CE/CPE Details
Organization Status Course/Sponsor ID Category
NASAA Approved — 2 live credits C82553 Products and Practice
IWI Submitted; approval pending 26A4AI31719 Retirement Planning
NASBA QAS CPE Provider 123362 Taxes
CFP Board Active — 2 live CE hours 355056 Retirement Savings and Income Planning

Last updated November 6, 2026

Self-Directed IRAs: Rules, Risks and Planning Strategies

Wednesday, November 18, 2026 | 5–7 p.m. ET | Live webinar

Two live hours. Just $39.99.

Learn how financial advisors can evaluate self-directed IRAs and their role in client planning from Mat Sorensen, J.D., who cofounded a trust company to provide custody services of self-directed IRAs to independent financial advisors in 2018, received an average rating of 4.8-stars and rave reviews for his first SDIRA class, delivers a two-credit/hour encore. 

The first 55 minutes of the live class reviews:

  • account structures
  • responsibilities of owners and custodians
  • investment due diligence
  • prohibited transactions

Participants compare traditional IRA, Roth IRA and self-directed solo 401(k) structures while considering taxes, fees, leverage and liquidity. 

The second 55-minutes examine

  • recent developments
  • emerging strategies
  • choice between retirement-account and taxable ownership of private investments

Client examples illustrate the valuation, distribution and inheritance issues that can arise when retirement accounts hold illiquid assets. 

Participants apply a decision framework to assess potential benefits, identify risks and determine when additional tax or legal expertise is needed.

Two parts, one live class

Part 1: Updated overview and fundamentals. Account structures, custody and advisor responsibilities; investment due diligence; prohibited transactions; tax exposure and liquidity.

Part 2: Recent developments and strategies. Effective requirements versus proposals, private-asset ownership, financing and tax exposure, valuation, distributions, inheritance and a client decision framework.

Skills for evaluating self-directed IRAs

  • Explain the roles of the account owner, custodian and advisor in a self-directed IRA.
  • Compare traditional IRA, Roth IRA and self-directed solo 401(k) structures for a client’s proposed investment.
  • Identify the custody, fee and due-diligence information needed before an SDIRA investment.
  • Recognize transactions or relationships that require prohibited-transaction analysis.
  • Assess how leverage, operating income and illiquidity affect an SDIRA investment decision.
  • Distinguish effective requirements from proposals when evaluating recent SDIRA developments.
  • Compare taxable, traditional IRA and Roth ownership for a proposed private-asset strategy.
  • Analyze a current SDIRA strategy using its financing, fees, tax exposure and withdrawal restrictions.
  • Determine the valuation evidence and liquidity needs for a private asset held through distributions or inheritance.
  • Apply an SDIRA decision framework to a client case using benefits, risks and implementation constraints.

Who should attend

Investment adviser representatives and financial advisors. Intermediate level, with a foundational review. Familiarity with basic IRA concepts is recommended. No advance preparation.

Planned instruction: 110 minutes within the two-hour event. General Q&A, administration and transitions are excluded from instructional time.

NASAA does not endorse any particular provider of CE courses. The content of the course and any views expressed are my/our own and do not necessarily reflect the views of NASAA or any of its member jurisdictions.

For refunds, cancellations, complaints or support, contact [email protected].

★★★★★★

4.75/5 from verified course completers

Previous SDIRA class • Live and self-study

Reviews of the previous SDIRA class

Feedback from the June 24, 2025 live class and its self-study version. Comments have been edited for spelling, punctuation and grammar without changing their meaning.

Live survey comments

  • 5/5 Very informative course!
  • 5/5 Please reformat your platform so we know which questions we got right and wrong. Thank you.
  • 5/5 Mat did a great job of simplifying a very complex area.
  • 5/5 Great information! Thanks for bringing up a lot of uses as well as the technicalities.
  • 5/5 Thank you.
  • 5/5 Thank you!
  • 5/5 Thanks!
  • 5/5 Well done, and the instructor was not afraid to get into the more advanced aspects.
  • 5/5 Good job—lots of good information.
  • 5/5 All good.

