EFTA01477330.pdf

> 75% Pipeline Opportunity Name Relationship Name Customer Name Close Date (%) Product Name Actual Assets Structure BPS/Flat Fee Actual Revenue Sales Team Member Estimated Mo nth I 2015 Est 2015 Rev Est 2016 Rev Banking ELYSIUM MANAGEMENT RELATIONSHIP Black, Leon D. 3/31/2016 90 Private Wealth Premi um Checking 25000000 BPS 40 100000 0 IF(H2="BPS",J2*(L2/12),J2)=0 IF(H 2="BPS",J2,0)=100000 Brokerage THIRD LAKE CAPITAL RELATIONSHIP WANEK TRUST OF 2000 3/31/2016 90 Brok erage (Commissions) 5000000 BPS 5 2500 Morris 0 IF(H3="BPS",J3*(L3/12),J3)=0 IF(H3="BPS",J3,0)=2500 JTWROS Brokerage THIRD LAKE CAPITAL RELATIONSHIP Wanek, Karen A. 3/31/2016 90 Brok erage (Commissions) 5000000 BPS 20 10000 Morris 0 IF(H4="BPS",J4*(L4/12),J4)=0 IF(H4="BPS",J4,0)=10000 Real Estate Opportunity 54 MADISON PARTNERS RELATIONSHIP 54 Madison Partners 3/31/2016 75 U.S. Structured Lending (Secured) 150000000 BPS 550 12000000 Morr is 0 0 J5=12000000 KCP ELYSIUM MANAGEMENT RELATIONSHIP Black, Leon D. 3/31/2016 75 Brokerage (Commissio ns) 50000000 BPS 5 25000 Morris 0 0 J6=25000 ro erage •UTHERN FINAN L RELATION HIP ratitu•e erica ro erage (Asset-Based Fees) - Advisor Select 10000000 BPS 20 20000 Morris 0 IF(H15="BPS",J15*(L15/12),J15)=0 IF(H15="BPS",J15,0)=20000 Additional Banking SOUTHERN FINANCIAL RELATIONSHIP Southern Financial LLC 3/31/2016 75 Private Wealth Premium Checking w/Interest 50000000 BPS 20 100000 Morris 0 IF(H16="BPS",J16*(L16/12),J16)=0 IF(H16="BPS",J16,0)=100000 SUM(G2:G16)=433000000 SUM(J2:J16)=26437500 SUM(M2:M16)=400000 SUM(N2:N16)=26037500 EFTA01477330 Full Pipeline Opportunity Name Relationship Name Customer Name Close Date (%) Product Name Actual Assets Structure BPS/Flat Fee Actual Revenue Sales Team Member Real Estate Opportunity 54 MADISON PARTNERS RELATIONSHIP 54 Madison Partners 3/31/2016 75 U.S. Structured Lending (Secured) 150000000 BPS 550 12000000 Stew art Oldfield Ban ng N ac , Leon D. Private Wea th Premi um Checking 25000000 BPS 40 100000 Paul Morris KCP ELYSIUM MANAGEMENT RELATIONSHIP Black, Leon D. 3/31/2016 75 Brokerage (Commissio ns) 50000000 BPS 5 25000 Paul Morris Cash Management ELYSIUM MANAGEMENT RELATIONSHIP Elysium Management 3/31/2016 50 U.S. IA - RCM 50000000 BPS 25 125000 Paul Morris Proxy Hedge ELYSIUM MANAGEMENT RELATIONSHIP Elysium Management 3/31/2016 10 Deri vatives (Equity - Option) 250000000 BPS 100 2500000 Paul Morris Introduction ELYSIUM MANAGEMENT RELATIONSHIP AP Investco LLC 3/31/2016 0 0 Paul EFTA01477331 EFTA01477332 EFTA01477333 Brokerage SOUTHERN FINANCIAL RELATIONSHIP Gratitude America 3/31/2016 75 Brok erage (Asset-Based Fees) - Advisor Select 10000000 BPS 20 20000 Paul Morris Additional Banking SOUTHERN FINANCIAL RELATIONSHIP Southern Financial LLC 3/31/2016 75 Private Wealth Premium Checking w/Interest 50000000 BPS 20 100000 Paul Morris DPM SOUTHERN FINANCIAL RELATIONSHIP The Haze Trust 3/31/2016 50 U.S. IA - Equity 25000000 BPS 35 87500 Paul Morris Structured Credit SOUTHERN FINANCIAL RELATIONSHIP Southern Financial LLC 3/31/2016 10 U.S. Letter of Credit 50000000 BPS 300 1500000 Paul Morris Brokerage THIRD LAKE CAPITAL RELATIONSHIP WANEK TRUST OF 2000 3/31/2016 90 Brok erage (Commissions) 5000000 BPS 5 2500 Paul Morris JTWROS Brokerage THIRD LAKE CAPITAL RELATIONSHIP Wanek, Karen A. 3/31/2016 90 Brok erage (Commissions) 5000000 BPS 20 10000 Paul Morris CMBS THIRD LAKE CAPITAL RELATIONSHIP Third Lake Capital 3/31/2016 50 Commercial R eal Estate 20000000 Flat Fee 30000 30000 Paul Morris SOF III THIRD LAKE CAPITAL RELATIONSHIP Third Lake Capital 3/31/2016 50 Brokerage (A sset-Based Fees) - Advisor Select 20000000 BPS 5 10000 Paul Morris Leveraged Loan/Real Estate Lending THIRD LAKE CAPITAL RELATIONSHIP Third Lake Capital 3/31 /2016 50 Commercial Real Estate 50000000 Flat Fee 3000000 3000000 Paul Morris KCP Private Markets THIRD LAKE CAPITAL RELATIONSHIP Third Lake Capital 3/31/2016 50 Private Equity Funds 15000000 BPS 150 225000 Paul Morris Banking THIRD LAKE CAPITAL RELATIONSHIP WANEK TRUST OF 2000 3/31/2016 50 Private Weal th Premium Checking 10000000 BPS 40 40000 Paul Morris HF Secondaries THIRD LAKE CAPITAL RELATIONSHIP Third Lake Capital 3/31/2016 25 Hedg e Funds 25000000 Flat Fee 125000 125000 Paul Morris Banking Products THIRD LAKE CAPITAL RELATIONSHIP Todd and Karen Wanek Marital Property Trust 3/31/2016 25 Private Wealth Premium Money Market 10000000 BPS 40 4000 0 Paul Morris Cash Management THIRD LAKE CAPITAL RELATIONSHIP Third Lake Capital 3/31/2016 10 U.S. IA - Fixed 100000000 BPS 25 250000 Paul Morris Banking THIRD LAKE CAPITAL RELATIONSHIP SSW 2007 LLC 3/31/2016 10 Private Wealth Premi um Money Market 50000000 BPS 40 200000 Paul Morris Fixed Income THIRD LAKE CAPITAL RELATIONSHIP Third Lake Capital 3/31/2016 10 U.S. -. :- lIIi EFTA01477334 EFTA01477335 Paul 25 Customer Name Last Call Note Customer Number Status Relationship Tier Rel. Net Worth Rela tionship Investable Assets (Est.) Revenue Potential ISM per annum) Last Modified Date Last Activit Date Date Contacted Category Notes EFTA01477336 Stew 25 Customer Name Last Call Note Customer Number Status Relationship Tier Rel. Net Worth Rela tionship Investable Assets (Est.) Revenue Potential ($M per annum) Last Modified Date Last Activity Date Date Contacted Category Notes 54 MADISON PARTNERS RELATIONSHIP 00000520240 Active Tier 1 H EFTA01477337 Clients Customer Name Last Call Note Customer Number Status Relationship Classification Last Modifie d Date Category THIRD LAKE CAPITAL RELATIONSHIP 10 1 2014 Active Tier 2 9 20 2015 ELYSIUM MANAGEMENT RELATIONSHIP Active Tier 2 9/20/2015 SOUTHERN FINANCIAL RELATIONSHIP Active Tier 1 10/19/2015 EFTA01477338 Prospects Customer Name Last Call Note Customer Number Status Relationship Classification Last Modifie d Date Cate•or EFTA01477339 EFTA01477340 EFTA01477341