📄 Extracted Text (6,071 words)
> 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 8 2015 Est 2016 Rev Est 2017 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
Credit Facility GENERAL ATLANTIC FAMILY OFFICE RELATIONSHIP General Atlantic Family Office 3/31
/2016 75 U.S. Letter of Credit 150000000 BPS 200 3500000 IF(H22="BPS",J22*(L7
/12),J22)=0 J22=0
Goldrush MEISTER, TODD RELATIONSHIP Meister, Todd 6/30/2016 75 U.S. Structu
red Lending (Secured) 90000000 BPS 1235 13365000 0 0 J8=13365000
Deposits MEISTER, TODD RELATIONSHIP Meister, Todd 3/31/2016 75 Private Weal
th Premium Money Market 10000000 BPS 35 35000 Morris 0 IF(H9="BPS",J9*(L9/1
2),J9)=0 IF(H9="BPS",J9,0)=35000
KCP Private Markets ORIX RELATIONSHIP ORIX Corporation 3/31/2016 75 Priv
ate Equity Funds 10000000 Flat Fee 400000 400000 Morris 0 IF(H10="BPS"
,J10*(L10/12),J10)=400000 J10=400000
Structured Credit PARAMI CAPITAL MANAGEMENT RELATIONSHIP Vaid, Rahul 6/30/2016 75
U.S. Secured Lending (Lombard) 50000000 BPS 300 1500000 Oldfield 0 IF(H
11="BPS",J11*(L11/12),J11)=0 IF(H1l="BPS",J11,0)=1500000
Deposits PARAMI CAPITAL MANAGEMENT RELATIONSHIP Parami Capital Management 3/31/2016
75 Private Wealth Premium Money Market 10000000 BPS 35 35000 Morris 0
0 J12=35000
Airplane Loan SAPIR, TAMIR RELATIONSHIP Sapir, Tamir 3/31/2016 75 U.S. Structu
red Lending (Secured) 10000000 BPS 200 200015 Morris 0 IF(H13="BPS",J13*(L1
3/12),J13)=0 IF(H13="BPS",J13,0)=200015
CLO 2 SK FAMILY OFFICE RELATIONSHIP Falcon Trail Capital, LLC 3/31/2016 75 Deri
vatives (Equity - Swap) 5000000 BPS 200 100000 Morris 0 0 J14=100000
CLO 5K FAMILY OFFICE RELATIONSHIP Falcon Trail Capital, LLC 3/31/2016 75 Deri
vatives (Equity - Swap) 5000000 BPS 200 100000 Morris 0 IF(H15="BPS",J15*(L15/12),J1
5)=0 IF(H15="BPS",J15,0)=100000
Structured Notes SK FAMILY OFFICE RELATIONSHIP SK Family Office 3/31/2016 75
Structured Notes S Deposits (Equity) 3000000 Flat Fee 45000 45000
Loan SK FAMILY OFFICE RELATIONSHIP SK Family Office 3/31/2016 75 U.S. Structu
red Lending (Secured) 5000000 BPS 200 100000
Brokerage SOUTHERN FINANCIAL RELATIONSHIP Gratitude America 3/31/2016 75 Brok
erage (Asset-Based Fees) - Advisor Select 10000000 BPS 20 20000
Additional Banking SOUTHERN FINANCIAL RELATIONSHIP Southern Financial LLC 3/31/2016 75
Private Wealth Premium Checking w/Interest 50000000 BPS 20 100000
SUM(G2:G19)=6.43E8 SUM(J2:J19)=31637515 SUM(M2:M19)=400000 SUM(N2:N19)=27872515
EFTA01478313
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
Introduction ANNANDALE CAPITAL RELATIONSHIP Annandale Capital 3/31/2016 0 Priv
ate Wealth Premium Money Market 0 Stewart Oldfield
Introduction ARDEN ASSET MGMT RELATIONSHIP Arden Asset Mgmt 3/31/2016 0 Priv
ate Wealth Premium Money Market 0 Stewart Oldfield
KCP Private Markets ASPEN GROVE CAPITAL RELATIONSHIP Aspen Grove Capital, LLC 3/31
/2016 25 Brokerage (Commissions) 15000000 BPS 5 7500 Paul Morris
Introduction BAKHSHANDEHPOUR, SAM RELATIONSHIP Bakhshandehpour, Sam 2/29/2016 0
Private Wealth Premium Money Market 0 Stewart Oldfield
Lending BASQUTAT RELATIONSHIP Estate of Gerard Basquiat 3/31/2016 10 U.S Structu
red Lending (Secured) 50000000 BPS 100 500000 Paul Morris
Structured Lending BENEFIT STREET PARTNERS RELATIONSHIP Benefit Street Partners 3/31/2016
25 U.S. Structured Lending (Secured) 30000000 BPS 100 300000 Paul Morris
KCP Private Markets BLUE MOUNTAIN RELATIONSHIP Greatrex, Peter 3/31/2016 50 Brok
erage (Commissions) 25000000 BPS 5 12500 Paul Morris
Credit Line BLUE MOUNTAIN RELATIONSHIP Blue Mountain Capital Management, LLC 3/31/2016
25 U.S. Letter of Credit 50000000 BPS 100 500000 Paul Morris
HF Secondaries BLUESTEM LLC RELATIONSHIP Bluestem LLC 3/31/2016 25 Hedge Funds
O Stewart Oldfield
KCP Private Markets BOMMER, SCOTT RELATIONSHIP SAB Capital Management, LP 3/31/2016
25 Brokerage (Commissions) 35000000 BPS 5 17500 Paul Morris
Deposits BOMMER, SCOTT RELATIONSHIP Bommer, Scott 3/31/2016 10 Private Weal
th Premium Checking 25000000 BPS 40 100000 Paul Morris
Residential Mortgage BOMMER, SCOTT RELATIONSHIP Sommer, Scott 3/31/2016 10 Stan
dard Mortgage - 5/1 Arm 25000000 BPS 100 250000 Paul Morris
