deeproot Funds Investor Pre-Qualification Form

Please Read Before You Continue:

This form is for INVESTORS only. Please contact us directly if you are an agent, advisor, or broker.

Thank you for your interest in our proprietary Private Equity investment funds. For some types of funds, current regulations require you to provide specific investment and personal background information before we can release detailed fund information to you. This is for your protection as well as ours. Additional and more sensitive information (e.g. supporting documents, date of birth, social security number) will be obtained offline after a thorough review process.

Upon submission, we will perform required due diligence on your submission. We may ask for supporting documents such as bank statements, IRS forms, and/or financial statements. After being approved through the due diligence process, we will forward an Application/PPM/Subscription Packet to your selected destination for you to review.

Privacy Policy, Security: The information you submit is through a secure form and will never be disseminated or sold to any one else. We use this information to comply with regulatory requirements, confirm product suitability, and prepare your application. You can expect a prompt call or email from us confirming the receipt of your information. Lastly, we record your IP address and other data to track users who attempt to send false information or unsolicited advertisements using our secure systems.

Rule 501(a) Qualification

Choose One*
My net worth (either individually or with my spouse, if any) including investments in all property or other assets excluding my primary residence, is in excess of $1 million.
My individual annual income was in excess of $200,000 in each of the two most recent years and I expect such income in the current year.
My income jointly with my spouse is in excess of $300,000 in each of the two most recent years and I expect such income in the current year.
I represent a legal entity and all of the entity’s equity owners meet at least one of the three tests listed above.
I hereby affirmatively represent that I am an accredited investor as defined in SEC Rule 501 under Regulation D for one or more of the forgoing reasons which I decline specifically due to issues of financial privacy.
I am not an accredited investor under the foregoing definitions, but am nevertheless sophisticated, have the ability to protect my own interests, and am well versed in understanding, choosing, and maintaining my own investments.
I am not an accredited investor under the foregoing definitions, and am unsure whether I have the ability to protect my own interests by understanding, choosing, and maintaining my own investments.

Suitability

Liquidity Needs (e.g. Some of our funds do not permit liquidity) *
I will need access to all of my investment before the end of the term.
I will need access to some of my investment before the end of the term.
I do not anticipate needing access to my investment during the initial term.
Previous Investment Experience *
Decision Making *
I rely on an investment advisor or professional for all my investment decisions.
I consult with an investment advisor or professional, but make my own investment decisions.
I rely on my own investment knowledge and skillset to make my own investment decisions.
Who should we send the Application Packet to? *
To me
To my Financial Rep/Advisor/Broker (below)

Prospective Investment

In a few words, why is deeproot Funds right for your investment objectives or goals? *

Your Infomation