Due Diligence Best Practices on Private Placement Investments While Using a Self-Directed IRA

Presented by Next Generation and Syndication Attorneys

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The Importance of Due Diligence on Private Placement Investments

A private placement investment through a self-directed IRA is when an IRA invests into a privately held entity, such as an LLC or LP. Since IRA custodians are not fiduciaries, they are not required to "investigate" an investment for legitimacy. Rather, they will review certain documents to assess any risk for prohibited transactions on behalf of the IRA to protect its tax-advantaged status.

Therefore, it is of utmost importance that the investor do their own due diligence to ensure that they understand what they're investing their monies into. Our co-host, Syndication Attorneys, has the necessary experience and expertise to guide investors through the due diligence process and will be providing complimentary education via webinar on this subject.

During this webinar, we'll cover:

  • The qualifications required to invest in a private placement offering
  • Considerations to make when vetting a private placement investment 
  • The documents required to support a private placement investment and how to review them
  • An in-depth walkthrough on including this type of investment within a self-directed IRA
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Meet the Speakers

Scott Ritchie

Scott Ritchie
Business Development


Scott brings a wealth of experience to his role with the Sales and Marketing team at Next Generation, where he focuses on Business Development for the company. He has more than ten years of experience in the sales arena, including seven years in Financial Services, where he worked extensively with both Group and Individual Retirement plan accounts. Scott has also worked in Operations as well as Marketing, Media and Public Relations – all of which serve him well and bring diverse perspectives to his current role with Next Generation.Scott is a Graduate of the University of North Carolina – Wilmington where he earned A BA in English and also earned a film/video production certificate from New York University. In 2007, he received his Life Underwriter Training Council Fellow (LUTCF) designation from the American College of Financial Services in Bryn Mawr, Pennsylvania. Scott, who is married and has two sons, resides in Somerset County.


Kim Lisa Taylor_Syndication Attorneys

Kim Lisa Taylor

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Kim Lisa Taylor is a nationally recognized corporate securities attorney, speaker and the author of the No. 1 Amazon best selling book “How to Legally Raise Private Money". She is the founder of Syndication Attorneys, PLLC and InvestorMarketingMaterials.com, whose purpose is to provide quality legal advice, plain English offering documents and professionally designed marketing materials for clients nationwide. Kim has been the responsible attorney for hundreds of securities offerings and is listed in the 2020 Top 100 Attorneys and Top 100 in Finance magazines. 

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