Introduction BRACK CAPITAL RELATIONSHIP Brack Capital 3/31/2016 O Private Weal
th Premium Money Market 0 Paul Morris
Introduction BRIGHT GROUP RELATIONSHIP Bright Group 3/31/2016 O Private Weal
th Premium Money Market 0 Stewart Oldfield
Banking BRONFMAN, EDGAR RELATIONSHIP Bronfman, Edgar 3/31/2016 10 Private Wealth Premi
um Checking w/Interest 25000000 BPS 40 100000 Paul Morris
Muni Portfolio CAVALRY RELATIONSHIP Cavalry Portfolio Services, LLC 3/31/2016 10 Glob
al Select - Fixed Income 25000000 BPS 50 125000 Paul Morris
Banking Account CAVALRY RELATIONSHIP Cavalry Portfolio Services, LLC 3/31/2016 10 Priv
ate Wealth Premium Checking 50000000 BPS 40 200000 Paul Morris
Brokerage CAVALRY RELATIONSHIP Cavalry Portfolio Services, LLC 3/31/2016 10 Brok
erage (Commissions) 10000000 BPS 5 5000 Paul Morris
Custody CFM RELATIONSHIP Capital Fund Management 3/31/2016 10 Onshore Custody 0
Stewart Oldfield
Introduction CFM RELATIONSHIP Comprehensive Financial Management 3/31/2016 0
Private Wealth Premium Money Market 0 Stewart Oldfield
KCP/ Private Markets COLLIS, CHARLES RELATIONSHIP EverWatch Financial 3/31/2016 50
Private Equity Funds 5000000 Flat Fee 200000 200000 Stewart Oldfield
Brokerage CROSS, LISA RELATIONSHIP Cross, Lisa 3/31/2016 10 Brokerage (C
ommissions) 75000000 BPS 5 37500 Paul Morris
Share Collars CUMMINGS, IAN RELATIONSHIP Cummings, Ian 3/31/2016 10 Brokerage (C
ommissions) 5000000 Flat Fee 250000 250000 Paul Morris
Introduction CV STARR RELATIONSHIP CV Starr 3/31/2016 0 Private Wealth Premi
um Money Market 0 Stewart Oldfield
HF Secondaries DELL, MICHAEL RELATIONSHIP Dell, Michael S. 3/31/2016 10 Hedg
e Funds 0 Paul Morris
Introduction DOCK STREET CAPITAL RELATIONSHIP Dock Street Capital 3/31/2016 0
Private Wealth Premium Money Market 0 Stewart Oldfield
Deposits DONALD BRYANT JR. RELATIONSHIP Bryant Jr., Donald 3/31/2016 10 Priv
ate Wealth Premium Checking w/Interest 10000000 BPS 40 40000 Paul Morris
Loan DORRANCE FAMILY RELATIONSHIP Dorrance Family Foundation 3/31/2016 0 U.S.
Structured Lending (Secured) 200000000 BPS 100 2000000 Stewart Oldfield
Cash management DORRANCE FAMILY RELATIONSHIP Dorrance Family Foundation 3/31/2016 0
Private Wealth Premium Money Market 20000000 BPS 30 60000 Stewart Oldfield
Private Equity DORRANCE FAMILY RELATIONSHIP Dorrance Family Foundation 3/31/2016 0
Private Equity Funds 0 Stewart Oldfield
Margin Loan DORRANCE FAMILY RELATIONSHIP DF Enterprises 3/31/2016 0 U.S. Secured
Lending (Lombard) 250000000 BPS 65 1625000 Stewart Oldfield
Land Loan DORRANCE FAMILY RELATIONSHIP DF Enterprises 12/31/2016 0 U.S. Structu
red Lending (Secured) 100000000 BPS 600 6000000 Stewart Oldfield
Introduction DUNCAN INVESTMENTS RELATIONSHIP Duncan Investments 3/31/2016 0 Priv
ate Wealth Premium Money Market 0 Stewart Oldfield
Retirement Plan ELLIN, HOWARD RELATIONSHIP Ellin, Howard 9/30/2016 10 U.S. IA - Ba
lanced 1000000 BPS 60 6000 Paul Morris
Banking ELYSIUM MANAGEMENT RELATIONSHIP Black, Leon D. 3/31/2016 90 Private Wealth 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.
EFTA01478314
IA - RCM 50000000 BPS 25 125000 Paul Morris
Art Lending ELYSIUM MANAGEMENT RELATIONSHIP Black, Leon D. 9/30/2016 50 U.S. Structu
red Lending (Secured) 250000000 BPS 100 2500000 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 Private Weal
th Premium Money Market 0 Paul Morris
Deposits ERGEN, CHARLES RELATIONSHIP Ergen, Charles 3/31/2016 50 Private Weal
th Premium Checking w/Interest 50000000 BPS 40 200000 Paul Morris
Brokerage ERGEN, CHARLES RELATIONSHIP Ergen, Charles 3/31/2016 25 Brokerage (C
ommissions) 50000000 BPS 5 25000 Paul Morris
Credit Line ERGEN, CHARLES RELATIONSHIP Ergen, Charles 3/31/2016 10 U.S. Structu
red Lending (Secured) 300000000 BPS 100 3000000 Paul Morris
Lending FALLLINE RELATIONSHIP FallLine 3/31/2016 25 U.S. Structured Lending (Sec
ured) 100000000 100 0 Stewart Oldfield
Custody FALLLINE RELATIONSHIP FallLine 3/31/2016 10 Onshore Custody 1.0E9 BPS
10 1000000 Stewart Oldfield
Lending FITZGIBBONS, JOHN RELATIONSHIP Deerpath Capital Management 3/31/2016 10 U.S.
Letter of Credit 30000000 BPS 100 300000 Paul Morris
Airplane Loan FITZGIBBONS, JOHN RELATIONSHIP Fitzgibbons, John 3/31/2016 10 U.S.
