What to do when a Dodge & Cox account holder dies
Contact Dodge & Cox's Inheritance & Estate Services — 8-step process, 10 required documents, and per the inheriting an account center, the life events transition team typically completes the transfer within 1-2 weeks after it reviews the paperwork. gathering the death certificate, the medallion signature guarantee, and any court appointment or state inheritance tax waiver usually takes longer than the review itself. probate-dependent claims vary based on court proceedings.
Client Services (shareholder servicing for direct-held Fund accounts, operated by the Funds' transfer agent SS&C GIDS, Inc.)
Dodge & Cox Funds, P.O. Box 219502, Kansas City, MO 64121-9502
Inheritance & Estate Services
Dodge & Cox Funds, P.O. Box 219502, Kansas City, MO 64121-9502
Client Services -- Inheritance Claims / Death Notification, routed to the Life Events Transition Team (call (800) 621-3979 Option 6 -- Dodge & Cox does not publish a dedicated fax or email for death claims)
Dodge & Cox Funds, P.O. Box 219502, Kansas City, MO 64121-9502 (Express: 801 Pennsylvania Ave, Suite 219502, Kansas City, MO 64105-1307)
After an account holder at Dodge & Cox dies, accounts with beneficiary designations or trust ownership transfer to the designated recipients without probate. Solely-owned accounts require the estate's representative to contact Dodge & Cox's Client Services -- Inheritance Claims / Death Notification, routed to the Life Events Transition Team (call (800) 621-3979 Option 6 -- Dodge & Cox does not publish a dedicated fax or email for death claims) at (800) 621-3979 with the proper legal authority documents.
Dodge & Cox offers an online claims portal that makes the initial filing process more straightforward. Survivors can also initiate claims by phone or by mailing documentation directly.
Death claim process
To file a claim after an account holder's death, here is what Dodge & Cox requires:
Filing a claim
- Completed Notification of Death form (submit online at https://www.secureaccountview.com/BFWeb/clients/dodgeandcox/notificationOfDeath or by mail)
- Certified copy of the death certificate
- TOD accounts: the named beneficiary provides death certificate and valid government-issued ID to receive assets, then completes the Inheritance Form (https://www.dodgeandcox.com/content/dam/dc/us/en/pdf/forms/dc_inheritance_form_fillable.pdf)
- IRA accounts with a named beneficiary: beneficiary completes the Inherited IRA Kit (https://www.dodgeandcox.com/content/dam/dc/us/en/pdf/forms/dc_IRA_inheritance_form_fillable.pdf) to elect distribution method
- Accounts without a beneficiary designation: provide Letters Testamentary or Letters of Administration from probate court
- Trust-titled accounts: the successor trustee provides death certificate, trust document, and trustee identification
- The executor, appointed representative, or beneficiary must obtain a Medallion Signature Guarantee in Part 3 -- a notary public cannot provide it; the guarantee must come from a bank, broker, or other institution participating in a Medallion program recognized by the Securities Transfer Association
- Submit a copy of the court appointment of the executor, personal representative, or administrator; that document must be received by Dodge & Cox within 180 days of its certification by the court
- If required by the law of the deceased account owner's state of residence, provide a state inheritance tax waiver (relevant for PA, NJ, and other inheritance-tax states)
- Inherited shares must be transferred within the same Fund; attach a completed Account Application if the recipient does not already hold that Fund, and a Redemption Request Form if the shares will be redeemed on transfer
Required Documents
- Certified death certificate
- Notification of Death form (submitted online at https://www.secureaccountview.com/BFWeb/clients/dodgeandcox/notificationOfDeath or provided by Dodge & Cox)
- Government-issued photo ID for the beneficiary, executor, or successor trustee
- Inheritance Form (https://www.dodgeandcox.com/content/dam/dc/us/en/pdf/forms/dc_inheritance_form_fillable.pdf) for claiming inherited Fund shares -- Part 3 requires a Medallion Signature Guarantee (notary not accepted)
- Medallion Signature Guarantee on the Inheritance Form, obtained from a bank, broker, or institution in a Securities Transfer Association Medallion program
- Copy of the court appointment of the executor/personal representative/administrator, received within 180 days of its court certification
- State inheritance tax waiver, if required by the deceased account owner's state of residence
