EFTA01475859.pdf

Score card KCP Partnership Tracking Total Client Partnerships SUM(011+D25+D31+032)=51 Total 4 opportunities Shown SUM(F11+F25+F31+F32)=123 Total 4 Opportunities with Engagement SUM(G11+G25+631+G32)=50 Average Net Worth (MM) AVERAGE(E11,E25,E31,E32)=4987.772657450077 Client 4 Avg NW (MM) 4 Opps Shown 4 opps w/ Engagement Private Markets 'Private Markets'!R35=32 AVERAGE('Private Markets'!03:034)=4348.709677419355 'Private Markets'!R36=99 'Private Markets'!S36=26 Suntex 'Private Markets'!E35=12 'Private Markets'!E36=3 AcTRS 'Private Markets'!F35=5 'Private Markets'!F36=1 RIN 'Private Markets'!G35=7 'Private Markets'!G36=0 Retrofit 'Private Markets'!H35=1 'Private Markets'!H36=0 ABR-RE 'Private Markets'!135=10 'Private Markets'!136=1 Astra 'Private Markets'!J35=15 'Private Markets'!J36=6 Extel 'Private Markets'!K35=10 'Private Markets'!K36=5 RESOF 'Private Markets'!L35=16 Private Markets'!L36=6 Proton 'Private Marketsf !M35=3 'Private Markets'!M36=0 Phoenix 'Private Markets'!N35=5 'Private Markets'!N36=0 Lease 'Private Markets'1035=5 'Private Markets'5036=0 Panda 'Private Markets'!P35=3 'Private Markets'!P36=1 ADS 'Private Markets'!Q35=7 'Private Markets'!Q36=0 Markets/CB&S Markets CE4S'!B20=14 ' Markets CBaS' IH23=5385.714285714285 'Markets CB&S'!D23=1 9 F25=19 CLO 'Markets CB&S'!C20=8 F26=8 CMBS 'Markets CB&S'!D20=1 F27=1 Sturctured Credit 'Markets CB&S'!E20=3 F28=3 CRE 'Markets CB&S'!F20=7 F29=7 Municipal Finance 'Markets CB&S'!G20=0 F30=0 Capital Markets Markets!B11=5 Markets!C11=9066.666666666666 D31=5 F31=5 Risk Factors 'Risk Factors'!B10=0 'Risk Factors'!C10=1150 D32=0 F32=0 EFTA01475859 Private Markets Relationship Name First Last net worth (MM) Suntex AcTRS RIN Retrofit ABR Astra Extell RESOF Proton Phoenix Lease Monetization Panda ADS Shown? Discussed Annandale Capital 281 sent 3/20. May have interest in second close sent 3/20 sent 3/1 sent 3/24 SUMPRODUCT(ISTEXT(E3:Q3)*1)=4 1 Anschutz Scott Carpenter 1000 sent 12/18 sent 3/18. Passed 4/1 Sent 10/7 SUMPRODUCT(ISTEXT(E4:Q4)*1)=3 1 BBR Partners Todd Whitenack 9500 on Blackrock DNC list sent 3/16. Passed 3/24 SUMP RODUCT(ISTEXT(E5:Q5)*1)=2 1 Blue Mountain Peter Greatrex 500 Sent 9/22 SUMPRODUCT(ISTEXT(E6:Q6)*1)=1 0 Bluestem LLC 1500 sent 3/1. Passed 3/12 SUMPRODUCT(ISTEXT(E7:Q7)*1)=1 1 Bulloch, Roger Roger Bulloch 1000 sent 8/12 sent 3/1 SUMPRODUCT(ISTEXT(E8:Q8)*1)= 2 0 Caruso, Richard Gary Deilella 3500 sent 7/28 SUMPRODUCT(ISTEXT(E9:Q9)*1)=1 0 CFM Rob 11000 sent 2/26. Passed 2/26 Convey sending? y SUMPRODUCT(ISTEXT(E10:Q10)*1 )=3 1 Dart Management Sharon Cornwell 6600 sent 12/18 teaser sent 2/5 SUMPRODUCT(ISTEXT(E1 1:Q11)*1)=2 0 Shamrock Greg Martin 1200 sent 11/7, discussed 1/15, follow up 8/12 teaser sent 2/5 sent 3/1 sent 2/26 mentioned 11/6, sent 3/16 Sent 10/7 y SUMP RODUCT(ISTEXT(E12:Q12)*1)=7 2 EverWatch Financial Frohman Anderson 1000 sent 8/12 sent 3/18. Passed 3/30 sent 3/16 Sent 11/10 Sent 10/7 Sent 10/19 y SUMPRODUCT(ISTEXT(E13:Q13)*1)=7 1 Forrestal Capital Annette Franqui 3600 sent 12/12, follow-up 1/5, 8/12 sent 3/1 sent 2/26 SUMPRODUCT(ISTEXT(E14:Q14)*1)=3 0 General Atlantic Gene Lynch 17400 Sent 11/6/15 SUMPRODUCT(ISTEXT(E15:Q15)*1)=1 0 Georgetown U 1500 teaser sent 2/5 sent 3/16. Passed 3/19 SUMPRODUCT(ISTEXT(E16:Q16)*1)=2 1 Granite Group Lyle Himebaugh