Structured Lending (Secured) 10000000 BPS 100 100000 Paul Morris
Structured Credit FITZGIBBONS, JOHN RELATIONSHIP Fitzgibbons, John 3/31/2016 10
U.S. Letter of Credit 50000000 BPS 200 1000000 Paul Morris
Residential Mortgage FITZGIBBONS, JOHN RELATIONSHIP Fitzgibbons, John 3/31/2016 10
Standard Mortgage - Floating Arm 4000000 BPS 100 40000 Paul Morris
Commercial Mortgage FITZGIBBONS, JOHN RELATIONSHIP Fitzgibbons, John 3/31/2016 10
Commercial Real Estate 5000000 BPS 100 50000 Paul Morris
Introduction FORRESTAL CAPITAL RELATIONSHIP Forrestal Capital LLC 3/31/2016 0 Priv
ate Wealth Premium Money Market 0 Stewart Oldfield
Deposits GAGOSIAN, LARRY RELATIONSHIP Gagosian, Larry 3/31/2016 25 Private Weal
th Premium Checking w/Interest 25000000 0 Paul Morris
Brokerage GASLOW, LAWRENCE RELATIONSHIP Gaslow, Peter 3/31/2016 50 Brokerage (C
ommissions) 25000000 BPS 5 12500 Paul Morris
Credit Facility GENERAL ATLANTIC FAMILY OFFICE RELATIONSHIP General Atlantic Family Office 3/31
/2016 75 U.S. Letter of Credit 150000000 BPS 200 3500000 Paul Morris
Secondary CLOs GENERAL ATLANTIC FAMILY OFFICE RELATIONSHIP General Atlantic Family Office 3/31
/2016 50 Structured Notes & Deposits (Equity) 5000000 Flat Fee 200000 200000 Paul
Morris
Rated Infrastructure Notes GENERAL ATLANTIC FAMILY OFFICE RELATIONSHIP General Atlantic Fam
ily Office 3/31/2016 50 Structured Notes & Deposits (Equity) 3000000 Flat Fee
90000 90000 Paul Morris
Brokerage GEORGETOWN UNIVERSITY RELATIONSHIP Georgetown University Endowment 3/31/2016
50 Brokerage (Asset-Based Fees) - Advisor Select 25000000 Flat Fee 100 100
Stewart Oldfield
Brokerage GERSCHEL, PATRICK RELATIONSHIP Gerschel, Patrick 3/31/2016 25 Brok
erage (Commissions) 15000000 BPS 5 7500 Paul Morris
Introduction GRANITE GROUP RELATIONSHIP Granite Group Advisors 3/31/2016 0 Priv
ate Wealth Premium Money Market 0 Stewart Oldfield
Introduction HIGHLANDER PARTNERS RELATIONSHIP Hirsch, Lawrence 3/31/2016 0
Private Wealth Premium Money Market 0 Stewart Oldfield
Referall Fees HUDIBURG RELATIONSHIP Sullivan, Hardin 3/31/2016 0 Referral Fee
O Stewart Oldfield
Brokerage HYMAN, ED RELATIONSHIP Hyman, Ed 3/31/2016 10 Brokerage (Commissio
ns) 20000000 BPS 5 10000 Paul Morris
Introduction ILLIG, CLIFF RELATIONSHIP Rock Island Capital 3/31/2016 0 Priv
ate Wealth Premium Money Market 0 Stewart Oldfield
Introduction ILLIG, CLIFF RELATIONSHIP Sporting KC 3/31/2016 0 Private Weal
th Premium Money Market 0 Stewart Oldfield
Referral Fees ILLIG, CLIFF RELATIONSHIP Illig, Cliff 3/31/2016 0 Referral Fee
O Stewart Oldfield
Introduction IRONSIDES ASSET MGMT RELATIONSHIP Ironsides Asset Mgmt 3/31/2016 0
Private Wealth Premium Money Market 0 Stewart Oldfield
Real Estate Financing ITAFIN RELATIONSHIP Chammah, Ezra 3/31/2016 10 Commercial R
eal Estate 25000000 BPS 120 300000 Paul Morris
Banking JAIN, NEIL RELATIONSHIP Jain, Sunil 3/31/2016 10 Private Wealth Premium Check
ing w/Interest 25000000 BPS 40 100000 Paul Morris
KCP Private Markets JAIN, NEIL RELATIONSHIP Jain, Neil 3/31/2016 10 Brokerage (C
ommissions) 15000000 BPS 5 7500 Paul Morris
HF Secondaries JL SQUARED GROUP RELATIONSHIP JL Squared Group 3/31/2016 50 Hedg
e Funds 10000000 0 Stewart Oldfield
Structured Credit KIM, STEVEN RELATIONSHIP Kim, Steven 3/31/2016 25 U.S.
Structured Lending (Secured) 50000000 BPS 100 500000 Stewart Oldfield
Deposits LAFFONT, PHILPPE RELATIONSHIP Laffont, Philppe 3/31/2016 25 Priv
ate Wealth Premium Checking 25000000 BPS 40 100000 Paul Morris
Mortgage LAFFONT, PHILPPE RELATIONSHIP Laffont, Philppe 3/31/2016 25 Stan
dard Mortgage - 5/1 Arm 25000000 BPS 100 250000 Paul Morris
Consumer RE LINDEMANN FAMILY RELATIONSHIP Lindemann Jr., George 3/31/2016 50 Comm
ercial Real Estate 50000000 BPS 100 500000 Stewart Oldfield
Residential Loan LINDEMANN FAMILY RELATIONSHIP Lindemann Jr., George 3/31/2016 50
EFTA01478315
U.S. Structured Lending (Unsecured) 100000000 BPS 200 2000000 Stewart Oldfield
Art Loan LINDEMANN FAMILY RELATIONSHIP Lindemann, Adam M. 3/31/2016 10 U.S.
Letter of Credit 35000000 BPS 200 700000 Stewart Oldfield
ETE Loan LINDEMANN FAMILY RELATIONSHIP Lindemann Jr., George 3/31/2016 10 U.S.
Letter of Credit 25000000 BPS 100 250000 Stewart Oldfield
ETE Loan LINDEMANN FAMILY RELATIONSHIP Lindemann, Adam M. 3/31/2016 10 U.S.
