EFTA00168815.pdf

KYC Print Page 1 of 18 DB PWM GLOBAL KYC/NCA: PART A KYC Case # : 01790739 Status : 6. Approved One sheet must be established per relationship - list all accounts included In the relationship 1. Relationship DetaNs Relabonship Name: SOUTHERN FINANCIAL RELATIONSHIP:00000483290 Booking Center: New York Relationship Manager: Stewart Oldbdd O New ROI Relationship RI Existng PWM Relationship Relationship to PWM: If existing, please indicate shoe when the relatiorship exists, provide reason for new profile and attach old profile: "'This KYC is a periodic review for hip risk remediation*•• Original KYC1346733 El Olent Referral 0 RM Prospect 0 Intermedary/FIM • Other Source (CI8, etc.) How Was the Oient(s) Introduced? How long has the RM personally known the Please provide details (e.g. name of referral source, how many years RM personaly has known dent, etc.): Jeffrey Epstein client? reached out to Stew Oldfield on 3/7/17 to have a new acct opened under Zorro Management LLC and add tno new signors to this new acct ork Does Deutsche Bank pay a O Yes 12 No retrocession or similar compensation to a third party for the introduction of this af Yes, asst e.. relabonship? list all existing and new accounS involved in this relationship Legal Entity Account Name / Number Opening Date (Intel-KW/actual) Account(s) I A Gratitude America, Ltd-44133251 2/18/2015 2 2 Neptune, LLC - Deposit-42953424 10/18/2013 3 e NES, LLC- Deposit-42953758 11/8/2013 Who is the primary contact person for the RM? (Note: Preferred method of contact This person needs to have Darren ThcbrIce (indicate phone no., fax no., signatory rights and/or e.mail address, etc.): information right for the accoLnis.): CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(0) DB-SDNY-0000195 U§19 2 8y1 ) 158 EFTA_00019068 EFTA00168815  KYC Print Page 2 of 18 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Grautude America, Ltd Acct. Number °lava/table)! 44133251 Account Manager: Paul Morris What is the purpose of the account (e.g. pcetfdio management, adveory account, custody services, long-term investment, payment/expense account)? Money market account to hold funds and earn interest Indicate from where the assets are expected to arrive? 2 08 Group: Sane Booking Center (indicate account number): 44133251 0 08 Group: Other Booking Center (indicate DB location and account details): 0 Other Insbtubon - (Indicate name B. location): 0 Physical Deposes (specify cash, secoAdes, cheques, ...): What is the expected size and frequency of regular Mows and oublows for the account (irder-ate esbmated number and volume per month)?: Roughly 1-3 inflows and outflows per month ranging from 510,003 to $100,000 What is the expected volume of assets and currency for the account approx. 90 days after 1339,273.79 !Currency opering? I USD What is the expected volume of assets and currency for the account approx. one year after 1320655.00 iCurrency opening? I DSD Does/wd the diet have Assets Under Management (AM) within DB under Eur. 3M? U yes 2 No Please list all parties related to the account. For each party: • Check If a source of wealth desaeotion is refired for the party. • Check the appropriate box to desate the relationship of the party to this account (> 1 can be selected). • If none of the check boxes apply, describe the party's relation to the account in the "Other' column. • Alway aesatte the relationship between the parses in the last column. • Please drill down to the ubnatetunderlying Beneficial Owner(s) _egalbescnOtion AccouneNC Senior of Jltimate SgnatorNmiteeFiranoal Significant Legal 3rantor/SettlatoundingOther Inbtyof Source Holder 3wnerTrust / Seneficialor Full , OA IntemiediaryShareholder Representative Donor (please of Wealth Founder of 'ismer POA (FINI) (>=25%) descnbe required Foundation Non-PIC other roles entity andbx Parties (indicate ndicate related to ownershp relationship this %) between (account parties) Darren rn 0 0 1 0 0 Indyke " ❑ 0 2 0 0 0 Ll CI sole Jeffrey n Do & 2 0 0 0 • 2 E. Epstein " CI member of 0 21 c; Gratitude 3 2 12 America 2 0 0 D O DO CI • CI lid CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000196 44928241" EFIA_00019069 EFTA00168816  KYC Print Page 3 of 18 2. Account Ownership Summary Account Name: Neptune, LLC - Deposit Acct. Number ( 1 available). 42953424 Account Manager: stewart oldfield What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Checking account used for the daily needs of running )dfrey Epstein's home in NYC. Indicate from where the assets are expects to anise? 