Open a Sphere account
This application is to open a non-IRA account. If you'd like to open an Individual Retirement Account, please use the IRA application. Your privacy is important to us. We are committed to maintaining the confidentiality, integrity and security of your personal information. We restrict access to your nonpublic personal information to those persons who require such information to provide products or services to you. We maintain physical, electronic, and procedural safeguards that comply with federal standards to guard your nonpublic personal information. For questions about these policies, or for additional copies of the Sphere Funds Privacy Policy Statement, please contact us at 844-277-4373 (844-2SPHERE) or www.oursphere.org/fund or contact us at PO Box 46707, Cincinnati, OH 45246.
What type of account would you like to open?
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Individual
Joint
Trust
Corporation or other entity
Estate
Uniform Transfers to Minors Account (UTMA)
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Open a Sphere account
Name
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Date of Birth
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-
Month
-
Day
Year
Social Security Number
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Phone Number
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Email
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Citizenship
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US citizen or permanent resident
Other
Please specify your citizenship
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Would you like to designate beneficiaries to whom we will transfer this account upon your death?
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Yes
No
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Open a Sphere account: Joint owner
Joint owner name
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First Name
Middle Name
Last Name
Joint owner Date of Birth
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Month
-
Day
Year
Joint owner Social Security Number
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Joint owner's relationship to owner
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Spouse
Non-spouse
Type of account
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Joint tenants with rights of survivorship
Joint tenants in common
Joint tenants in community property
Would you like to designate beneficiaries to whom we will transfer this account upon your death?
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Yes
No
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Open a Sphere account: Uniform Transfers to Minors Account (UTMA)
Custodian's Name
*
Custodian's Date of Birth
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-
Month
-
Day
Year
Custodian's Social Security Number
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Minor's Name
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Minor's Date of Birth
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Month
-
Day
Year
Minor's Social Security Number
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Minor's State of Residence
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Email
*
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Open a Sphere account: Trust
Trust name
*
Date Trust was established
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Month
-
Day
Year
Date
Trust Tax ID Number
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Trustee's (Authorized Signer's) Name
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First Name
Last Name
Trustee's Date of Birth
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Month
-
Day
Year
Date
Trustee's Social Security Number
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Email
*
example@example.com
Co-Trustee's (Authorized Signer's) Name
First Name
Last Name
Co-Trustee's Date of Birth
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Month
-
Day
Year
Date
Co-Trustee's Social Security Number
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Open a Sphere account: Corporation or other entity
Federal regulation requires certain financial institutions, including mutual funds, to obtain, verify, and record information about the beneficial owners of legal entity customers.
Type of entity
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C Corporation
S Corporation
Corporation
Partnership
Government entity
Other (please specify)Type option 6
Please specify the type of entity
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Name of entity
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Tax ID Number
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Authorized signer
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First Name
Last Name
Social Security Number
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Date of birth
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-
Month
-
Day
Year
Date
Email
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example@example.com
How many authorized signers are required to transact business without the consent of teh board or any director, officer, or other person of the corporation or other entity?
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Any authorized signer may act independently
Two authorized signers are required
All authorized signers are required
Co-authorized signer
First Name
Last Name
Social Security Number
Date of birth
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Month
-
Day
Year
Date
Co-authorized signer
First Name
Last Name
Social Security Number
Date of birth
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Month
-
Day
Year
Date
Please upload a copy of one of the following documents: registered articles of incorporation, government-issued business license, partnership papers, plan documents or other official documentation that verifies the entity and lists the authorized individuals.
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Open a Sphere account: Estate
Name of Estate
*
Tax ID Number
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Executor
*
First Name
Last Name
Social Security Number
*
Date of birth
*
-
Month
-
Day
Year
Date
Email
*
example@example.com
Co-Executor
First Name
Last Name
Social Security Number
Date of birth
-
Month
-
Day
Year
Date
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Open a Sphere account: Address
Primary legal address
*
Do you have a different mailing address?
Yes
No
Mailing address
Street Address
Street Address Line 2
City
State / Province
Postal / Zip Code
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Open a Sphere account: Investment
Initial investment amount
*
There is no minimum investment amount. Your initial purchase must be made by check or wire. Cashiers checks are not accepted. Make your check payable to Sphere Funds and mail it to PO Box 46707, Cincinatti, OH 45246 or if by overnight delivery to 225 Pictoria Dr, Ste 450, Cincinnati, OH 45246. To invest by wire call 844-277-4373. We'll give you this information again when you submit this form.
What would you like us to do with dividends?
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Reinvest
Cash
What would you like us to do with capital gains?
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Reinvest
Cash
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Open a Sphere account: Automatic Investment Plan
Would you like to set up an automatic investment plan?
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Yes
No
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Open a Sphere account: Automatic investment plan
Your first investment will have to be by check, wire, or transfer of assets from an existing IRA. After that, we can make automatic investments from a linked bank account.
How often do you want to invest?
Monthly
Twice monthly
Quarterly
Twice annually
Annually
How much do you want to invest each period?
What month do you want to start?
What day do you want to start?
What should the second day be?
Type of bank account
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Checking
Savings
Please upload an image of a voided check
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You can void a check by writing "VOID" across the front of the check. This image helps us confirm that you are indeed the owner of the account, and gives us the account and routing numbers. Make sure the numbers on the bottom of the check are legible.
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What cost basis method would you like us to use?
