of each Warrant to transfer
- CUSIP Number and Aggregate Face Value of each US Bond to transfer
- Underlying Symbol, Number of Contracts, Position (long or short), Strike, Put or Call, and Expiration Date of each Option to transfer
|
| Account Transfer on Notification (ATON) |
- Name of Third-Party Bank or Broker
- Third-Party Bank or Broker Account Number
In addition, for partial ATON transfers:
- Symbol, Number of Shares, and Exchange (optional) of each Stock and/or Canadian Stock to transfer
- Symbol, Number of Shares, Strike (optional), Put/Call (optional), and Expiration Date (optional) of each Warrant to transfer
- Underlying Symbol, Number of Contracts, Position (long or short), Strike, Put or Call, and Expiration Date of each Option and/or Canadian Option to transfer
|
| US Futures Asset Transfer |
From your Place Trade Account Application:
- Place Trade Account ID
- User Name
- Account Title
- Address
- Social Security Number or Tax ID Number on Account
- Email Address.
From the account to be transferred to your Place Trade account:
- Name of Brokerage Firm Currently Holding Your Account
- Address
- City/State/Zip
- Account Owner Name(s)
- Account Number.
In addition, for partial transfers:
- Description and quantity of each asset to be transferred.
|
| European Asset Transfer |
From your Place Trade Account Application
- Place Trade Account ID
- User Name
- Account Title
- Account Type
- Address
- Social Security Number or Tax ID Number on Account (US residents only).
From the account to be transferred to your Place Trade account:
- Name of Bank/Brokerage Firm Currently Holding Your Account
- Address
- City/State/Zip
- Name of Contact Person at Bank/Broker
- Account Owner Name(s)
- Account Number.
For partial transfers:
- Symbol, Description, Quantity, and ISIN number of each asset to be transferred
|
| Asian Asset Transfer |
- Summary and country of origin/exchange of each asset to transfer
|
