EFTA01475372.pdf

Pipeline Summary Opportunity Name Customer Name Close Date (t) Product Name Actual Assets Stru cture BPS/Flat Fee Actual Revenue Sales Team Member Additional Brokerage Southern Financial LLC 3/31/2015 75 Brokerage (Commissions) 7500 0000 Flat Fee 2000000 2000000 Paul Morris Brokerage Account Southern Financial LLC 12/31/2015 75 Brokerage 10000000 BPS 20 20000 Paul Morris SSW 2007 LLC- SSW 2007 LLC 12/31/2015 75 Private Wealth Premium Money Market 5000 0000 BPS 40 200000 Paul Morris EFTA01475372 Paul 25 Customer Name Last Call Note Customer Number Status Relationship Classification Rel. Net Wor th Relationship Investable Assets (Est.) Revenue Potential ($M per annum) Last Modifie d Date Last Activity Date Date Contacted Forbes Ranking Category Notes EFTA01475373 EFTA01475374 Stew 25 Customer Name Last Call Note Customer Number Status Relationship Classification Rel. Net Wor th Relationship Investable Assets (Est.) Revenue Potential ($M per annum) Last Modifie d Date Last Activity Date Date Contacted Category Notes EFTA01475375 Clients Customer Name Last Call Note Customer Number Status Relationship Classification Last Modifie d Date Cate or SOUTHERN FINANCIAL RELATIONSHIP 00000483290 Active Tier 1 10/19/2015 EFTA01475376 Pospects Customer Name Last Call Note Customer Number Status Relationship Classification Last Modifie d Date Category EFTA01475377 EFTA01475378 EFTA01475379 Pipeline- Full Opportunity Name Customer Name Close Date (%) Product Name Actual Assets Stru cture BPS/Flat Fee Actual Revenue Sales Team Member KCP Private Markets Aspen Grove Capital, LLC 9/30/2015 25 Brokerage (Commissio ns) 15000000 BPS 5 7500 Paul Morris Benefit Street Partners- Benefit Street Partners 9/30/2015 25 U.S. Structured Lend ing (Secured) 30000000 BPS 100 300000 Paul Morris Art Lending Black, Leon D. 9/30/2015 50 U.S. Structured Lending (Secured) 2500 00000 BPS 100 2500000 Paul Morris KCP Black, Leon D. 12/31/2015 75 Brokerage (Commissions) 50000000 BPS 5 25000 Paul Morris Banking Black, Leon D. 12/31/2015 90 Private Wealth Premium Checking 50000000 BPS 40 200000 Paul Morris Credit Line Blue Mountain Capital Management, LLC 9/30/2015 25 U.S. Letter of Credi t 50000000 BPS 100 500000 Paul Morris Deposits Bommer, Scott 9/30/2015 25 Private Wealth Premium Checking 25000000 BPS 40 100000 Paul Morris Residential Mortgage Bommer, Scott 9/30/2015 25 Standard Mortgage - 5/1 Arm 2500 0000 BPS 100 250000 Paul Morris Bronfman, Edgar Bronfman, Edgar 9/30/2015 25 Private Wealth Premium Checking w/Interest 25000000 BPS 40 100000 Paul Morris Deposits Bryant Jr., Donald 9/30/2015 25 Private Wealth Premium Checking w/In terest 10000000 BPS 40 40000 Paul Morris Loan Bulloch, Roger 12/31/2015 10 U.S. Structured Lending (Secured) 20000000 BPS 100 200000 Stewart Oldfield Muni Portfolio Cavalry Portfolio Services, LLC 9/30/2015 10 Global Select - Fixed Income 25000000 BPS 50 125000 Paul Morris Banking Account Cavalry Portfolio Services, LLC 9/30/2015 25 Private Wealth Premium Check ing 50000000 BPS 40 200000 Paul Morris