Letter of Credit 37500000 BPS 100 375000 Stewart Oldfield
Introduction LINDEMANN FAMILY RELATIONSHIP Tan Tan Bo Puking LLC 3/31/2016 0 Priv
ate Wealth Premium Money Market 0 Stewart Oldfield
ETE- Brokerage Series 1 LINDEMANN FAMILY RELATIONSHIP The George Lindemann Family Limited Partners
hip 3/31/2016 0 Brokerage (Commissions) 30000000 BPS 20 60000 Stew
art Oldfield
ETE loan- Series 2 LINDEMANN FAMILY RELATIONSHIP The George Lindemann Family Limited Partners
hip 3/31/2016 0 U.S. Secured Lending (Lombard) 20000000 BPS 135 2700
00 Stewart Oldfield
Deposits LINDEMANN FAMILY RELATIONSHIP The George Lindemann Family Limited Partnership 3/31
/2016 0 Private Wealth Premium Money Market 1000000 BPS 35 3500 Stewart Oldf
ield
ETE Brokerage- Series 2 LINDEMANN FAMILY RELATIONSHIP The George Lindemann Family Limited Partners
hip 3/31/2016 0 Brokerage (Asset-Based Fees) - Advisor Select 30000000 BPS
20 60000 Stewart Oldfield
Introduction LORBER, HOWARD RELATIONSHIP Lorber, Howard 3/31/2016 0 Private Weal
th Premium Money Market 0 Paul Morris
Introduction M20 INCORPORATED RELATIONSHIP M20 Incorporated 3/31/2016 0 Priv
ate Wealth Premium Money Market 0 Stewart Oldfield
Introduction MAKENA CAPITAL MANAGMENT, LLC RELATIONSHIP Makena Capital Mangement, LLC 3/31
/2016 0 Private Wealth Premium Money Market 0 Stewart Oldfield
Introduction MARINER CAPITAL RELATIONSHIP Mariner Capital 3/31/2016 0 Private Weal
th Premium Money Market 0 Stewart Oldfield
Lending MARRON, DONALD B. RELATIONSHIP Marron, Donald B. 3/31/2016 25 U.S. Letter
of Credit 25000000 BPS 100 250000 Paul Morris
Muhart, Gene- MATEER, CRAIG RELATIONSHIP Muhart, Gene 5/31/2016 10 0 Stew
art Oldfield
Goldrush MEISTER, TODD RELATIONSHIP Meister, Todd 6/30/2016 75 U.S. Structu
red Lending (Secured) 90000000 BPS 1235 13365000 Stewart Oldfield
Deposits MEISTER, TODD RELATIONSHIP Meister, Todd 3/31/2016 75 Private Weal
th Premium Money Market 10000000 BPS 35 35000 Paul Morris
Structured Credit MEISTER, TODD RELATIONSHIP Meister, Todd 3/31/2016 25 U.S.
Letter of Credit 50000000 BPS 200 1000000 Paul Morris
Residential Mortgage MEISTER, TODD RELATIONSHIP Meister, Todd 3/31/2016 25 Stan
dard Mortgage - Floating Arm 7000000 BPS 100 70000 Paul Morris
Banking MEISTER, TODD RELATIONSHIP Meister, Robert A. 3/31/2016 25 Private Weal
th Premium Checking w/Interest 10000000 BPS 40 40000 Paul Morris
Fixed Income MOODY, ERIK RELATIONSHIP Moody, Erik V 3/31/2016 10 U.S. IA - Fi
xed 25000000 BPS 35 87500 Paul Morris
Banking MOODY, ERIK RELATIONSHIP Moody, Erik V 3/31/2016 10 Private Wealth Premi
um Checking w/Interest 25000000 BPS 35 87500 Paul Morris
Lending MURSTEIN, ALVIN RELATIONSHIP Murstein, Alvin 3/31/2016 10 U.S. Secured Lending
(Lombard) 50000000 BPS 100 500000 Paul Morris
Banking MURSTEIN, ALVIN RELATIONSHIP Murstein, Andrew 3/31/2016 10 Private Weal
th Premium Checking w/Interest 10000000 BPS 40 40000 Paul Morris
Introduction NAZERIAN, DAVID RELATIONSHIP Nazerian, David 3/31/2016 0 Private Weal
th Premium Money Market 0 Stewart Oldfield
KCP Private Markets ORIX RELATIONSHIP ORIX Corporation 3/31/2016 75 Priv
ate Equity Funds 10000000 Flat Fee 400000 400000 Stewart Oldfield
Infrastructure ORIX RELATIONSHIP ORIX Americas 3/31/2016 25 U.S. Letter of Credi
t 50000000 BPS 200 1000000 Stewart Oldfield
IX Capital Partners- ORIX RELATIONSHIP IX Capital Partners 5/31/2016 10 0
Stewart Oldfield
Structured Credit PARAMI CAPITAL MANAGEMENT RELATIONSHIP Vaid, Rahul 6/30/2016 75
U.S. Secured Lending (Lombard) 50000000 BPS 300 1500000 Paul Morris
Deposits PARAMI CAPITAL MANAGEMENT RELATIONSHIP Parami Capital Management 3/31/2016
75 Private Wealth Premium Money Market 10000000 BPS 35 35000 Paul Morris
Lending PARAMI CAPITAL MANAGEMENT RELATIONSHIP Parami Capital Management 3/31/2016 25
U.S. Structured Lending (Secured) 25000000 BPS 100 250000 Paul Morris
Brokerage PATRIOT STRATEGY PARTNERS RELATIONSHIP Patriot Strategy Partners 3/31/2016
0 Brokerage (Commissions) 25000000 Flat Fee 50000 50000 Paul Morris
Introduction PEREGRINE GROUP RELATIONSHIP Peregrine Group, LLC 3/31/2016 0 Priv
ate Wealth Premium Money Market 0 Stewart Oldfield
Credit Facility PINE RIVER CAPITAL RELATIONSHIP Pine River Capital Management LP 3/31/2016
10 U.S. Letter of Credit 50000000 BPS 100 500000 Paul Morris
Richardson, Julie G.- RICHARDSON, JULIE RELATIONSHIP Richardson, Julie G. 3/31/2016 50
Brokerage (Commissions) 30000000 BPS 5 15000 Paul Morris
Loan ROGER BULLOCH RELATIONSHIP Bulloch, Roger 3/31/2016 10 U.S. Structured Lend
