EFTA01398967.pdf

Gonzalez Customer Number Customer Name Type * High Risk * Moderate Risk Annual Client Update Due Dat e Auto Exempt Reason Exemption Reason Customer Owner Skychai Corporation Ltd. Client 7/6/2017 Mark Gonzale Riverside Europe Fund III, LP Client 8/11/2017 Mark Gonzale MAGCAP, LTD. Client Y N 9/9/2017 Mark Gonzalez Alsis Latin America Fund II LP Client Y N 9/20/2017 Mark Gonzale Civitas Canyon Mezzanine Fund, LP Client N Y 9/23/2017 Mark Civitas Race Street Fund, LP Client N Y 9/23/2017 Mark Gonzale Civitas Strand Fund, LP Client N • 9/23/2017 Mark Gonzalez 555 W 23 N4R LLC Client Y N 9/29/2017 Mark Gonzalez 435 E 76 3D LLC Client Y N 9/29/2017 Mark Gonzalez 2255 ACPB PHA LLC Client N 9/29/2017 Mark Gonzalez 67 Liberty PHB LLC Client Y N 9/29/2017 Mark Gonzalez 635 W 42 7E LLC Client Y N 9/29/2017 Mark Gonzalez M K Reichert Sternlicht Foundation Client N 10/11/2017 Mark Dauphin Fletcher, Aurelie Client • 10/13/2017 Mark Gonzale Bal Harbour 1604N, LLC Client Y N 10/26/2017 Mark Gonzalez First S 91st LLC Client Y N 10/26/2017 Mark Gonzalez Forkosh, Alexander Client Y 10/26/2017 Mark Gonzalez Alternative Solutions Insurance Company, Ltd, SPC Client 11/9 Gonzalez Civitas State Thomas Fund, LP Client 11/16/2017 Mark Gonzale Eli Wilner LLC Client N 11/17/2017 Mark Gonzalez Trigo, Santiago Client N 11/25/2017 Mark Gonzalez Civitas Hudson Exchange Fund, LP Client N Y 11/28/2017 Mark Civitas TCR Mezzanine Fund I, LP Client N Y 11/28/2017 Mark Civitas ST Investors, LP Client N Y 11/28/2017 Mark Gonzale Civitas TCR Downtown Equity, LP Client N Y 11/28/2017 Mark Gonzale Civitas Hotel Alessandra Fund, LP Client N Y 11/28/2017 Mark Civitas Permian Basin Hotels, LP Client N Y 11/28/2017 Mark Civitas Capital Management, LLC Client N r 11/28/2017 Mark Gonzale Eastern Re Ltd. SPC Client 11/29/2017 Mark Gonzalez WILLIAM BLAIR GLOBAL COMMODITY SPECIALIST FUND LLC Client 12/1 Gonzalez WILLIAM BLAIR GREEN TERRAIN DISBURSEMENT FUND LLC Client N Y 12/1 Gonzalez WILLIAM BLAIR GREEN TERRAIN FUND, L.P. Client N • 12/1/2017 Mark WILLIAM BLAIR GCS SPV, LLC Client N 12/1/2017 Mark Gonzale WILLIAM BLAIR GREEN TERRAIN TE FUND, L.P. Client N Y 12/1/2017 z WILLIAM BLAIR MANAGED FUTURES FUND LLC. Client N Y 12/1/2017 Mark WILLIAM BLAIR BLUE TERRAIN TE FUND, L.P. Client N Y 12/1/2017 z WILLIAM BLAIR MARBLE PLACE TE FUND, L.P.. Client N Y 12/1/2017 z WILLIAM BLAIR MASTER FUND, LLC Client N 12/1/2017 Mark Gonzale WILLIAM BLAIR BLUE TERRAIN FUND, L.P. Client N 12/1/2017 Mark WILLIAM BLAIR BLACK TERRAIN TE FUND, L.P. Client N • 12/1/2017 z WILLIAM BLAIR BLACK TERRAIN FUND, L.P. Client N 12/1/2017 Mark WILLIAM BLAIR ALL TERRAIN TE FUND, L. P. Client N • 12/1/2017 z WILLIAM BLAIR ALL TERRAIN FUND, L.P. Client N 12/1/2017 Mark William Blair SG Capital SPV, LLC Client N 12/1/2017 Mark Pereira, Michael B Client N N 12/2/2017 Mark Gonzalez EFTA01398967  CaroMont Insurance Services Ltd. Client 12/8/2017 Mark Civitas Garnet Fund, LP Client N Y 12/12/2017 Mark Gonzalez Civitas M&M Mezzanine Fund, LP Client N Y 12/12/2017 Mark Gonzale Civitas EB-5 Fund 21, LP Client N Y 12/12/2017 Mark Gonzale Zahringer, Alexander Client N N 12/12/2017 Mark Gonzalez Zahringer, Anne C. Client N N 12/12/2017 Mark Gonzalez Zahringer, III, George J. Client N N 12/12/2017 Mark Gonzale Duff, Mary Client N N 12/15/2017 Mark Gonzalez GUIDANCE ENHANCED GREEN TERRAIN FUND LLC Client N 12/22/2017 z TanCayman Insurance Company SPC, Ltd. Client 1/5/2018 Mark Bedrock Finance Ltd. Client N 1/9/2018 Mark Gonzalez Seahawk Trading Corp. Client N 1/9/2018 Mark Gonzalez Furman, Gail Client Y N 1/9/2018 Mark Gonzalez Civitas Huntington Beach Hotel Fund, LP Client N Y 1/20/2018 Mark Miriam Klein Sternlicht Revocable Trust Client N Y 1/23/2018 Mark Duran, Louise Client N 2/15/2018 Mark Gonzalez Duran, Chris Client N 2/15/2018 Mark Gonzalez Gapstow Community Financials Fund LP Client Y N 3/2/2018 Mark Gapstow Credit & Special Situations Master Fund LP Client Y 3/2/ Gonzalez CJA Public Private Multi Manager Master Fund, L.P. Client Y 3/2/ Gonzalez CJA Private Equity Financial Restructuring Master Fund I, L.P. Client Y N Mark Gonzalez Gapstow Real Estate Yield Master Fund, L.P. Client Y 3/2/2018 z Gapstow Opportunity Master Fund, LP Client 3/2/2018 Mark Gapstow Capital Partners LP Client Y N 3/2/2018 Mark Gonzale Gapstow Structured Credit Master Fund LP Client Y 3/2/2018 z Sternlicht, Miriam Client N N 3/13/2018 Mark Gonzalez Sidhom, Rafik Client N Y 3/16/2018 Mark Gonzalez DBTCA as Trustee for the Benefit of Safety National Casualty Corporation Clie N 3/21/2018 Mark Gonzalez WILLIAM BLAIR MARBLE PLACE FUND L.P. Client N Y 3/22/2018 Mark United Integrity Assurance Ltd. Client N Y 3/24/2018 Mark Gonzale CAB Holding LP Client N N 5/15/2018 Mark Gonzalez Ross, Richard Client N N 10/24/2018 Mark Gonzalez For internal use only EFTA01398968