Brokerage Cavalry Portfolio Services, LLC 9/30/2015 25 Brokerage (Commissions) 1000 0000 BPS 5 5000 Paul Morris Real Estate Financing Chammah, Ezra 9/30/2015 25 Commercial Real Estate 25000000 BPS 120 300000 Paul Morris Brokerage Cross, Lisa 9/30/2015 10 Brokerage (Commissions) 75000000 BPS 5 37500 Paul Morris Share Collars Cummings, Ian 9/30/2015 50 Brokerage (Commissions) 5000000 Flat Fee 250000 250000 Paul Morris Deerpath Capital Management- Deerpath Capital Management 9/30/2015 10 U.S. Letter of Credit 30000000 BPS 100 300000 Paul Morris Margin Loan DF Enterprises 12/31/2015 50 U.S. Secured Lending (Lombard) 200000000 BPS 100 2000000 Paul Morris Proxy Hedge Elysium Management 12/31/2015 25 Derivatives (Equity - Option) 2500 00000 BPS 100 2500000 Jj Litchford Cash Management Elysium Management 12/31/2015 50 U.S. IA - RCM 50000000 BPS 25 125000 Paul Morris Credit Line Ergen, Charles 9/30/2015 25 U.S. Structured Lending (Secured) 3000 00000 BPS 100 3000000 Paul Morris Brokerage Ergen, Charles 9/30/2015 50 Brokerage (Commissions) 50000000 BPS 5 25000 Paul Morris Deposits Ergen, Charles 9/30/2015 50 Private Wealth Premium Checking w/Interest 50000000 BPS 40 200000 Paul Morris Estate of Gerard Basquiat- Estate of Gerard Basquiat 9/30/2015 10 U.S. Structu red Lending (Secured) 50000000 BPS 100 500000 Paul Morris KKR EverWatch Financial 12/31/2015 75 Private Equity Funds 5000000 Flat Fee 75000 75000 Paul Morris CLO 2 Falcon Trail Capital, LLC 6/30/2015 50 Derivatives (Equity - Swap) 5000 000 BPS 200 100000 Paul Morris CLO Falcon Trail Capital, LLC 6/30/2015 50 Derivatives (Equity - Swap) 5000 000 BPS 200 100000 Paul Morris Fitzgibbons, John- Fitzgibbons, John 9/30/2015 25 Standard Mortgage - Floating Arm 4000000 BPS 100 40000 Paul Morris Commercial Mortgage Fitzgibbons, John 9/30/2015 25 Commercial Real Estate 5000 000 BPS 100 50000 Paul Morris Airplane Loan Fitzgibbons, John 9/30/2015 10 U.S. Structured Lending (Secured) 10000000 BPS 100 100000 Paul Morris Structured Credit Fitzgibbons, John 12/31/2015 25 U.S. Letter of Credit 5000 0000 BPS 200 1000000 Paul Morris Gaslow, Lawrence- Gaslow, Lawrence 9/30/2015 50 Private Wealth Premium Check ing 25000000 BPS 40 100000 Paul Morris Gaslow, Peter- Gaslow, Peter 9/30/2015 50 Brokerage (Commissions) 25000000 BPS 5 12500 Paul Morris Ares CLO General Atlantic Family Office 9/30/2015 25 Structured Notes s Deposits (Equity) 3000000 Flat Fee 200000 200000 Paul Morris Gerschel, Patrick- Gerschel, Patrick 9/30/2015 25 Brokerage (Commissions) 1500 0000 BPS 5 7500 Paul Morris Commerical Real Estate Gottesman, Noam 12/31/2015 50 Commercial Real Estate 50000000 BPS 200 1000000 Paul Morris Brokerage Gratitude America 12/31/2015 75 Brokerage (Asset-Based Fees) - Advis or Select 10000000 BPS 20 20000 Paul Morris EFTA01475380 EFTA01475381 Suntex Southern Financial LLC 12/31/2015 25 Brokerage (Commissions) 5000000 Flat Fee 0 Paul Morris Brokerage Account Southern Financial LLC 12/31/2015 75 Brokerage (Asset-Based Fees) - Advisor Select 10000000 BPS 20 20000 Paul Morris EFTA01475382