- Inherited IRA Kit (https://www.dodgeandcox.com/content/dam/dc/us/en/pdf/forms/dc_IRA_inheritance_form_fillable.pdf) for IRA beneficiaries establishing an Inherited IRA
- Letters Testamentary or Letters of Administration (if no beneficiary designation and probate is required)
- Trust documents and trustee identification (if trust-titled account or trust is named beneficiary)
Claims Contact
What to know at this institution
Call (800) 621-3979 (Option 6) as the first step -- Dodge & Cox will walk you through the entire process. The Funds' transfer agent SS&C GIDS, Inc. provides an online Inheriting an Account center (secureaccountview.com) where beneficiaries can submit the Notification of Death form and use the Inheritance Assistance Tool to understand their options and required documentation. A Life Events Transition Team reviews the paperwork and processes the transfer, typically within 1-2 weeks of review. Transferring taxable Fund shares to an heir uses the Inheritance Form ("Instructions for Transferring Shares due to Inheritance," form code 3/26 D&C INHERITINST), which must NOT be used for IRAs. That form requires a Medallion Signature Guarantee in Part 3 -- a notary public cannot substitute -- and the court appointment of the executor/administrator must reach Dodge & Cox within 180 days of its court certification. Inherited shares transfer within the same Fund -- if the heir does not already own that Fund, an Account Application must accompany the Inheritance Form (opening the account in advance streamlines the transfer), and a Redemption Request Form is needed if the shares will be redeemed on transfer. The Inheritance Form's release runs in favor of Dodge & Cox, the transfer agent SS&C GIDS, Inc., and State Street Bank and Trust Company. A state inheritance tax waiver is required where the deceased's state of residence (e.g., PA, NJ) mandates one. Cost basis defaults to the fair market value on the date of death unless an alternate valuation date is documented. Inherited IRA beneficiaries must take distributions on time to avoid tax penalties and may be required to deplete the account within 5 or 10 years and/or take annual required minimum distributions (RMDs) under the SECURE Act. The Inherited IRA Kit and IRA Inheritance Guide are available under Resources > Forms and Guides. Dodge & Cox recommends consulting a tax or legal advisor before making investment decisions regarding inherited assets.
Prepare your letter of instruction to Dodge & Cox
Dodge & Cox provides its own letter-of-instruction form. Answer a few questions and we complete that official form for you to print and sign.
Build your letter of instructionProcessing timelines at Dodge & Cox: Per the Inheriting an Account center, the Life Events Transition Team typically completes the transfer within 1-2 weeks after it reviews the paperwork. Gathering the death certificate, the Medallion Signature Guarantee, and any court appointment or state inheritance tax waiver usually takes longer than the review itself. Probate-dependent claims vary based on court proceedings. Incomplete documentation is the most common cause of delays—submitting all required documents with the initial claim helps avoid additional processing time.
Documentation required by Dodge & Cox includes Certified death certificate, Notification of Death form (submitted online at https://www.secureaccountview.com/BFWeb/clients/dodgeandcox/notificationOfDeath or provided by Dodge & Cox), and Government-issued photo ID for the beneficiary, executor, or successor trustee, along with additional paperwork that varies by account type. All death certificates and court documents must be certified copies.
Frequently asked questions
For IRA accounts, download and complete the IRA Beneficiary Designation Form from dodgeandcox.com under Resources > Forms and Guides. For individual or joint taxable accounts, complete the Transfer on Death Beneficiary Designation Form. Mail the completed form to Dodge & Cox Funds, P.O. Box 219502, Kansas City, MO 64121-9502. You can also call (800) 621-3979 for assistance. A trust CAN be named as the beneficiary of any Dodge & Cox IRA -- an IRA cannot be retitled into a trust, but naming the trust as beneficiary lets IRA proceeds pass to it at death, subject to IRS distribution rules under the SECURE Act. Note the split: a trust may be an IRA beneficiary, but it may NOT be a TOD beneficiary on a taxable Fund account. Consult a tax or legal advisor before naming a trust as IRA beneficiary because of the impact on distribution timing, and review designations after major life events such as marriage, having children, or retirement.
