Alternative Investments - Required Forms.

Attached below are the Spire forms required to open a new account to invest in an alternative investment. In addition to any forms required from the sponsor company, the Spire New Account Form, Spire's Alternative Investment Disclosure and a Direct Trade Ticket need to be completed and/or signed by the client.

There are cases in which the Spire New Account Form is not required. Please continue reading to determine if your client's new investment requires a Spire NAF or not. If you already know the Spire NAF policies, you can scroll to the bottom for the attachments.

Do I need a Spire NAF per account?

• Spire requires 1 Spire NAF per registration. Here are some examples.

Example #1: If John Doe is opening 2 Traditional IRA's to invest in ARC and Cole, the client only needs to complete and sign 1 Spire NAF.

Example #2: If John Doe is opening 1 Traditional IRA to invest in ARC and 1 Rollover IRA to invest in Cole, then the client will need to complete and sign 2 Spire NAFs due to the different registrations.

I already have a few Spire NAF's for the client in the client's Laserfiche folder from previous direct business accounts. Do I still need a new Spire NAF for this account?

• If it's the same registration and dated within the past 12 months you do not need the client to sign a new Spire NAF.
• If it's past 12 months, the signature date is stale and the client will need to sign a new SPIRE NAF.