AIS Transfer Instructions

Please note that ATEL's transfer agent, Conduent, processes all transfer/re-registration requests. Conduent charges industry standard fees for this service depending on the type of transfer/re-registration. To initiate a transfer/re-registration, complete the appropriate form(s) along with other required items listed below and mail the form(s) to Conduent. Once Conduent receives the form(s) and the appropriate transfer fee according to the type of transfer/re-registration they will process in full. All distribution instructions for the new registration are required to be provided in order to complete the process requested. Any required documents missing or information not provided could result in a delay in the process.

Custodian Changes

Transfers involving a change in custodian, usually a qualified plan custodian (ie: Merrill Lynch Custodian FBO Dean Cash IRA to Prudential Securities Custodian FBO Dean Cash IRA).

Charge to transferring investor: $10.00.


Transfers involving a re-registration of units from one type of account to another type utilizing the same tax ID number (ie: Individual to Joint account) and TOD. Excludes transfers to trust accounts.

Charge to transferring investor: $50.00.


Transfers involving a sale of units from one registration to a new registration (Includes price per unit paid to seller).

Charge to transferring investor: $50.00.

Transfers by Rule of Law

Transfers involving legal documents such as death, divorce, dissolving pension plan or profit sharing plan and bankruptcy.

Charge to transferring investor: $50.00.

Other Transfers

Transfer involving name changes, transfer to trust, gifts, re-registrations to a new tax ID number.

Charge to transferring investor: $50.00.

MEDALLION® Signature Guarantee

EACH signature must be guaranteed by a member of an approved MEDALLION® Signature Guarantee Program; required on all transferor and transferee applications.

Mail Transfer Requests To:

ATEL Investor Services
C/O Conduent Securities Services
1702 N. Collins Blvd
Richardson, Texas 75080


Death of a joint tenant and tenants in entirety (into an individual account):

The below items may be required in order to process the transfer

Death of an individual, community property, and tenants in common:

The below items may be required in order to process the transfer

Death of a trustee:

The below items may be required in order to process the transfer

  • Original certified death certificate
  • Portion of the trust stating that upon the death of one co-trustee the other can act alone or becomes sole trustee (title and signature pages as well)
  • W9 if taxpayer identification number is changing (i.e. husband is deceased and identification number is to be changed to the wife's)
  • MEDALLION® Signature Guarantee required

When (1) a sole trustee dies, (2) remaining co-trustee wants to change the registration completely or (3) adding a substitute co-trustee

The below items may be required in order to process the transfer


Sale through a secondary Market

The below items may be required in order to process the transfer

  • Power of Attorney documents (this form gives the secondary market the authority to sign our documentation on behalf of the investor). Investors signatures must be Medallion signature guaranteed.
  • Corporate Resolution
  • Department of Corporations (DOC) approval if necessary (see DOC instructions).
  • MEDALLION® Signature Guarantee required

Sale directly between two parties:

The below items may be required in order to process the transfer


When there is no money, or other consideration, exchanged between two parties:


When a divorce decree is received and the account is being transferred from joint name to individual name:

The below items may be required in order to process the transfer

  • Divorce decree - original certified court order that must clearly specify the ATEL units being transferred and the transferee name
  • W9 if taxpayer identification number is changing
  • MEDALLION® Signature Guarantee required

Request for a transfer dur to divorce without a decree:

The below items may be required in order to process the transfer


Transfer from an individual (or various other registration types) into a trust:


Transfer between custodians keeping the registration type the same (i.e. IRA, pension or profit sharing plan):

  • MEDALLION® Signature Guarantee required
  • Change of ownership type within the same custodian just needs to be requested by the custodian by LETTER OF INSTRUCTION with the appropriate signatures.

Privacy Policy

ATEL values the trust you have placed in us. As a part of our relationship, we respect and acknowledge your privacy. Regulations issued by the Federal Trade Commission and the Securities and Exchange Commission require that ATEL and its affiliates (together, the “ATEL Companies”) and each of the investment programs sponsored and managed by the ATEL Companies (the “Funds”), provide the Funds’ investors with written notice of their policies and procedures for disclosure of the investors’ non-public personal information. Our policies relating to disclosure of your non-public personal information are as follows:

  1. We collect non-public personal information about you from the following sources:

    • Information we receive from you on applications or other forms,
    • Information about your transactions with us, our affiliates, or others, and
    • Information we receive from a consumer reporting agency.
  2. We do not disclose any non-public personal information about Fund investors or former investors to anyone, except as permitted by law.
  3. We restrict access to non-public personal information about you to employees and agents of ATEL who need to know that information to provide services to you and the Fund in which you have invested, and require that all such employees and agents adhere to our privacy policy. Furthermore, ATEL has confirmed that each provider of administrative services to the Funds is also governed by the FTC and/or SEC privacy rules and will maintain a similar policy with regard to protecting the privacy of your non-public personal information.
  4. We maintain physical, electronic, and procedural safeguards that comply with federal standards to guard your non-public personal financial information.
  5. We will not permit any ATEL Company which has no prior business relationship with you to market its products or services to you based on information another ATEL Company may collect from you, including, but not limited to, information concerning your income and net worth, your credit score and your account history with the ATEL Company.

If you have any questions about these policies or our use, maintenance and disclosure of your non-public personal financial information, please contact our Investor Services Department at (800) 543-2835, ext. 3. We are required by law to inform you of our privacy policy once a year. Please note that this is not a request for an “opt out” statement from you; the above stated policies are the policies in place at this time.