EFTA01402630.pdf

Southern Financial LLC salesforce.com - Unlimited Edition Page 1 of 12 U Close Window W Print This Page g Expand All I Collapse All Southern Financial LLC Customer Record Type Client Customer Name Southern Financial LLC Relationship SOUTHERN FINANCIAL RELATIONSHIP * Type SSN Organization Federal Tax ID # 66-0799192 Referral Source Name of Referral Source Third Party Referral Source Customer Owner Paul Morris German PO Created By Komal Shahani, 5/28/2013 10:27 AM Last Modified By Relational Junction, 9/28/2015 2:13 PM 00000483882 GCIS Customer Number Bank 1 * Moderate Risk * High Risk Risk Reason KYC1195100 Risk Rating: .521 C 02 KYC 1082293 Status Client Since Date Former Client? Portfolio Management Team Covenant Contact Preference * Booking Location Switzerland Form K Custom Links View DB Accounts and Revenue Client/Assets At Risk Request Customer Deletion Request Primary Officer Change Import Documents Request New Relationship Launch NAO Wizard EFTA01402630 Launch Due Diligence Classification Potential New Revenue Client Satisfaction Industry Unconfirmed Investor Status Investor Status Definitions * DB is Trustee/CoTrustee http://pwm.intranet.db.com/new/filehandler.php? getFile=us/docs/InvestorStatusAddendum 10_24_07.pd Export Documents View Documents From Repository Log Client Complaint Create Annual Client Update Request ACU Contact Exemption View Exemption Guidelines Generate Key Relationship Report Launch ALAT Process View Loan Covenant Details Active 8/26/2013 Risk Type Volcker Covered Fund? Will Appointment Gross Estate https://dbforcepb.my.salesforce.com/0016000000qaNVw/p?retURL=/0016000000qaNVw 9/28/2015 EFTA01402631 Southern Financial LLC salesforce.com - Unlimited Edition Page 2 of 12 Revenue Tier D (< $25K) Forbes Ranking * DB Employee? * DB managed PIC * Bearer Shares? Segment Financial Profile (KYC Information) * Net Worth (Individual) * Investable Assets <$1 MM *Estimated Annual Income (Individual) *Estimated Annual Gross Income (Entity) *Estimated Annual Net Profit (Entity) $2,000,000.00 $1,500,000.00 Investment Objective Risk Tolerance Sophistication Source Of Income * Source of Wealth (Individual) * Description of Wealth/Entity Assets The initial funding in February 2013 was $1,000 from the sole shareholder of the sole managing member (Jeffrey Epstein). Assets Held Elsewhere (KYC Information) * Institution 1 JPMorgan * Institution 2 * Institution 3 Additional Information (Entities Only) * Nature of business * Est. AUM 1 * Est. AUM 2 * Est. AUM 3 $1,000,000 This business is funded by Jeffrey Epstein's wealth. This company was formed to hold Mr. Epstein's personal wealth and invest in different EFTA01402632 ventures. This company invests in real estate, equities, commodities, etc and gets its revenue from the gains it makes in these investments. It is a company formed to invest the assets of Mr. Epstein * Country of Incorporation Registration * Date of Incorporation/Registration * Countries where business is transacted * Number of Employees 3 US Virgin Islands 2/25/2013 US Virgin Islands * Type of Entity Company * Type of Entity Other (specify) * Purpose of Entity: Private Investment * Purpose of Entity Other (specify) *Description of Organizational Ownership Southern Trust Company Inc is the sole member of Southern Financial LLC. Jeffrey Epstein is the sole shareholder of Southern Trust Company Inc Biography https://dbforcepb.my.salesforce.com/0016000000qaNVw/p?retURL=/0016000000qaNVw 9/28/2015 EFTA01402633 Southern Financial LLC salesforce.com - Unlimited Edition Page 3 of 12 Description Investment Guidelines Initial Financial Review High Risk Updates/ACU Exemptions Exemption Status Auto Exempt Reason Exemption Reason Other (describe reason) Birthdate ACU held in Customer ACU on this Customer also Cover Contacts Southern Financial LLC Salutation Primary Main Contact Phone Primary Phone Type Email Fax Mobile Description DB Accounts N4G023804 - SOUTHERN FINANCIAL LLC Account Id N4G023804 Contact Name Southern Financial LLC Product Name Brokerage Advisory Market Value $108,959,911.00 