š DealMaker Shareholder Services (DMTA):
DealMaker offers full-service transfer agent support through DealMaker Shareholder Services (DMTA), a registered transfer agent that works with manyāthough not allācompanies on the DealMaker platform. This page is your comprehensive resource for understanding how your shares are held, what services are available, and how to manage your investment post-purchase.
š What Is a Transfer Agent?
A transfer agent is a regulated institution that maintains shareholder records for companies, handles the issuance and transfer of securities, and manages key post-investment actions like registration updates and statement generation.
Transfer agents ensure:
Accurate tracking of who owns a companyās securities
Timely issuance and updates to ownership records
Processing of changes like name updates, address changes, and beneficiary designations
DealMaker owns and operates its own transfer agent, DMTA, which is used by manyābut not allāissuers on the platform.
š§¾ Is DMTA My Transfer Agent?
Not every investment made through DealMaker is managed by DMTA. To confirm who your transfer agent is:
Use DealMakerās 24/7 support bot in your investor dashboard
Review your Engage Portal if applicable
Check emails from DealMaker after the deal closes
If DealMaker Shareholder Services was engaged as the transfer agent on the offering, or if the issuer had uploaded your DRS statement on the DealMaker portal, you can obtain a copy with the following steps.
Log in to your DealMaker account (https://app.dealmaker.tech/users/sign_in) to access your Dashboard. If you havenāt set a password yet, use the email invitation link located in any of the DealMaker emails to be redirected to the portal.
From your Dashboard, scroll down to the āMy Companiesā section, and click on āView My Documentsā under the company that you wish to obtain a copy of your DRS statement
Navigate to the āInvestmentsā tab. If your DRS statement is available, you would see it listed here. Click on the relevant document you wish to download.
From the preview window, click the download icon on the top right corner and save the document
š If your deal is supported by another transfer agent, your bot interaction will direct you to their contact information.
š Understanding Book-Entry Shares
Most DealMaker-managed shares are issued in book-entry form, meaning they are held electronically under your nameāno paper certificate is needed.
Book-entry keeps your shares secure, organized, and accessible
You will receive a book-entry statement confirming your ownership
There is no action required to receive this statementāit will be sent once shares are issued
š Statements can be found:
In your Engage Portal, if applicable
Delivered by email when issued
You should keep a copy of your book-entry statement for your personal records.
š¤ Can I Get a Physical Stock Certificate?
Most offerings do not issue physical certificates. Instead:
Shares are issued in book-entry form
This is more secure and easier to manage
If a certificate is absolutely required (e.g., for estate purposes), you may contact DMTA to inquireābut additional fees, delays, or documentation may apply.
š¼ Moving Shares to a Brokerage (DRS Transfer)
If youād like to hold your shares in your brokerage account:
Confirm that your shares are eligible for Direct Registration System (DRS) transfer
Contact your brokerage and request a DRS transfer initiation
Contact DMTA (or your listed transfer agent) with your DRS request form
Most brokerages require the following:
The full name the shares are registered under
The CUSIP number (if applicable)
Your book-entry statement
Note: Not all issuers register with DTC, so DRS eligibility is determined on a per-company basis.
š Updating Share Registration
You may need to update your name, address, or account type due to a legal name change, marriage, trust reorganization, or correction.
To do this:
Submit a support request through your DealMaker dashboard
Provide legal documentation if required
DMTA will review and confirm the changes once processed.
Changes are only possible before shares are transferred or re-issuedāplease act promptly if corrections are needed.
šŖ Adding a Beneficiary
DealMaker does not have the option to assign beneficiary designations that enable automatic transfer upon death, Transfer-on-Death. However, DMTA can add the beneficiary to the account registration as a joint holder. Upon the death of the primary account holder, the surviving joint holder must formally initiate the transfer upon death process to assume sole ownership of the shares.
š CUSIP Numbers and Securities Identification
A CUSIP is a unique identifier for publicly traded securities. Not all private offerings have a CUSIP.
If your company has one, you can typically find it on:
Your book-entry statement
Your brokerageās interface (if shares are held there)
Or by contacting the issuer
š¦ IRA & Custodial Account Support
If your shares are registered to an IRA, trust, or custodial account, DMTA can help update or transfer ownership in compliance with IRS rules.
Requests must come from the account custodian or authorized representative
Supporting documents (e.g., trust agreements, account letters) may be required
š¬ Receiving Tax Documents (1099s, K-1s)
DealMaker and DMTA do not issue tax forms directly unless they are the administrator of record.
To find your tax forms:
Check your Engage Portal or email notifications from the issuer
Contact the issuerās tax administrator for K-1s (common in LLCs and partnerships)
Use your investor dashboard for document delivery links
1099s are typically issued by payment processors, escrow agents, or the issuer directly.
š Transferring Your Securities
You may transfer your shares to another individual or entity, subject to issuer approval.
Typical steps:
Submit a share transfer request through DMTA or the listed transfer agent
Provide all required documentation (e.g., new registration info, legal documents)
Pay any applicable transfer fees
Some transfers (such as gifting, divorce, or estate settlements) may require notarized affidavits.
š§ Self-Service Shareholder Actions
DMTA supports a range of shareholder actions that can be initiated through your dashboard or by submitting a support request:
Name or address change
Add or update brokerage delivery information
Request book-entry statements
Initiate DRS transfers
Submit beneficiary updates
These services are designed to streamline post-investment account maintenance and reduce support friction.
š How to Contact the Transfer Agent
If youāre unsure who your transfer agent is:
Use the 24/7 support bot in your DealMaker dashboard
Refer to the issuer contact listed in your investment details
Check for post-close emails with DMTA links
If DMTA is your transfer agent, all requests can be initiated directly through the DealMaker Help Center.