ing (Secured) 20000000 BPS 100 200000 Stewart Oldfield
Introduction ROGER BULLOCH RELATIONSHIP Sher Capital 3/31/2016 0 Private Weal
th Premium Money Market 0 Stewart Oldfield
Introduction ROGER BULLOCH RELATIONSHIP SPB Partners 3/31/2016 0 Private Weal
th Premium Money Market 0 Stewart Oldfield
EFTA01478316
Introduction RUBENSTEIN, KEITH RELATIONSHIP Rubenstein, Keith 3/31/2016 0 Priv
ate Wealth Premium Money Market 0 Paul Morris
Airplane Loan SAPIR, TAMIR RELATIONSHIP Sapir, Tamir 3/31/2016 75 U.S. Structu
red Lending (Secured) 10000000 BPS 200 200015 Stewart Oldfield
KCP SCHMIDT, ERIC RELATIONSHIP Hillspire LLC 3/31/2016 10 Brokerage (Commissio
ns) 0 Stewart Oldfield
Deposits SCHMIDT, ERIC RELATIONSHIP Hillspire LLC 3/31/2016 10 Private Weal
th Premium Checking 50000000 BPS 20 100000 Stewart Oldfield
Introduction SHAMROCK RELATIONSHIP Martin, Greg 3/31/2016 0 Private Wealth Premi
um Money Market 0 Stewart Oldfield
CIO Strategies SIMON, RICHARD M RELATIONSHIP Simon, Richard M. 3/31/2016 25 Glob
al Select - Equities/Balanced 25000000 BPS 35 87500 Paul Morris
CLO 2 SK FAMILY OFFICE RELATIONSHIP Falcon Trail Capital, LLC 3/31/2016 75 Deri
vatives (Equity - Swap) 5000000 BPS 200 100000 Paul Morris
CLO SK FAMILY OFFICE RELATIONSHIP Falcon Trail Capital, LLC 3/31/2016 75 Deri
vatives (Equity - Swap) 5000000 BPS 200 100000 Paul Morris
Structured Notes SK FAMILY OFFICE RELATIONSHIP SK Family Office 3/31/2016 75
Structured Notes & Deposits (Equity) 3000000 Flat Fee 45000 45000 Paul Morris
Loan SK FAMILY OFFICE RELATIONSHIP SK Family Office 3/31/2016 75 U.S. Structu
red Lending (Secured) 5000000 BPS 200 100000 Paul Morris
HELOC SK FAMILY OFFICE RELATIONSHIP SK Family Office 3/31/2016 25 Standard Mor
tgage - Floating Arm 15000000 BPS 100 150000 Paul Morris
Introduction SLIFKA, RANDY RELATIONSHIP Slifka, Alfred A. 3/31/2016 0 Priv
ate Wealth Premium Money Market 0 Stewart Oldfield
HF Secondaries SLOME, IAN RELATIONSHIP Slome, Ian 3/31/2016 25 Hedge Funds 2500
0000 0 Stewart Oldfield
Euro Hedge SNYDER, DANIEL RELATIONSHIP Snyder, Daniel 3/31/2016 10 Brokerage (C
ommissions) 100000000 BPS 20 200000 Stewart Oldfield
DPM Mandate SNYDER, DANIEL RELATIONSHIP Snyder, Daniel 3/31/2016 10 U.S. IA - Eq
uity 50000000 BPS 50 250000 Stewart Oldfield
Brokerage SNYDER, DANIEL RELATIONSHIP Snyder, Daniel 3/31/2016 10 Brokerage (C
ommissions) 10000000 BPS 5 5000 Stewart Oldfield
Loan SNYDER, DANIEL RELATIONSHIP Snyder, Daniel 3/31/2016 0 U.S. Letter of Credi
t 50000000 BPS 100 500000 Stewart Oldfield
Somerset Partners- SOMERSET PARTNERS RELATIONSHIP Somerset Partners 2/29/2016 10
O Paul Morris
Introduction SONEN CAPITAL RELATIONSHIP Sonen Capital 3/31/2016 0 Private Weal
th Premium Money Market 0 Stewart Oldfield
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 SPRUCE PRIVATE INVESTORS LLC RELATIONSHIP Stock, Robert D. 3/31/2016
25 Brokerage (Commissions) 50000000 BPS 100 500000 Stewart Oldfield
Equity Trading SPRUCE PRIVATE INVESTORS LLC RELATIONSHIP Spruce Investment Advisors, LLC 3/31
/2016 25 Brokerage (Commissions) 50000000 BPS 100 500000 Stewart Oldfield
Real Estate Loan STREAM REALTY RELATIONSHIP Stream Realty Partners 3/31/2016 10
Commercial Real Estate 50000000 BPS 100 500000 Paul Morris
Brokerage THARANI, HARESH RELATIONSHIP Tharani, Haresh 3/31/2016 25 Brokerage (C
ommissions) 30000000 BPS 5 15000 Paul Morris
Airplane Finanching THARANI, HARESH RELATIONSHIP Tharani, Haresh 3/31/2016 10 U.S.
Structured Lending (Secured) 10000000 BPS 100 100000 Paul Morris
Credit Draw THE NATIONAL ORGANIZATION OF THE NEW APOSTOLIC CHURCH OF NORTH AMERICA RELATIONSHIP
The National Organization of the New Apostolic Church of North America 3/31/2016 50 U.S.
Secured Lending (Lombard) 10000000 BPS 180 180000 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
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
O 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
Deposits THIRD LAKE CAPITAL RELATIONSHIP SSW 2007 LLC 3/31/2016 10 Private Weal
EFTA01478317
th Premium Money Market 50000000 BPS 40 200000 Paul Morris
Fixed Income THIRD LAKE CAPITAL RELATIONSHIP Third Lake Capital 3/31/2016 10 U.S.
IA - Fixed 100000000 BPS 35 350000 Paul Morris
HF Secondaries TISCH FAMILY RELATIONSHIP TFMG, LLC 3/31/2016 25 Hedge Funds
5000000 Flat Fee 125000 125000 Paul Morris
Deposits TISCH FAMILY RELATIONSHIP TFMG, LLC 3/31/2016 10 Private Weal
th Premium Checking 50000000 BPS 40 200000 Paul Morris
Stock Lending TISCH FAMILY RELATIONSHIP TFMG, LLC 3/31/2016 10 U.S. Structu