Date Opened 8/26/2013 Active Balance As Of 9/25/2015 Description N4G025080 - SOUTHERN FINANCIAL LLC Account Id N4G025080 Contact Name Southern Financial LLC Product Name Brokerage Advisory Market Value $0.00 Date Opened 10/8/2013 Active Balance As Of 9/25/2015 42952771 - SOUTHERN FINANCIAL LLC Account Id 42952771 Contact Name Southern Financial LLC Product Name Deposit Transactions Market Value $2,212,470.13 EFTA01402634 Date Opened 9/5/2013 Active Balance As Of 9/25/2015 Description N4G026161 - SOUTHERN FINANCIAL LLC Account Id N4G026161 Contact Name Southern Financial LLC Product Name Brokerage Advisory Market Value $8,554,181.00 Date Opened 11/4/2013 Active Balance As Of 9/25/2015 Annual Client Update Due Date Past-Due Explanation High Risk InPerson Meeting Due Year Lending Review Due Date 2016 8/25/2016 Overdue (1=Yes) 0 https://dbforcepb.my.salesforce.com/0016000000qaNVw/p?retURL=/0016000000qaNVw 9/28/2015 EFTA01402635 Southern Financial LLC salesforce.com - Unlimited Edition Page 4 of 12 Description PIC483882 - Southern Financial LLC Account Id PIC483882 Contact Name Southern Financial LLC Product Name PIC DESK Market Value Date Opened 2/9/2015 Active Balance As Of Description N4G025403 - SOUTHERN FINANCIAL LLC Account Id N4G025403 Contact Name Southern Financial LLC Product Name Brokerage Advisory Market Value $0.00 Date Opened 11/4/2013 Active Balance As Of 9/25/2015 Description Opportunities Suntex Product Family Brokerage Stage Developed Close Date 12/31/2015 Total Assets $5,000,000.00 Total Estimated Revenue $0.00 Probability (%) 25 Expected Revenue Lead Source Owner Full Name Paul Morris Won Fiscal Period Q1-2015 Next Step Type New Product - Existing Client Last Modified Date 9/1/2015 Description Structured Credit Product Family Global Lending Stage Proposal Close Date 9/30/2015 Total Assets $50,000,000.00 Total Estimated Revenue $1,500,000.00 Probability (%) 50 Expected Revenue Lead Source Owner Full Name Paul Morris Won Fiscal Period Q4-2014 Next Step EFTA01402636 44129252 - SOUTHERN FINANCIAL LLC Description Account Id 44129252 Contact Name Southern Financial LLC Product Name Money Market Business Account Market Value $0.00 Date Opened 9/5/2013 Active Balance As Of 12/4/2013 Description https://dbforcepb.my.salesforce.com/0016000000qaNVw/p?retURL=/0016000000qaNVw 9/28/2015 EFTA01402637 Southern Financial LLC salesforce.com - Unlimited Edition Page 5 of 12 Type New Product - Existing Client Last Modified Date 5/27/2015 Description Additional Brokerage Product Family Brokerage Stage Business Committed-Not Funded Close Date 3/31/2015 Total Assets $75,000,000.00 Total Estimated Revenue $2,000,000.00 Probability (%) 75 Expected Revenue Lead Source Owner Full Name Paul Morris Won Fiscal Period Q2-2014 Next Step Type Additional Assets - Existing Product Last Modified Date 1/7/2015 Description More Brokerage Product Family Brokerage Stage Business Awarded Close Date 12/13/2013 Total Assets $15,000,000.00 Total Estimated Revenue $0.00 Probability (%) 100 Expected Revenue Lead Source Owner Full Name Paul Morris Won Fiscal Period Q1-2013 Next Step Type Additional Assets - Existing Product Last Modified Date 12/13/2013 Description Additional Funds Product Family Brokerage Stage Business Awarded Close Date 12/12/2013 Total Assets $11,000,000.00 Total Estimated Revenue $0.00 Probability (%) 100 Expected Revenue Lead Source Owner Full Name Paul Morris Won Fiscal Period Q1-2013 Next Step Type Additional Assets - Existing Product EFTA01402638 Last Modified Date 12/12/2013 https://dbforcepb.my.salesforce.com/0016000000qaNVw/p?retURL=/0016000000qaNVw 9/28/2015 EFTA01402639 Southern Financial LLC salesforce.com - Unlimited Edition Page 6 of 12 Description Additional Brokerage Product Family Brokerage Stage Business Awarded Close Date 12/5/2013 Total Assets $10,000,000.00 Total Estimated Revenue $0.00 Probability (%) 100 Expected Revenue Lead Source Owner Full Name Paul Morris Won Fiscal Period Q1-2013 Next Step Type Additional Assets - Existing Product Last Modified Date 12/9/2013 Description Brokerage Funds Product