2 Of3 Group: Sane Booking Center (indicate account number): 42953424 O DB Group: Other Booking Center (inckcate DB locabon and account detals): O Other Insbtubon - (Indicate name & location): 0 Physical Deposits (specify cash, secunbes, cheques, ...): What is the expected sae and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: Roughly 10 inflows and outflows per month ranging from 5,1000 to 510,000 What is the expected volume of assets and currency for the account approx. 90 days after 1 147,865.38 Currency usd opening? I I What is the expected volume of assets and currency for the account approx. one year after 275000 usd opening? I Currency I Does/vi the client have Assets Under Management (Ala) within DB under Eur. 3M? • Yes J No Please list all parties related to the account. For each party: • Check if a source of wealth description is !enured for the party. • Check the appropnate box to descrte the relationship of the party to this account (> I an be selects). • If none of the chedc boxes apply, &sate the party's relation to the account in the "Other' column. • Alway descrte the relationship between the parties in the last column. • Please drill down to the ultimate/underlying Beneficial Owner(s) _egaibescnotco Account IC Settlx of Ultimate Signatory UmitedFinancial igntficant .egal Grantor/Settloroundingether nbtycif Source Holder OwnerTrust / Benefldabar Full POA IMermede hareholdenepresentative 3onor (please of Wealth Founder ofOwner POA (AM) > =25%) describe required Foundation n.PIC other roles and/or Parties indicate ndicate related to ership relationship this ) between account parties) sole Jeffrey member of 1 O 9 E. O O O r. El O O O • • Neptune Epstein Ile: Neptune,. O O 2 Q 2 LLC !7 • • O O • • • 3 O O Darren Indylce ri 1.—I O O O O O O N • O Harry O O O 4 O O Beller O 2 O O O O O CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000197 UW328y3160 EFTA_000 19070 EFTA00168817  KYC Print Page 4 of 18 2. Account Ownership Summary Account Name: NES, LLC - Deposit Acct. Number (/laiegable). 42953758 Account Manager stewart of What is the purpose of the account (e.g. portfolio management, advisory aoxunt, custody services, long-term investment, payment/expense account)? Deposit accost to hold the funds necessary to cover the costs associated with running one of Jeffrey Epstein's homes and earn interest Indicate tram where the assets we expected to arrive? 2 DB Group: Sane Booking Center (indicate account number): 42953758 0 DB Group: Other Booking Center (indicate DB location and account deLals): O Other lnsbtubon - (Indicate name & location): 0 Physical Deposits (specify cash, secunbes, cheques, ...): What is the expected me and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: Roughly 1-3 inflows and outflows pa' month ranging from $1000 to $10000 What is the expected volume of assets and currency for the account approx. 90 days after 1319,765.84 I Currency I usd opening? What is the expected volume of assets and orrency for the account approx. one year after 1 15000000 Currency opening? I I usd Does/wi the client have Assets Under Management (Ala) within DB under Eur. 3M? ann 2No Please Ilst all parties related to the account For each party: • Check if a source of wealth desciption is reared fo the party. • Check the appropriate box to desote the relaticnship of the party to this accont (> 1 can be selects). • If none of the check boxes apply, descnbe the party relation to the account in the "Other' column. • Alway desote the relationship between the pates n the last column. • Please drill down to the ultimate/underlying Beneficial Cvmer(s . _egaiDesoVtion AccounWIC Settler of titillate Signatotwimitetinancial Significant Legal Grantor/SettlorFoundindOther Entity,' Source Holder Onnearust I Beneficial ar Full POA ntermediayShannolder Representative Donor (please of Wealth Founder of Owner POA ,FIM) (>=25%) describe *equired Foundation Non.PIC other roles entity and/or Parties (indicate ndicate related ownership velatiorship Sa this %) Oetween account mites) 1 2 2 ES, 2 LN LC O O O O O O O O O Jeffrey 2 O 2 E. O O O 0 a O O O O O Epstein Damen O O 3 O O Ind& r-i ' O a O O O O O Ha O . 