red Lending (Secured) 50000000 BPS 100 500000 Paul Morris
HF Secondaries TISCH FAMILY RELATIONSHIP Tisch Financial Management 3/31/2016 0
Hedge Funds 0 Paul Morris
Custody and Trading TISCH FAMILY RELATIONSHIP Tisch Financial Management 3/31/2016
O Onshore Custody 300000000 BPS 20 600000 Paul Morris
Art Financing TOMS CAPITAL LLC RELATIONSHIP TOMS Capital Investment, LLC 3/31/2016 25
U.S. Structured Lending (Secured) 50000000 BPS 100 500000 Paul Morris
Commerical Real Estate TOMS CAPITAL LLC RELATIONSHIP Gottesman, Noam 3/31/2016 10 Comm
ercial Real Estate 50000000 BPS 200 1000000 Paul Morris
Real Estate Financing TOMS CAPITAL LLC RELATIONSHIP TOMS Capital Investment, LLC 3/31/2016
10 U.S. Structured Lending (Secured) 60000000 BPS 100 600000 Paul Morris
Introduction TRUE NORTH ADVISORS RELATIONSHIP True North Advisors, LLC 3/31/2016
O Private Wealth Premium Money Market 0 Stewart Oldfield
Introduction UNITED COMPANY RELATIONSHIP United Company 3/31/2016 0 Private Weal
th Premium Money Market 0 Stewart Oldfield
Lending VIOLA, VINCENT RELATIONSHIP Viola, Vincent 3/31/2016 10 U.S. Letter of Credi
t 25000000 BPS 100 250000 Paul Morris
HF Secondaries WILLETT ADVISORS RELATIONSHIP Willett Advisors, LLC 3/16/2016 25 Hedg
e Funds 5000000 Flat Fee 125000 125000 Stewart Oldfield
Structured Credit WILLETT ADVISORS RELATIONSHIP Willett Advisors, LLC 3/31/2016 10
U.S. Letter of Credit 25000000 BPS 100 250000 Stewart Oldfield
CRE Loan WILSON, WELCOME RELATIONSHIP Wilson, Welcome 3/31/2016 10 Commercial R
eal Estate 200000000 BPS 100 2000000 Paul Morris
Introduction WINSTON ADVISORS RELATIONSHIP Winston Advisors 3/31/2016 0 Priv
ate Wealth Premium Money Market 0 Stewart Oldfield
Petrides, George- YORKTOWN PARTNERS, LLC RELATIONSHIP Petrides, George 3/31/2016
25 Brokerage (Commissions) 10000000 BPS 5 5000 Paul Morris
Banking YORKTOWN PARTNERS, LLC RELATIONSHIP Lawrence, Bryan 3/31/2016 25 Private Weal
th Premium Checking 20000000 BPS 40 80000 Paul Morris
IA YORKTOWN PARTNERS, LLC RELATIONSHIP Warren, Glenn 3/31/2016 25 U.S. IA - RC
M 50000000 BPS 35 175000 Paul Morris
Structured Lending YORKTOWN PARTNERS, LLC RELATIONSHIP Yorktown Partners LLC 3/31/2016
25 U.S. Structured Lending (Unsecured) 50000000 BPS 200 1000000 Paul Morris
Brokerage YORKTOWN PARTNERS, LLC RELATIONSHIP Keenan, William Howard 3/31/2016 10
Brokerage (Commissions) 25000000 BPS 5 12500 Paul Morris
EFTA01478318
Paul 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
3 G CAPITAL RELATIONSHIP 00000492967 Active Tier 2 Offflifff
AVISTA RELATIONSHIP 5/16/2013 00000408824 Active Tier 3 $25 - 50 M <$0.5 M 414.
f$1$
BLUE MOUNTAIN RELATIONSHIP 00000494553 Active Tier 2 *finite H
BOMMER, SCOTT RELATIONSHIP 00000482412 Active Tier 3 $##$#$## H
BRONFMAN, EDGAR RELATIONSHIP 00000482491 Active Tier 2 $##$$$#$ H
CAVALRY RELATIONSHIP 00000483810 Active Tier 1 4441141#1
CUMMINGS, IAN RELATIONSHIP 00000481149 Active Tier 1 $100 - 500 M $250 - 500K ####
(144$
DELL, MICHAEL RELATIONSHIP 1/6/2015 00000409133 Active Tier 1 $50 - 100 M $0.5
- 1 M ########
DINAN, JAMIE RELATIONSHIP 00000482458 Active Tier 3 1111111/ H
ERGEN, CHARLES RELATIONSHIP 7/9/2013 00000448035 Active Tier 1 $50 - 100 M
- 1 M ########
FELDSTEIN, ANDREW RELATIONSHIP 00000480417 Active Tier 2 $50 - 100 m $50 - 100K
f$f$
GAGOSIAN, LARRY RELATIONSHIP 1/12/2015 00000416916 Active Tier 3 $##$#$$#
GATES FOUNDATION RELATIONSHIP 00000487611 Active Tier 2 1111111/ H
LAFFONT, PHILPPE RELATIONSHIP 00000482519 Active Tier 2 1111111/ H
MANDEL, STEPHEN RELATIONSHIP 12/20/2012 00000409312 Active Tier 1 $50 - 100 m $0.5
- 1 M flitifftt
MARRON, DONALD B. RELATIONSHIP 00000487026 Active Tier 3 #104.410 H
PINE RIVER CAPITAL RELATIONSHIP 00000495627 Active Tier 2 #104114.0 H
SCHAEFER, MARLA RELATIONSHIP 00000482432 Active Tier 2 #10411 4.11 H
SIRIS CAPITAL RELATIONSHIP 00000485211 Active Tier 3 #10411 4.11 H
STREAM REALTY RELATIONSHIP 00000495565 Active Tier 2 11111111 H
TABLADA, MARO RELATIONSHIP 00000482398 Active Tier 2 11111111 H
TOMS CAPITAL LLC RELATIONSHIP 6/3/2013 00000409286 Active Tier 1 $$#$#$$$
VIOLA, VINCENT RELATIONSHIP 00000481140 Active Tier 2 $50 - 100 M $100 - 250K
'Mt
WEISS, GEORGE RELATIONSHIP 00000480421 Active Tier 2 $50 - 100 m $100 - 250K
fitf$
YORKTOWN PARTNERS, LLC RELATIONSHIP 00000483947 Active Tier 3 f$$$$#$$
EFTA01478319
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
ANNANDALE CAPITAL RELATIONSHIP 00000499580 Active Tier 2 9/20/2015