Family Brokerage Stage Business Awarded Close Date 11/26/2013 Total Assets $5,992,414.75 Total Estimated Revenue $0.00 Probability (%) 100 Expected Revenue Lead Source Owner Full Name Paul Morris Won Fiscal Period Q4-2012 Next Step Type Additional Assets - Existing Product Last Modified Date 11/26/2013 Description Brokerage #2 Product Family Brokerage Stage Business Awarded Close Date 10/18/2013 Total Assets $14,500,000.00 Total Estimated Revenue $0.00 Probability (%) 100 Expected Revenue Lead Source Owner Full Name Paul Morris Won Fiscal Period Q4-2012 Next Step Type New Product - Existing Client Last Modified Date 10/18/2013 Description EFTA01402640 https://dbforcepb.my.salesforce.com/0016000000qaNVw/p?retURL=/0016000000qaNVw 9/28/2015 EFTA01402641 Southern Financial LLC salesforce.com - Unlimited Edition Page 7 of 12 Brokerage Product Family Brokerage Stage Business Awarded Close Date 10/14/2013 Total Assets $45,367,567.00 Total Estimated Revenue $0.00 Probability (%) 100 Expected Revenue Lead Source Owner Full Name Paul Morris Won Fiscal Period Q4-2012 Next Step Type New Product - Existing Client Last Modified Date 10/15/2013 Description Southern Financial LLCProduct Family Banking Products Stage Business Awarded Close Date 10/10/2013 Total Assets $330,000.00 Total Estimated Revenue $1,320.00 Probability (%) 100 Expected Revenue Lead Source Owner Full Name Paul Morris Won Fiscal Period Q4-2012 Next Step Type New Product - New Client Last Modified Date 10/10/2013 Description Customer Team Amanda Kirby Team Role Banking Officer Cases 01467139 Case Record Type Cash Disbursement - Wire USD Banking Type Case Subject Contact Name Southern Financial LLC Date Opened 9/28/2015 Status New Owner Jj Litchford Description 01433583 Case Record Type Cash Disbursement - Wire - USD Banking Type Case Subject EFTA01402642 Cynthia Rodriguez Team Role Private Banker Support https://dbforcepb.my.salesforce.com/0016000000qaNVw/p?retURL=/0016000000qaNVw 9/28/2015 EFTA01402643 Southern Financial LLC salesforce.com - Unlimited Edition Page 8 of 12 Contact Name Southern Financial LLC Date Opened 7/28/2015 Status Verified Owner Banking STP Processing Description 01422381 Case Record Type Cash Disbursement - Wire USD - Banking Type Case Subject Contact Name Southern Financial LLC Date Opened 6/30/2015 Status Verified Owner Banking STP Processing Description 01400756 Case Record Type Cash Disbursement - Wire USD - Banking Type Case Subject Contact Name Southern Financial LLC Date Opened 5/29/2015 Status Verified Owner Banking STP Processing Description 01381279 Case Record Type Cash Disbursement - Wire USD - Banking Type Case Subject Contact Name Southern Financial LLC Date Opened 4/13/2015 Status Verified Owner Banking STP Processing Description 01363771 Case Record Type Cash Disbursement - Wire USD - Banking Type Case Subject Contact Name Southern Financial LLC Date Opened 3/12/2015 Status Verified Owner Banking STP Processing Description 01345309 Case Record Type Internal Cash Transfer - Banking Type Case Subject Contact Name Southern Financial LLC Date Opened 2/9/2015 Status Verified https://dbforcepb.my.salesforce.com/0016000000qaNVw/p?retURL=/0016000000qaNVw EFTA01402644 9/28/2015 EFTA01402645 Southern Financial LLC salesforce.com - Unlimited Edition Page 9 of 12 Owner Banking STP Processing Description 01278437 Case Record Type Cash Disbursement - Wire - USD - Banking Type Case Subject Contact Name Southern Financial LLC Date Opened 9/9/2014 Status Verified Owner Banking STP Processing Description subcr to Kyara Investment III, LLC to fund Blockstream Investment 01251916 Case Record Type Cash Disbursement - Wire - USD Banking Type Case Subject Contact Name Southern Financial LLC Date Opened 7/2/2014 Status Verified Owner Banking STP Processing Description subcr to Kyara Investment II, LLC to fund Wearality Investment 01231158 Case Record Type Cash Disbursement - Wire - USD - Banking Type Case Subject Contact Name Southern Financial LLC Date Opened 5/14/2014 Status Verified Owner Banking STP Processing Description 01229686 Case Record