4 O O Boller ri I-I • a O O O • O CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000198 U§192824161 EFIA_00019071 EFTA00168818  KY(' Print Page 5 of 18 One sheet mug be established for EACH INDIVIDUAL PARTY in Section 2. Account OwnershlD Swum 3A. Individual Details (for all parbes) IncWiduars Name: Darren Indyke - Date of Birth: Country of Residence: USA Country of Obzenship: USA Has client resided outride of Address of primary nridence: his/her minty of nabxelity o Yes O No fix S years or more? Profinsim/Ocaipaten: Lawyer Tax ID/ SSN: Cirrent Employer: Southern Financial LLC Position/Title/Rank: Address of employer: S75 Lexington Avenue, 4th A Livingston NY United States 10022 Does the person work as senio executive of a DB-rexgnized regulated entity in the financial ri ndustry? or an entity listed on a DB-reozgnised exchange? (Not applicable for operating enbties "It 2 No Is the individual a Pohbcally Exposed Person (PEP)?(if Yes, tote) O Yin 5 No To the best of your knowledge, is the idvidual related to an employee of the DB group?(if O Family • Friendship 0 None Family or friendship, desist*.) To the best of your knowledge, is the ixividual party to a non•banldng relationship with Deutsche Bank (e.g., external legal counsel, client referral same, suppler of goods a O Yes 1i No services)?(if Yesdesmbe) If applicable, indicate which bank officers have met the Indicate where and when the dient meetng(s) took place: person: Cknt Private Client Place of Bank Officer Name(s) Bank Office: Other Location (specify): Date: Domicile: Business: 0 • 0 0 O O O O O • Wealth Details for this richvidual are not filed in, because they are the same as for the following person: 38. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Inclviduars Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: O &islets Owner O Salary/Earnings O Investment O Inheritance/Gifts O Other. Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how del settle,' accumuate wealth? For inheritance, how did family accumulate wea th?For business owners, how long in busker's, how many employees, lied of profitability? Indicate type of business, canines of major acbvitles, important business partners.) Esbmated Annual Mcome($): Estmated amount of investable assets($): Esbmated Net Worth($): Amount of assets planned to invest with PINTO): Other Known Financial Institutions: Inskubon: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Inskubon: Country: Est. Assets Under Mgt: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000199 UM92824162 EFIA_00019072 EFTA00168819  KYC Print Page 6 of 18 I I I I I I Please locate the family situation of the Individual (mental SLOE, other family members, etc.): I CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000200 UW192814163 EFIA_00019073 EFTA00168820  KY(' Print Page 7 of 18 One sheet mug be established for EACH INDIVIDUAL PARTY in Section 2. Account OwnashlD Swum 3A. Individual Details (for all parties) Indwiduars Name: Hany Beller - Date of Birth: Country of Residence: USA Country of Obzenship: USA Has client resided outride of his/her minty of nabxelity O yes O No Address of primary rinelence: for S years or more? Profinsen/Ocaipatien: Accountant Tax ID / SSN: Current Employer: HBRK Associates, Inc Position/Title/Rank: Address of employer: 575 Lexington Avenue, 4th Boor flonsey NY United States 10022 Does the person work as senlo executive of a OB-reozgnized regulated entity in the financial ri reustry? or an entity listed on DB-reozgnised exchange? (Not applicable for operating entitiesI—I Yes RI No Is the individual a Polibcally Exposed Person (PEP)?(,T Yes, tote) O Yin 5 No To the best of your knowledge, is the Wdvidual related to an employee of the DB group?(// O Family • Friendship 0 None Family or friendship, desist*.) To the best of your knowledge, is the ixividual party to a non-banking relationship with Deutsche Bank (e.g., edernal legal counsel, client referral same, suppler of goods a O Yes 0 No senAces)?(if Yes,desmbe) If applicable, indicate which bank officers have met the Indicate where and when the dient meetng(s) took place: person: Oent Private Client Place of Bank Officer Name(s) Bank Office: Other Location (specify): Date: Domicile: Business: 0 • 0 0 O O O O O • Wealth Details for this ridrodual are not filled in, because they are the same as for the following person: 38. Wealth Details (Only for parties requiring source of wealth description as Indicated in Seem 2) Nature of the Inclviduars Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: O &meets Owner O Salary/Earnings O Investment O Inheritance/Gifts O Other. Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how de settler accumuate wealth? For inheritance, how did family accumulate we th?For business owners, how long in buskins, how many employees, lied of profitability? Indcate type of business, countnes of major acbvltles, important business partners.) Estimated Annual Inome($): Estmated amount of investatle assets($): Estimated Net Worth($): Amount of assets planned to invest with PINTO): Other Known Financial Institutions: Insbtubon: Country: Est. Assets Under Mgt: Insbtubon: Country: Est. Assets Under Mgt: Insbtubon: Country: Est. Assets Under Mgt: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-OO0O2O1 "M92844164 EFTA_00019074 EFTA00168821  KYC Print Page 8 of 18 I I I I I I Please locate the family situation of the Individual (mental SLOE, other family members, etc.): I CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000202 U§I9 2 824165 EFTA_00019075 EFTA00168822  KY(' Print Page 9 of 18 One sheet mug be established for EACH INDIVIDUAL PARTY in Section 2. Account OwnershlD Swnm 3A. Individual Details (for all parties) Individual's Name: Jeffrey E. Epstein - 00000483289 Date of Birth: 1/20/1953 Country of Residence: USVI Country of Otizenship: USA Has client resided outside of Utte Saint James Saint Thomas 00802 United States his/her country of nationality O yes O No Address of primary naidence: fix 5 years or nxte? Profinsam/Ocapatim: Self Errpolyei Tax ID / SSN: Curent Employer: Southern Finandal LLC PositkoffitleRank: President Address of employer: 6100 Red Hook Quarter B3 St. Thanes United States 00802 Does the person work as senio executive of a DB-recognized regulated entity in the financial n ndustry? or an entry listed on a DB-recognised exchange? (Not applicable for operating entities I—I Yes 2 No Is the indvidual a Politically Exposed Person (PEP)?(AY YeS, desalt e) close relationship with 2 Yes • No Bill Orton and Prince Andrew. To the best of your knowledge, is the nelvidual related Wan employee of the DB group?Of El Family • Friendship 0 None Family or Friendship, (legate) To the best of your knowledge, is the ixlividual party to a non-banking rdationship with Deutsche Bank (e.g., external legal counsel, client referral swore, suppler of goods a O Yes RI No sernces)?(if resdesmbe) If applicable, indicate which bank officers have met the Indicate where and ivhen the dient meeting(s) took place: person: Cknt Private Client Place of Bank Officer Name(s) Bank Office: Other Location (specify): Date: Domicile: Business: 0 • 0 0 O O O O O • Wealth Details for this ridrodual are not filled in, because they are the same as for the following person: 38. Wealth Details (Only for pates requiring source of wealth description as Indicated in Section 2) Nature of the Indviduars Business: Private investments Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: @Buenas Owner O Salary/Earnings 0 investment O Inheritance/Gifts O Other. Futter Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settle accumuate wealth? For inheritance, how did family accunulate wealth?For badness owners, how long in business, how many employees, levd of profitability? Indicate type of business, canes of major activities, irrcatant business partners.) Jeffrey Edward Epstein (ben January 20, 1953) is an American financier and registered sex offender in the United States. He worked at Bear Stearns early in his career arc then formed his own firm, J. Epstein & Co. In 2008, Epstein was convicted of sdcitrig an underage gel for prostitution, for which he served 13 months in prison. He lives in the US Virgin Islands. Epstein taught calculus and physics at the Dalton School in Manhattan from 1973 to 1975. Among his students was a son of Alan C. Greenberg, chairman of Bear Stearns. In 1976, Epstein started week as an options trader at Bear Stearns where he worked in the special products dMsion, advising high-net-worth die-M on tax strategies. Proving successful in Ns finandal career, in 1980 Epstein became a partner at Bear Steams. In 1982, Epstein founded his own frendal management firm, J. Epstein & Co., managing the assets of clients with more than SI billion in net worth. In 1987, Liebe Weiner, founder and chairman of Ohio -based The Limited chain of women's clothing stores, became a wdl.knoivn dent. Wexner acqked Abercrombie & Rtch the following year. In 1992 he converted a private school on the Upper East Side into an enamous residence. Epstein later bought that property, in the wealthiest part of Manhattan. In 1996, Epstein changed the name of his firm to the Finandal Trust Company and, for tax advantages, based ton the island of St. Thomas in the US. Veen Islands. In 2003, Epstein bid to acquire New York magazine. Other bidders were advertising aecutive Donny Deutsch, investor Nelson Pet, media mogul and publisher Mortimer Zuckerman, who had the New York Daily News, and film producer Harvey Weinstein. They were ultimately outb:d by Bruce Wasserstein, a longtime Wall Street investor, who paid S55 million. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000203 449 28%166 EFTA_00019076 EFTA00168823  KYC Print Page 10 of 18 In 2004, Epstein and Zuckerman committed up to $25 aim to finance Radar a celebrity and pop culture magazine founded by Maer Roshan. Epstein and Zuckerman were equal partners in the venture. Roshan, as its editor-in-chief, retained a small ownership stake. Presently, Mr. Epstein founded Southern Trust Company Inc, a private consulting company that invests the assets of their clients and gets their revenue from the return of these invesbnents Southern Trust invests in different portfolios catered to then dents and makes their revenue based cri the returns and the fees associated with managing der dent's assets. Estimated Annual bxane(S): 10,000,000.00 Estimated amount of investable assets($): $50 MM - 100 WI Estimated Net Worth($): $500 KM • Amount of assets planned to invest with PWM($): Other Known Financial Insbtubons: Institute,: CoLnay: Est. Assets Under Mgt: Institute,: Canby. Est. Assets Under Mgt: Institution: Canby. Est. Assets Under Mgt: Please indicate the family situation of the individual (mantel slams, other family membes, etc.): One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary 3C. Legal Entity Details (For all Legal Entities) Legal Entity Name: Gratitude Awe ca Ltd - 0000:1499760 O Private Investment Type of Enbty: 2 Foundatica/Associabri O Trust O Company O Estate purpose of SAY: PhilaMhroptc/Charitable 0 O Partnership Commercial Pirpose of Enbty Type of Entity Other (specify): Other (speedy): Country of USV1 Date of 4/25/2012 incorporation / incorporabcniregistration: registrabon: Estate or Charitable/Atlanta:tic No Volcker Status: Volcker Flag: Address (city, street, post 6100 Red Hook Quarter, B3 St. Thomas 00802 United States US. TIN/EIN: 660789697 code): Provide a description of the entity's organizational structure, its ownership structure and its Top Management For trusts/foundations, include informal:en about revocability,settlor and benefcenes,ete.: 501(c)3 foundation. Jeffrey Epstein is president, Darren Indyke is treasurer and Erica Keflerhals is Secretary. The signors on this account are Jeffrey Epstein and Darren Indyke Please ritlicate how ownership of the legal entity is reflected: O Special attention: Bearer Shares - Indicate where shares are custodied: Describe the dein from the died owner of the enbty to the ulbmate beneficial owner (ifnot the same personsA 501(c)3 foundation. Jeffrey Epstein is president, Darren Indyke is trustier and Erika Kellerhals is Secretary. The signors on this account are Jeffrey Epstein and Darren Indyke To the best of your knon4edge, is the entity party to a non.banking relationship with Deutsche r-i Bank (e.g. external legs counsel, dent referral source, supplier of goods or services)?: Yes LJ No mi Describe Nature of Entity's Primary Business and investment Activities The foundation has not yet started distntubng birds and is still determining what endeavors Nature of the business: they will supped. They hope to support a broad range of efforts induding, but not limited to, education, science, research, etc. Countries where Pea-Jess is transacted: USA, USV1 Number of employees: 3 3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2) Pnmary Country of source of vrealth/scurce of Funds? Primary industry of source of Wealth/Scurce of Funds? Provide Evidence of Corporate Assets (e.g. balance sheet or equvalent summary of assets/batates): CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000204 4#9 28y4167 EFTA_000 19077 EFTA00168824  KYC Print Page 11 of 18 he foundation is funded by Jeffrey Epstein. Please revert to his source of wealth for more details. Estimated gross receipts (Is): 500,003.00 Estimated net profit ($): 500,000.00 Estimated investable assets (§): S2 MM - 5 MM Potential Amount to be invested with PWM (5): 100,000.00 Other Known Financial Institutions: Institution: DB Country: USA Est Assets Under Mgt: 100,000.00 Institution: Country: Est. Assets Under Mgt: Institution: Country: S. Assets Under Mgt: One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summ 3C. Legal Entity Details (For all Legal Entities -- egal Entty Name: Gratitude America - O Private Investment 121 WI Foundatca/Associatco O Trust O Company O Estate , I ype of Entity: of r uwse Entity: PhilaMhropic/Charitable O O Partnership Commercial Purpose of Entity Type of Entity Other (specify): Other (specify): Date of Country of US/1 4/25/2012