Self-study survey comments

  • 5/5 Very informative.
  • 2/5 This feels more like a selling opportunity and bragging about his success.
  • 5/5 Interesting class.
  • 5/5 Very informative.
  • 3/5 It was good.
  • 5/5 Good course.
  • 5/5 Excellent choice of subject and content!
  • 5/5 Good class on ethics.
  • 4/5 A touch too much self-promotion.
  • 5/5 Great course and amazing investment ideas.
  • 5/5 The instructor took a complex subject and presented it in easy-to-learn pieces. Interesting and informative.
  • 5/5 Engaging content!
  • 5/5 The instructor covered many important points in the hour.
  • 5/5 Great information.
  • 5/5 Good content.
  • 4/5 Good course.
  • 5/5 Enjoyed the class very much.
  • 5/5 We do not offer private investing at my firm, but we get asked about it a lot. Very useful information.
  • 5/5 Great Job.
  • 5/5 I have been in the investment business for years and had no idea how popular self-directed IRA options are!
  • 5/5 Great class.
  • 5/5 Engaging.
  • 4/5 I'd prefer to be able to read a transcript of the video as well as watch it.
  • 5/5 Great course!
  • 5/5 Good course.
  • 5/5 Great information.
  • 5/5 Good.
  • 5/5 Thank you. Please report my score to FINRA.
  • 4/5 The course was very good but somewhat wordy, and it could have been condensed to save some time. I did like the content and the presenter otherwise.
  • 5/5 Thanks.
  • 5/5 Good.
  • 5/5 Thanks.
  • 5/5 Highly informative.
  • 5/5 Great material, well presented.
  • 5/5 Excellent course material on a subject and precautions I needed to be aware of. Good job.
  • 5/5 This is an outstanding course. It is authoritatively, technically and excellently presented.
  • 5/5 Great information.
  • 5/5 Thanks.
  • 5/5 Thank you so much!!
  • 5/5 Very professional.
  • 5/5 Informative.
  • 5/5 Helpful information.
  • 5/5 Great course. This is a unique topic that does not get much coverage.
  • 5/5 Mat Sorensen really knows his stuff. Thank you for this course.
  • 5/5 Great course!
  • 5/5 Good.
  • 5/5 Well presented and easy to follow. I enjoyed the session.
  • 5/5 Great content.
  • 5/5 A ton of great information packed into the hour!
  • 5/5 Very interesting, I plan on learning more about this topic.
  • 5/5 Nicely presented, clear and educational.
  • 4/5 I learned some new things.
  • 4/5 Good content on SDIRAs.
  • 5/5 Great information.
  • 5/5 High-level, informative and useful.
  • 4/5 Good explanation of a complex subject.
  • 5/5 Very good.
  • 5/5 Great information, great class.
  • 5/5 Thanks!
  • 5/5 Very informative.
  • 5/5 Thanks for the new asset class!
  • 5/5 Good content.
  • 4/5 OK, but it needs more detail.
  • 3/5 Good.
  • 5/5 Excellent presentation.
  • 5/5 Very informative.
  • 5/5 Great course.
  • 5/5 Nice job.
  • 5/5 Good information.
  • 5/5 Very Interesting.
  • 5/5 Good course.
  • 5/5 Amazing content.
  • 5/5 Great webinar.
  • 5/5 Thank you.
  • 4/5 I enjoyed learning about this IRA investment strategy and the complexities to be aware of.
  • 5/5 Very useful.
  • 5/5 Helpful.
  • 4/5 This course was labeled “AI for Investment Advisors and CPAs” but turned out to be “IRA CE: Self-Directed IRAs.” I took the course anyway. Please correct the link in the dashboard. Thanks.
  • 5/5 Great.
  • 5/5 No comments—thank you!
  • 5/5 No comments. Good course.
  • 5/5 Good class.
  • 3/5 A good introduction.
  • 5/5 Great course.
  • 5/5 Thanks!

Additional written course reviews

These public course reviews are separate from the survey-based rating above.

  • 4/5 Don’t know how you would shorten it. Somewhat complicated but thought-provoking.
  • 5/5 Great content. Great content.
  • 5/5 Great CE course. Good idea for high-net-worth client acquisition.

About the Instructor

Mat Sorensen, J.D.

CEO

Mat Sorensen, JD, owns Directed Trust Company, and has 20 years of experience in self-directed IRAs. a fraud-ridden, highly-technical, tax-advantaged vehicle for diversifying into alternative asset classes.