Type Case Type Customer Request Case Subject Service Issue- Banking Contact Name Southern Financial LLC Date Opened 5/12/2014 Status Closed Owner Kathryn Stanfield Description Margaux Mcgrath [12:21 PM]: Hi Kathryn! Is there a way to rush wire transfer case 01229660? Client requested Fed ref ASAP and I want to ensure it goes through Kathryn J Stanfield [12:22 PM]: let me get them to approve it Margaux Mcgrath [12:22 PM]: Thanks so much! 01229660 Case Record Type Cash Disbursement - Wire - USD - Banking Type EFTA01402646 Case Subject Transfer from 42952771 - SOUTHERN FINANCIAL LLC Transfer to 42959017 https://dbforcepb.my.salesforce.com/0016000000qaNVw/p?retURL=/0016000000qaNVw 9/28/2015 EFTA01402647 Southern Financial LLC salesforce.com - Unlimited Edition Page 10 of 12 Contact Name Southern Financial LLC Date Opened 5/12/2014 Status Verified Owner Banking STP Processing Description 01226546 Case Record Type Cash Disbursement - Wire - USD - Banking Type Case Subject Contact Name Southern Financial LLC Date Opened 5/2/2014 Status Verified Owner Banking STP Processing Description 01144345 Case Record Type Checkbook Order - Banking Type Case Subject Contact Name Southern Financial LLC Date Opened 10/29/2013 Status Verified Owner GTO - Banking (Financial) Description DLT103-1. Please Rush. Address on checks previously ordered wasn't correct 01141603 Case Record Type Checkbook Order - Banking Type Case Subject Contact Name Southern Financial LLC Date Opened 10/23/2013 Status Verified Owner GTO - Banking (Financial) Description DLT103-3. 3 to a page 01139738 Case Record Type Misc Client Instructions -Banking Type Case Subject Contact Name Southern Financial LLC Date Opened 10/18/2013 Status Verified Owner GTO - Banking (Non-Financial) Description Please link this account and account #42952771 to Online Banking ID: 1030850 01115898 Case Record Type Case Type Internal Request Case Subject New Account Opening Contact Name Date Opened 8/20/2013 EFTA01402648 Status Closed https://dbforcepb.my.salesforce.com/0016000000qaNVw/p?retURL=/0016000000qaNVw 9/28/2015 EFTA01402649 Southern Financial LLC salesforce.com - Unlimited Edition Page 11 of 12 Owner DBOI Account Opening Review ABR- Please vett the signing authorities & review this account with W-9 for approval (Attn: Pema Sherpa). Description New Banking KYC#: 01082293 NAO#: 648057 Open Activities REMINDER: KYC Update required for this Customer. Click on "Related To" link. Type Call Task Task/Event Record Type Task Due Date 9/5/2014 Status In Progress Priority Normal Assigned To Paul Morris Comments Please change the Staus of this task to 'Completed' when the KYC Update is Submitted Notes & Attachments 0858 001.pdf Type Attachment Owner Jj Litchford Description View file Related To 01467139 W-9.pdf Type Attachment Owner Kusam Saini Description View file Related To 01115898 SF Account Opening Docs Signed.pdf Type Attachment Owner Amanda Kirby Description View file Related To 01115898 Annual Client Updates 0070002 Meeting/Call Date 8/25/2015 Meeting/Call Type Phone Call Created By Amanda Kirby, 9/2/2015 3:32 PM 0063940 Meeting/Call Date 9/3/2014 Meeting/Call Type Phone Call Created By Amanda Kirby, 9/5/2014 11:53 AM AIS Requests AIS-00003326 EFTA01402650 revised first page of application.pdf Type Attachment Owner Kusam Saini Description View file Related To 01115898 W-9 ST and SF.pdf Type Attachment Owner Amanda Kirby Description View file Related To 01115898 https://dbforcepb.my.salesforce.com/0016000000qaNVw/p?retURL=/0016000000qaNVw 9/28/2015 EFTA01402651 Southern Financial LLC salesforce.com - Unlimited Edition Page 12 of 12 Requestor Paul Morris Product: Secondary Opportunities Fund III LP MASTER FUND Request Status Fulfilled Request Date: 1/17/2014 AIS-00003346 Requestor Paul Morris Product: Secondary Opportunities Fund III LP - U.S Taxable Request Status Fulfilled Request Date: 1/21/2014 Audit Trail 686396 686399 Copyright 0 2000-2015 salesforce.com, inc. All rights reserved. https://dbforcepb.my.salesforce.com/0016000000qaNVw/p?retURL=/0016000000qaNVw 9/28/2015 EFTA01402652