EFTA01475385.pdf

Q4 High Probability Pipeline 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 75000000 Flat Fee - 2000000 Morris Brokerage Account Southern Financial LLC 12/31/2015 75 Brokerage 10000000 BPS 20 20000 Morris SSW 2007 LLC- SSW 2007 LLC 12/31/2015 75 None Market 50000000 BPS 40 EFTA01475385  aul 25 ustomer Name Last Call Note Customer Number Status Relationship Classification Rel. Net Wor h Relationship Investable Assets (Est.) Revenue Potential ($M per annum) Last Modifie d Date Last Activity Date Date Contacted Forbes Ranking Category Notes EFTA01475386 EFTA01475387 Stew 25 Customer Name Last Call Note Customer Number Status Relationship Classification Rel. Net Wor th Relationship Investable Assets (Est.) Revenue Potential ($M per annum) Last Modifie d Date Last Activit Date Date Contacted Cate•or Notes EFTA01475388 Clients Customer Name Last Call Note Customer Number Status Relationship Classification Last Modifie d Date Category SOUTHERN FINANCIAL RELATIONSHIP 00000483290 Active Tier 1 10/19/2015 EFTA01475389 Pospects 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 EFTA01475390 EFTA01475391 EFTA01475392 Pipeline- Full Opportunity Name Customer Name Close Date C%) Product Name Actual Assets Stru cture BPS Flat Fee Actual Revenue Sales Team Member EFTA01475393 EFTA01475394 Additional Brokerage Sout ern F nano a LLC 1 •1 B 75 11 0000 Flat Fee 2000000 2000000 Paul Morris Structured Credit Southern Financial LLC 9/30/2015 50 U.S. Letter of Credit 5000 0000 BPS 300 1500000 Paul Morris 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 EFTA01475395 SUM(F2:F117)=4.9055E9 SUM(12:I117)=56078500 EFTA01475396