EFTA01255697.pdf

NAME SEARCHED : Zorro Management, LLC PWM BIS-RESEARCH performed due diligence research in accordance with the standards set by AML Compliance for your business. We completed thorough searches on your subject name(s) in the required databases and have attached the search results under the correct heading below. Significant negative media results may require escalation to senior business. Legal and Compliance management. Also, all accounts involving PEPs must be escalated. Search: Result: Click here for results: Reviewer Comments (as necessary): No Hit • Not Required RDC I. RDC Results No RDC alert (Please see attached) • lb, Hit 0 Not Required FIRCOSOFT II. FIRCOSOFT Resultg No FIRCOSOFT alert (Please sec attached) ®No E Hit There was no information found E Yes -r No HI. Negative Media 1315 ci Not Required IV. Non-Negative Media There was no information found V. Other Language Media There was no information found Results'? Er Yes El No Result found(Plcasc sec attached) D&B • Not Required D&B Result found( Please see attached) &narthex Results? Nj Yes 0 No • Not Required VII. Smanlinx 0 Review by Legal May There was no information found Court Cases be Required No Results VIII. Court Cases El 0 Search not required Prepared by: Datc:10/01/2018 Research Analyst Instructions: I. Review and confirm that all results are returned for your client. 2. Please note that you are still required to perform any Martindale-Flubhell search (if applicable) on each search subject. We have attached the web link below for your convenience:Martindale-Hubbellhttp://www.martindak.comhpfMartindak/home.xml 3. As needed, provide comment for any negative results. 4. If applicable, please obtain clearance from Compliance for all alerts. 5. Save any changes you make to this document and attach file to your KYC. Please note: Submission of a signed KYC is your confirmation that you have fully reviewed the research documents. For internal use only For internal use only SbNY0N1_00063559 CONFIDENTIAL — PURSUANT TO FED. Ft CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0026384 EFTA 00174067 EFTA01255697  OFAC RESULTS ROC: Country:VIRGIN ISLANDS, 111641131 Not Alerted KYC 01977695 Zorro Management, LLC U.S. FIRCOSOFT: Alert(s) Request ID Record ID Type Name Details ADM INT PEP SAE Zorro 29996810 WR_299968102182 Company Management, No Alert No Alert No Alert No Alert LLC BIS RESULTS Negative Media: There was no information found Non-Negative Media: There was no information found Other Language Media: There was no information found Public Records: 1 OF 1 RECORD(S) SmartLinx C) Comprehensive Business Report Report Created:10-01-2018 11.48 AM EST I FOR INFORMATIONAL PURPOSES ONLY I Copyright O 2018 LexisNexis, All rights reserved. Search Terms - company(Zorro Management. LLC) radius(15) Executives - Current (0) Incorporation/SOS (1) Operations/Sites (2) Sales (0) For internal use only For internal use only SDNY_GM_00063560 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0026385 EFTA_00I 74068 EFTA01255698  Page 2 Licenses (0) URLs (0) Real Property - Current (0) Real Property - Prior (0) MVRs - Current (0) MVRs - Prior (0) Watercraft - Current (0) Watercraft - Prior (0) Aircraft - Current (0) Aircraft - Prior (0) Bankruptcy Filings (0) Judgmerts & Liens Filings (0) UCC Filings (0) Execttives - Prior (2) Registered Agents (1) Name Variations (1) Possible Employees (1) Person Associates (0) Business Associates (0) TINs (1) Possible Connected Parent Company (0) Industry Information (1) Business (1) View All Sources (4) Business Summary Name Address Phone ZORRO MANAGEMENT, LLC 616 Texas St Fort Worth. TX 76102-4612 Tarrant County LexID Established TIN 0446-0856-1391 2014 20-5444444 (4 Years in Business) At a Glance Real Property 0 UCC Debtor 0 Personal Property 0 Bankruptcy 0 Secured Assets 0 Judgments/Liens 0 Executives 0 Foreclosure/Notice of Default 0 Name Variations -1 name variations found NO. NAME ZORRO MANAGEMENT, LLC TINs -1 TINs found NO. TIN NAME 1. 