BBR PARTNERS RELATIONSHIP 11/10/2014 00000480937 Active Tier 2 <$25K 9/20/2015
H
BLUESTEM LLC RELATIONSHIP 00000499584 Active Tier 3 9/20/2015
CARUSO, RICHARD RELATIONSHIP 1/6/2015 00000411476 Active Tier 2 $10 - 25 M <$25
K 9/20/2015
CFM RELATIONSHIP 00000508292 Active Tier 2 9/20/2015
COLLIS, CHARLES RELATIONSHIP 00000499562 Active Tier 2 9/20/2015
DORRANCE FAMILY RELATIONSHIP 8/3/2015 00000409820 Inactive Tier 1 1.5E9 $100
- 500 m $25 - 50K 9/20/2015
DUNCAN INVESTMENTS RELATIONSHIP 00000499619 Active Tier 2 9/20/2015
FORRESTAL CAPITAL RELATIONSHIP 2/18/2015 00000475431 Active Tier 1 9/20/2015
GEORGETOWN UNIVERSITY RELATIONSHIP 00000495959 Active Tier 2 9/20/2015
GETZ FAMILY RELATIONSHIP 8/19/2015 00000421545 Inactive Tier 1 $100 - 500 M
$250 - 500K 9/20/2015
HIGHLANDER PARTNERS RELATIONSHIP 00000499594 Active Tier 2 9/20/2015 H
KIM, STEVEN RELATIONSHIP 00000499732 Active Tier 2 9/20/2015
MAKENA CAPITAL MANAGMENT, LLC RELATIONSHIP 00000499849 Active Tier 2 9/20/2015
ORIX RELATIONSHIP 00000497520 Active Tier 2 9/20/2015
ROGER BULLOCH RELATIONSHIP 00000514745 Active Tier 2 9/20/2015 H
SCHMIDT, ERIC RELATIONSHIP 12/4/2014 00000409366 Active Tier 2 >$500 M <$0.5 M 9/20
/2015 H
SHAMROCK RELATIONSHIP 00000508301 Active Tier 2 9/20/2015
SLOME, IAN RELATIONSHIP 00000499573 Active Tier 2 9/20/2015
SNYDER, DANIEL RELATIONSHIP 00000495876 Active Tier 2 9/20/2015 H
SONEN CAPITAL RELATIONSHIP 00000507994 Active Tier 2 9/20/2015 H
SPRUCE PRIVATE INVESTORS LLC RELATIONSHIP 11/3/2014 00000416313 Active Tier 3 $10
- 25 M <$25K 9/20/2015
EFTA01478320
Clients
Customer Name Last Call Note Customer Number Status Relationship Classification Last Modifie
d Date Category
BLANK, ARTHUR M. RELATIONSHIP 8/3/2015 00000409087 Active Tier 2 9/20/2015 H
BOIES FAMILY RELATIONSHIP 8/3/2015 00000474263 Active Tier 2 9/20/2015 H
DZIALGA, KIRSTEN S MARK RELATIONSHIP 00000492969 Active Tier 2 10/19/2015
GENERAL ATLANTIC FAMILY OFFICE RELATIONSHIP 00000492971 Active Tier 2 9/20/2015 H
THIRD LAKE CAPITAL RELATIONSHIP 10/1/2014 00000490359 Active Tier 2 9/20/2015
TISCH FAMILY RELATIONSHIP 7/22/2013 00000409409 Active Tier 1 9/20/2015
ELLIN, HOWARD RELATIONSHIP 8/3/2015 00000474212 Active Tier 3 9/20/2015
ELYSIUM MANAGEMENT RELATIONSHIP 00000483288 Active Tier 2 9/20/2015
KLEIN, LISA RELATIONSHIP 12/14/2012 00000440552 Active Tier 3 10/19/2015
LINDEMANN FAMILY RELATIONSHIP 2/6/2015 00000427075 Active Tier 3 10/19/2015
SK FAMILY OFFICE RELATIONSHIP 00000481998 Active Tier 1 9/20/2015
SOUTHERN FINANCIAL RELATIONSHIP 00000483290 Active Tier 1 10/19/2015
THE NATIONAL ORGANIZATION OF THE NEW APOSTOLIC CHURCH OF NORTH AMERICA RELATIONSHIP 8/3/2015
00000499740 Active Tier 2 9/20/2015
EFTA01478321
Prospects
Customer Name Last Call Note Customer Number Status Relationship Classification Last Modifie
d Date Category
3 G CAPITAL RELATIONSHIP 00000492967 Active Tier 2 9/20/2015
ANNANDALE CAPITAL RELATIONSHIP 00000499580 Active Tier 2 9/20/2015
AVISTA RELATIONSHIP 5/16/2013 00000408824 Active Tier 3 9/20/2015
BBR PARTNERS RELATIONSHIP 11/10/2014 00000480937 Active Tier 2 9/20/2015
BLUE MOUNTAIN RELATIONSHIP 00000494553 Active Tier 2 9/20/2015
BLUESTEM LLC RELATIONSHIP 00000499584 Active Tier 3 9/20/2015
BONIER, SCOTT RELATIONSHIP 00000482412 Active Tier 3 9/20/2015
BRONFMAN, EDGAR RELATIONSHIP 00000482491 Active Tier 2 9/20/2015
CARUSO, RICHARD RELATIONSHIP 1/6/2015 00000411476 Active Tier 2 9/20/2015
CAVALRY RELATIONSHIP 00000483810 Active Tier 1 9/20/2015
CFM RELATIONSHIP 00000508292 Active Tier 2 9/20/2015
COLLIS, CHARLES RELATIONSHIP 00000499562 Active Tier 2 9/20/2015 H
CUMMINGS, IAN RELATIONSHIP 00000481149 Active Tier 1 9/20/2015 H
DELL, MICHAEL RELATIONSHIP 1/6/2014 00000409133 Active Tier 1 9/20/2015
DINAN, JAMIE RELATIONSHIP 00000482458 Active Tier 3 9/20/2015 H
DORRANCE FAMILY RELATIONSHIP 8/3/2015 00000409820 Inactive Tier 1 9/20/2015
H
DUNCAN INVESTMENTS RELATIONSHIP 00000499619 Active Tier 2 9/20/2015 H
ERGEN, CHARLES RELATIONSHIP 7/9/2013 00000448035 Active Tier 1 9/20/2015 H
FELDSTEIN, ANDREW RELATIONSHIP 00000480417 Active Tier 2 9/20/2015 H
FORRESTAL CAPITAL RELATIONSHIP 2/18/2015 00000475431 Active Tier 1 9/20/2015 H
GAGOSIAN, LARRY RELATIONSHIP 1/12/2015 00000416916 Active Tier 3 9/20/2015 H
GATES FOUNDATION RELATIONSHIP 00000487611 Active Tier 2 9/20/2015 H
GEORGETOWN UNIVERSITY RELATIONSHIP 00000495959 Active Tier 2 9/20/2015
GETZ FAMILY RELATIONSHIP 8/19/2015 00000421545 Inactive Tier 1 9/20/2015
H
HIGHLANDER PARTNERS RELATIONSHIP 00000499594 Active Tier 2 9/20/2015 H