A TOD registration lets you name beneficiaries on an individual or joint-tenant (with rights of survivorship) Dodge & Cox mutual fund account; on your death the shares transfer to the named beneficiaries without probate. Complete the Transfer on Death Beneficiary Designation Form from dodgeandcox.com under Resources > Forms and Guides. Per the transfer agent's TOD terms (governed by Massachusetts law, where the transfer agent SS&C GIDS is located), TOD is available only to natural persons -- you cannot name a trust, corporation, or association as a TOD beneficiary, and TOD is not available for tenants-in-common or community-property registrations. Minors may be named under UTMA but not UGMA. To pass these funds through a trust, retitle the account to the trust using the Change of Ownership Form. TOD beneficiaries have no account access during your lifetime.
Call (800) 621-3979 Option 6 to report a death and initiate the claim, or use the online Inheriting an Account center at https://www.secureaccountview.com/BFWeb/clients/dodgeandcox/inheritedAccount. Submit the Notification of Death form (online or by mail) with a certified death certificate. Then complete the Inheritance Form (for taxable accounts) or the Inherited IRA Kit (for IRA accounts) to transfer assets. TOD beneficiaries provide death certificate and ID. Trust-titled accounts require trust documentation and successor trustee identification. Accounts without a beneficiary designation require Letters Testamentary or Letters of Administration.
Yes. To transfer taxable Dodge & Cox Fund shares to an heir, the executor, appointed representative, or beneficiary completes the Inheritance Form ("Instructions for Transferring Shares due to Inheritance"), and Part 3 requires a Medallion Signature Guarantee. A notary public cannot provide it -- the guarantee must come from a bank, broker, or other institution that participates in a Medallion program recognized by the Securities Transfer Association. The form also asks for a copy of the court appointment of the executor or administrator, which must reach Dodge & Cox within 180 days of its court certification, and a state inheritance tax waiver if the deceased owner's state of residence requires one. This form is not used for IRAs -- IRA beneficiaries use the Inherited IRA Kit instead. Call (800) 621-3979, Option 6, to begin.
Dodge & Cox's Client Services -- Inheritance Claims / Death Notification, routed to the Life Events Transition Team (call (800) 621-3979 Option 6 -- Dodge & Cox does not publish a dedicated fax or email for death claims) can be reached by phone at (800) 621-3979 for questions throughout the claims process.
Multiple Dodge & Cox investment accounts may mean multiple claims. Some account types can be processed together, but others require their own documentation. Check with the Client Services -- Inheritance Claims / Death Notification, routed to the Life Events Transition Team (call (800) 621-3979 Option 6 -- Dodge & Cox does not publish a dedicated fax or email for death claims) to confirm what applies.
Sources
Data sourced from Dodge & Cox primary sources (16 pages reviewed). How we research.
Client Services (shareholder servicing for direct-held Fund accounts, operated by the Funds' transfer agent SS&C GIDS, Inc.)
Dodge & Cox Funds, P.O. Box 219502, Kansas City, MO 64121-9502
Inheritance & Estate Services
Dodge & Cox Funds, P.O. Box 219502, Kansas City, MO 64121-9502
Client Services -- Inheritance Claims / Death Notification, routed to the Life Events Transition Team (call (800) 621-3979 Option 6 -- Dodge & Cox does not publish a dedicated fax or email for death claims)
Dodge & Cox Funds, P.O. Box 219502, Kansas City, MO 64121-9502 (Express: 801 Pennsylvania Ave, Suite 219502, Kansas City, MO 64105-1307)
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