III sent 3/16 SUMPRODUCT(ISTEXT(E17:Q17)*1)=1 0 Highlander Partners Stanley Bould 900 sent 12/12 sent 3/1. Passed 3/30 sent 3/16. Passed 3/30 SUMPRODUCT(ISTEXT(E18:Q18)*1)=3 2 Infinity Q 1300 sent 8/12 teaser sent 2/5 sent 3/1. Passed 3/30 sent 2/26. Passed 3 /30 sent 3/16. Passed 3/30 SUMPRODUCT(ISTEXT(E19:Q19)*1)=5 3 Ironsides AM 406 sent 8/12 sent 3/1 sent 3/24 SUMPRODUCT(ISTEXT(E20:Q20)*1 )=3 0 M20 Inc 1000 sent 3/1. Passed 3/2 SUMPRODUCT(ISTEXT(E21:Q21)*1)=1 1 Makan, Divesh ICONIQ Capital LLC 1000 sent 12/18 sent 2/26 SUMPRODUCT(ISTEXT(E2 2:Q22)*1)=2 0 Merage Richard Merage 1800 teaser sent 1/23, follow up 8/12 on Blackrock DNC list sent 2/26 sent 3/16 SUMPRODUCT(ISTEXT(E23:Q23)*1)=4 1 Orix Bonnie Mitra 1000 teaser sent 11/25, discussed 1/20 sent 12/18, met w/ Baxter 1/ 20 sent 12/5 Folled up 9/10 teaser sent and call 2/5. passed 3/27 sent 3/1 sent 3/16 sent 7/28 Sent 9/10 Sent 10/7 SUMPRODUCT(ISTEXT(E24:Q24)*1)=9 3 Peregrine Group 300 mentioned 12/4 mentioned 12/4 sent 3/1 SUMPRODUCT(ISTEXT(E25:Q25)*1 )=3 0 Schmidt, Eric Chuck Chai 9000 teaser sent 11/12, follow up 1/5 , 8/12 teaser sent 2/5 sent 3/1 sent 2/24. passed 3/27 sent 3/16 Sent 9/14 Sent 10/7 SUMPRODUCT(ISTEXT(E2 6:Q26)*1)=7 1 Slome, Ian John Service 1000 teaser sent 2/5 passed 2/27 mentioned 2/26, sent 3/16. Passed 3/30 SUMPRODUCT(ISTEXT(E27:Q27)*1)=3 1 Willett Advisors Brad Briner 37200 sent 12/18 sent 12/5 sent 3/1 disc ussed 2/25 no interest sent 3/16. passed 4/13 SUMPRODUCT(ISTEXT(E28:Q28)*1)=5 2 Thirdlake 15000 sent 3/24 sent 3/24 sent 3/24 sent 3/24 sent 3/24 discussed y SUMPRODUCT(ISTEXT(E29:Q29)*1)=7 2 Sonen 323 sent 11/10 discussed SUMPRODUCT(ISTEXT(E30:Q30)*1)=2 1 Duncan 500 y SUMPRODUCT(ISTEXT(E31:Q31)*1)=1 0 Illig 3000 y SUMPRODUCT(ISTEXT(E32:Q32)*1)=1 0 Hillspire 1000 y SUMPRODUCT(ISTEXT(E33:Q33)*1)=1 0 Dock Street 500 sent 10/27 sent 10/27 SUMPRODUCT(ISTEXT(E34:Q34)*1)=2 0 shown SUMPRODUCT(ISTEXT(E3:E34)*1)=12 SUMPRODUCT(ISTEXT(F3:F34)*1)=5 SUMPRODUCT(ISTEXT(G3:G34)*1) =7 SUMPRODUCT(ISTEXT(H3:H34)*1)=1 SUMPRODUCT(ISTEXT(13:134)*1)=10 SUMPRODUCT(ISTEXT(J3:J34)*1) =15 SUMPRODUCT(ISTEXT(K3:K34)*1)=10 SUMPRODUCT(ISTEXT(L3:L34)*1)=16 SUMPRODUCT(ISTEXT(M3:M34)*1) =3 SUMPRODUCT(ISTEXT(N3:N34)*1)=5 SUMPRODUCT(ISTEXT(03:034)*1)=5 SUMPRODUCT(ISTEXT(P3:P34)*1) =3 SUMPRODUCT(ISTEXT(Q3:Q34)*1)=7 COUNT(R3:R34)=32 discussed 3 1 0 0 1 6 5 6 0 0 0 1 0 SUM(R3:R34)=99 SUM(S3:S34)=26 EFTA01475860 Markets CMS Client CLO CMBS Sturctured Credit CRE Municipal Finance Net Worth (MM) Third Lake y 15000 54 Madison y 300 Dorrance y 3000 JL Squared Y 500 General Atlantic Y 17400 SIC y 500 Everwatch Y Y 1000 Dish Y Aspen Grove Y Shamrock y y Caruso y y Hillspire y y Anschutz y y orix y Totals SUMPRODUCT(ISTEXT(B4:B19)*1)=14 SUMPRODUCT(ISTEXT(C4:C19)*1)=8 SUMPRODUCT(ISTEXT(D4:D19)*1) =1 SUMPRODUCT(ISTEXT(E4:E19)*1)=3 SUMPRODUCT(ISTEXT(F4:F19)*1)=7 SUMPRODUCT(ISTEXT(G4:G19)*1) =0 Grand Total SUM(C20:G20)=19 Average AVERAGE(H4:H19)=5385.714285714285 EFTA01475861 Markets Client Net Worth Elysium 5100 Dan Snyder 2100 Shumway 8000 Willet 37200 Iconiq 1000 Southern Financial 1000 Count SUMPRODUCT(ISTEXT(34:B8)*1)=5 AVERAGE(C4:C9)=9066.666666666666 Average EFTA01475862 Risk Factors Client Net Worth 500 1000 1500 750 2000 Total SUMPRODUCT(ISTEXT(B4:B8)*1)=0 AVERAGEIC4:C8)=1150 Average EFTA01475863