KIM, STEVEN RELATIONSHIP 00000499732 Active Tier 2 9/20/2015 H
LAFFONT, PHILPPE RELATIONSHIP 00000482519 Active Tier 2 9/20/2015 H
MAKENA CAPITAL MANAGMENT, LLC RELATIONSHIP 00000499849 Active Tier 2 9/20/2015
MANDEL, STEPHEN RELATIONSHIP 12/20/2012 00000409312 Active Tier 1 9/20/2015
MARRON, DONALD B. RELATIONSHIP 00000487026 Active Tier 3 9/20/2015 H
ORIX RELATIONSHIP 00000497520 Active Tier 2 9/20/2015
PINE RIVER CAPITAL RELATIONSHIP 00000495627 Active Tier 2 9/20/2015 H
ROGER BULLOCH RELATIONSHIP 00000514745 Active Tier 2 9/20/2015 H
SCHAEFER, MARLA RELATIONSHIP 00000482432 Active Tier 2 9/20/2015 H
SCHMIDT, ERIC RELATIONSHIP 12/4/2014 00000409366 Active Tier 2 9/20/2015
SHAMROCK RELATIONSHIP 00000508301 Active Tier 2 9/20/2015
SIRIS CAPITAL RELATIONSHIP 00000485211 Active Tier 3 9/20/2015 H
SLOME, IAN RELATIONSHIP 00000499573 Active Tier 2 9/20/2015
SNYDER, DANIEL RELATIONSHIP 7/3/2015 00000495876 Active Tier 2 9/20/2015
SONEN CAPITAL RELATIONSHIP 00000507994 Active Tier 2 9/20/2015 H
SPRUCE PRIVATE INVESTORS LLC RELATIONSHIP 11/3/2014 00000416313 Active Tier 3 9/20
/2015 H
STREAM REALTY RELATIONSHIP 00000495565 Active Tier 2 9/20/2015 H
TABLADA, MARO RELATIONSHIP 00000482398 Active Tier 2 9/20/2015 H
TOMS CAPITAL LLC RELATIONSHIP 6/3/2013 00000409286 Active Tier 1 9/20/2015 H
VIOLA, VINCENT RELATIONSHIP 00000481140 Active Tier 2 9/20/2015 H
WEISS, GEORGE RELATIONSHIP 00000480421 Active Tier 2 9/20/2015 H
YORKTOWN PARTNERS, LLC RELATIONSHIP 00000483947 Active Tier 3 9/20/2015 H
DELUCA, FREDERICK RELATIONSHIP 11/5/2014 00000409192 Inactive Tier 1 9/20/2015
A
54 MADISON PARTNERS RELATIONSHIP 00000520240 Active Tier 1 10/14/2015
ALAGAPPAN, ARUN RELATIONSHIP 00000482385 Active Tier 1 9/20/2015
AMOROUSO, PAUL RELATIONSHIP 00000482396 Inactive Tier 2 9/20/2015
ARCHSTONE MULTIFAMILY PARTNERS AC, LP RELATIONSHIP 11/5/2014 00000469740 Inactive
Tier 1 9/20/2015
ARDEN ASSET MGMT RELATIONSHIP 00000499582 Active Tier 2 9/20/2015
ARROWPOINT PARTNERS RELATIONSHIP 00000493738 Active Tier 2 9/20/2015
ASPEN GROVE CAPITAL RELATIONSHIP 00000493757 Active Tier 2 9/20/2015
ASTON, SHERRELL RELATIONSHIP 00000482400 Active Tier 2 9/20/2015
ATLAS PIPELINE PARTNERS, LP RELATIONSHIP 00000495788 Active Tier 2 9/20/2015
BARRY, MITCHELL RELATIONSHIP 00000482402 Active Tier 2 9/20/2015
BASQUTAT RELATIONSHIP 00000486597 Active Tier 2 9/20/2015
BENEFIT STREET PARTNERS RELATIONSHIP 00000494492 Active Tier 2 9/20/2015
BERTAGNA, ROBERT RELATIONSHIP 00000482406 Inactive Tier 2 9/20/2015
BHALLA, AJAY RELATIONSHIP 00000482389 Active Tier 2 9/20/2015
BLACK, LEON D. RELATIONSHIP 6/5/2013 00000409101 Inactive Tier 1 9/20/2015
BLATT, MITCHELL RELATIONSHIP 00000482408 Active Tier 2 9/20/2015
BRACK CAPITAL RELATIONSHIP 00000507983 Active Tier 2 9/20/2015
BRADLEY, THOMAS RELATIONSHIP 00000482414 Active Tier 2 9/20/2015
BRANDIS, STEVE RELATIONSHIP 00000482416 Active Tier 2 9/20/2015
BRESLOW, LEN RELATIONSHIP 00000482420 Inactive Tier 2 9/20/2015
BRIGHT GROUP RELATIONSHIP 00000499587 Active Tier 3 9/20/2015
BROWN, BATES RELATIONSHIP 00000482426 Inactive Tier 2 9/20/2015
BRUDERMAN, MATTHEW RELATIONSHIP 00000482429 Inactive Tier 2 9/20/2015
EFTA01478322
CANDOVER INVESTMENTS RELATIONSHIP 00000483659 Inactive Tier 2 9/20/2015
CANTER, STEPHEN RELATIONSHIP 00000481394 Inactive Tier 2 9/20/2015
CHOU, SILAS RELATIONSHIP 00000482437 Active Tier 1 9/20/2015
CLINE, MICHAEL RELATIONSHIP 00000482481 Active Tier 2 9/20/2015
COLD SPRING HARBOR LABORATORY RELATIONSHIP 00000481396 Active Tier 2 9/20/2015
COOPER, FRED RELATIONSHIP 00000482464 Active Tier 3 9/20/2015
CORRIGAN, PATTON RELATIONSHIP 00000481136 Active Tier 3 9/20/2015
COX, BERRY RELATIONSHIP 00000495990 Active Tier 3 9/20/2015
CROSS, LISA RELATIONSHIP 00000487462 Active Tier 2 9/20/2015
CV STARR RELATIONSHIP 00000499589 Active Tier 3 9/20/2015
DANIELS, JOSEPH RELATIONSHIP 00000482485 Inactive Tier 2 9/20/2015
DENATALE, ROBERT RELATIONSHIP 00000482487 Inactive Tier 2 9/20/2015
DOCK STREET CAPITAL RELATIONSHIP 00000520273 Active Tier 1 10/16/2015
DODD, RYAN RELATIONSHIP 00000482489 Active Tier 2 9/20/2015
DONALD BRYANT JR. RELATIONSHIP 6/1/2013 00000469399 Active Tier 2 9/20/2015
ELLMAN, STUART RELATIONSHIP 00000482462 Active Tier 3 9/20/2015
ENCAP INVESTMENTS RELATIO
ℹ️ Document Details
SHA-256
a4c6aa87a1eb89148b9652b09c16637beea15c4f33f5adb74c1d5cdf8ccfe3a9
Bates Number
EFTA01478313
Dataset
DataSet-10
Document Type
document
Pages
12
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