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Average cost
First-In, First-Out (FIFO)
Last-In, First-Out (LIFO)
Highest-Cost, First-Out (HIFO)
Specific Share Identification (if no instruction is provided at time of redemption, FIFO will be used)
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Open a Sphere account: Beneficiaries
Use this section to designate who should receive the funds in this account in the event of your death. You will need their names and birthdays. Primary Beneficiaries are first in line, and if none of them are living, the Contingent Beneficiaries will receive the funds. A common designation is for the accountholder's spouse to be the Primary Beneficiary and the accountholder's children to be the Contingent Beneficiaries. Note: if you have a spouse and you don't designate that spouse to receive 100% as Primary Beneficiary, you will need your spouse's signature to complete this application. If you don't assign percentages, each beneficiary will receive an equal portion. If any beneficiary is no longer living, their share will be divided among the ones who are alive, in the relative proportion assigned to the surviving beneficiaries. If you do not designate beneficiaries, any funds left in this account when you die will be distributed to your estate (unless otherwise required by law).
Beneficiary #1
First Name
Last Name
#1's date of birth
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Month
-
Day
Year
Date
#1's relationship to you
#1: Primary or contingent?
Primary
Contingent
#1's % share
Primary Beneficiary #2
First Name
Last Name
#2's date of birth
-
Month
-
Day
Year
Date
#2's relationship to you
#2: Primary or contingent?
Primary
Contingent
#2's % share
Primary Beneficiary #3
First Name
Last Name
#3's date of birth
-
Month
-
Day
Year
Date
#3's relationship to you
#3: Primary or contingent?
Primary
Contingent
#3's % share
Beneficiary #4
First Name
Last Name
#4's date of birth
-
Month
-
Day
Year
Date
#4's relationship to you
#4: Primary or contingent?
Primary
Contingent
#4's % share
Current marital status
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I am not married. I understand that if I become married in the future, I must complete a new designation of beneficiary form.
I am married. I understand that if I choose to designate a primary beneficiary other than my spouse, my spouse must sign below.
Did you designate a primary beneficiary other than your spouse?
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Yes
No
Consent of spouse
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I am the spouse of the above-named account holder. I acknowledge that I have received a fair and reasonable disclosure of my spouse’s property and financial obligations. Due to the important tax consequences of giving up my interest in this account, I have been advised to see a tax professional. No tax or legal advice was given to me by the Fund Company or Ultimus Fund Solutions. I hereby give the account holder any interest I have in the funds or property deposited in the account referenced herein and consent to the beneficiary designations(s) indicated above. I assume full responsibility for any adverse consequences that may result.
Date
*
-
Month
-
Day
Year
Date
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Open a Sphere account: Investment Advisor
If you are an investment advisor filling out this form for a client, please select Yes.
Are you opening your account through a registered investment advisor?
*
Yes
No
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Open a Sphere account: Investment Advisor details
If you are an investment advisor opening this account on a client's behalf, please complete this section.
Company name
Representative's name
First Name
Last Name
Head office address
Street Address
Street Address Line 2
City
State / Province
Postal / Zip Code
Head office phone number
Please enter a valid phone number.
Head office email address
example@example.com
Representative's branch office address
Street Address
Street Address Line 2
City
State / Province
Postal / Zip Code
Representative's phone number
Please enter a valid phone number.
Representative's email address
example@example.com
Representative's ID number
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Open a Sphere account: Signature
You'll have a chance to review the terms and conditions in the PDF form we generate ahead of submitting your signature at the end of this form.
Signature of owner (or custodian)
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Date
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Month
-
Day
Year
Date
Signature of joint owner (or corporate officer, partner, or other)
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Date
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Month
-
Day
Year
Date
Signature of Trustee (if applicable)
Date
-
Month
-
Day
Year
Date
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Open a Sphere account: Transfer option
Would you like to have Sphere reach out to your current custodian to ask them to transfer your assets to Sphere?
Yes
No
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Sphere Transfer of assets: Current account info
This is where you give us details on who to reach out to, to initiate the transfer.
Name of the firm currently holding your account
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Address of firm currently holding your account
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Street Address
Street Address Line 2
City
State / Province
Postal / Zip Code
Name on the account
*
Your account number
*
Phone Number of current custodian
*
Please enter a valid phone number.
Please upload a copy of your most recent statement for this account
*
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Sphere Transfer of assets: Transfer details
If you are transferring assets from one type of account to the same type of account (i.e. Roth IRA to Roth IRA, or Traditional IRA to Traditional IRA), there are likely no tax implications. Please speak with a tax advisor if you have any questions.
What type of account are you transferring from?
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Please Select
Individual
Joint Tenant
Transfer on Death
Trust
Other
What type of account are you transferring to?
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Please Select
Individual
Joint Tenant
Transfer on Death
Trust
Other
Would you like to transfer all assets in your account, or make a partial transfer?
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Full transfer: please liquidate all assets in my account
Partial transfer:
How much would you like to liquidate and transfer to your Sphere account?
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Transfer of assets: Signature authorizing transfer
I certify to the current IRA custodian or trustee that I have established a successor Individual Retirement Custodial Account meeting the requirements of the Internal revenue Code to which assets will be transferred, and I certify to First National Bank of Omaha that the account from which assets are being transferred meets the requirements of the Internal Revenue Code and that the transfer satisfies the requirements for nontaxable transaction. The Internal Revenue Service does not require your consent to any provision of this document other than the certification required to avoid backup withholding.
Account Owner's Signature
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Date
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Month
-
Day
Year
Date
Joint Owner's Signature
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Date
*
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Month
-
Day
Year
Date
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Open a Sphere account: Review and submit
Please review your responses and our terms and conditions using the "Continue" button and then click "Sign" to submit.
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