20-5444444 ZORRO MANAGEMENT LLC Business Profile Executives: Current - 0 executive(s) found Inco oration/SOS 1 active, 0 other) NO. NAME FILING TYPE STATUS FILING FILING NO. STATE DATE 1. ZORRO ACTIVE 06/25/2014 0802015250 TX MANAGEMENT, LLC Additional Details Business Status: ACTIVE Filing Type: CREATION For Profit: Unknown Origin: State of TX Filing History (most recent two years) Filing Date Description 05/3012018 PUBLIC INFORMATION REPORT (PIR) 12/31/2017 PUBLIC INFORMATION REPORT (PIR) 11/17/2017 PUBLIC INFORMATION REPORT (PIR) 05/10/2017 PUBLIC INFORMATION REPORT (PIR) 12/31/2016 PUBLIC INFORMATION REPORT (PIR) For internal use only For internal use only SDNY_GM_00063561 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0026386 EFTA_00I 74069 EFTA01255699  Page 3 OperatingLocations - Showing 2 location(s) NO. ADDRESS METRO AREA PHONE 1. 616 Texas St Fort Worth-Arlington, Fort Worth, TX 76102-4612 TX Tarrant County 2. 18 Valley Ridge Rd Fort Worth-Arlington, Fort Worth, TX 76107-3111 TX Tarrant County Sales - 0 record(s) found Parent Company - 0 record(s) found Industry Information SIC NAIC 8741 Management Services 561110 I Office Administrative Services Industry Description: SERVICES Business Description: Licenses - 0 licenses found URLs - 0 URLs found Bankruptcy (0 active, 0 closed) Judgments/Liens (0 filings) UCC Filings (0 debtor, 0 creditor) Real Property (0 current, 0 prior) Personal Property (0 current, 0 prior) Associates Executives: Prior - 2 prior executive(s) found NO. NAME TITLE 1. Hudson. Betty C MEMBER It Associated with Other Companies 2. Hudson. William All MEMBER Registered Agents -1 registered a ent s found NO. NAME ADDRESS STATE DATE S 1. Hudson. William A II Texas 06/24/2014 - 05/312018 Possible Employees - 0 current, 1 prior employees found NO. NAME ADDRESS STATUS DATE S 1. Nobles, Donna Prior MANAGER 06/24/2014 For internal use only For internal use only SDNY_GM_00063562 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0026387 EFTA_00I 74070 EFTA01255700  Page 4 Person Associates - 0 other person associates found Possible Connected Business -1 businesses found NO. NAME ADDRESS 1. CORNERSTONE PROJECT MANAGEMENT 1469 Humboldt Rd Ste 100 Chico, CA 95928-9203 Butte County Business Associates - 0 business associates found Sources All Sources 4 Source Documents Corporate Filings 1 Source Documents Other Directories 2 Source Documents Experian 1 Source Documents Key: AHigh Risk Indicator. These symbols may prompt you to investigate further. / Moderate Risk Indicator. These symbols may prompt you to investigate further. t General Information Indicator. These symbols inform you that additional information is provided. Al The most recent telephone listing as reported by Electronic Directory Assistance. 0 Wireless Phone Indicator. These symbols indicate a cell phone number. 8 Residential Phone Indicator. These symbols indicate a residential phone number. Business Phone Indicator. These symbols indicate a business phone number. Shared Phone Indicator. These symbols indicate the phone number may be shared between wireless and landline service. FAX Indicator. These symbols indicate a FAX number. Goverment Phone Indicator. These symbols indicate a government phone number. Important: The Public Records and commercially available data sources used on repents have &tors. Data is sometimes entered poorly: processed iicortoctly ands generally not free from doled. This system should not be relied upon as definitively accurate. Before relying on any data this system supplies: it should be independently verified. For Secretary of Slate documents, the relating data Is for information purposes only and is not an official record. Certified copies may be obtained from that Sdifidual dates Department of State. Your DPPA Permissible use is: Debt Recovery/Fraud Your GLSA Permissible Use Is: Legal Compliance Copyright O 2018 Lexidlexis, a division of Reed Eh°,ier Inc. AI Rights Reserved. D&B: Copyright 2018 Dun & Bradstreet, Inc dun & bradstreet Worldbase For internal use only For internal use only SDNY_GM_00063563 CONFIDENTIAL - PURSUANT TO FED. 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R.CON(F IDENTIAL DB-SONY-0026390 EFTA_00I 74073 EFTA01255703