📄 Extracted Text (5,602 words)
Q4 High Probability Pipeline
Opportunity Name Customer Name Close Date (It) Product Name Actual Assets Stru
cture BPS/Flat Fee Actual Revenue Sales Team Member Estimated Month # 2015 Est 2015 Rev
Est 2016 Rev
KCP Black, Leon D. 12/31/2015 75 Brokerage 50000000 BPS 5 2500
0 Morris 1 IF(G2="BPS",12*(K2/12),12)=2083.333333333333 IF(G2="BPS",12,0)=25000
Banking Black, Leon D. 12/31/2015 90 Checking 50000000 BPS 40 2000
00 Morris 1 IF(G3="BPS",13*(K3/12),13)=16666.666666666664 IF(G3="BPS",13,0)=200000
Margin Loan DF Enterprises 12/31/2015 75 Lombard 250000000 BPS 65 1625
000 Morris 1 IF(G4="BPS",I4*(K4/12),I4)=135416.66666666666 IF(G4="BPS",I4,0)=1625000
KKR EverWatch Financial 12/31/2015 75 Private Equity Funds 5000000 Flat Fee
- 200000 Morris 0 IF(G5="BPS",15*(K5/12),15)=200000 IF(G5="BPS",15,0)=0
Brokerage Gratitude America 12/31/2015 75 Brokerage 10000000 BPS
20 20000 Morris 1 IF(G6="BPS",16*(K6/12),16)=1666.6666666666665 IF(G6="BPS",16,0)=20
000
Deposits Meister, Todd 12/31/2015 75 Money Market 10000000 BPS 35
35000 Morris 1 IF(G7="BPS",17*(K7/12),17)=2916.6666666666665 IF(G7="BPS",17,0)=35000
Phoenix America ORIX Corporation 12/31/2015 75 Private Equity Funds 10000000
Flat Fee - 400000 Oldfield 0 IF(G8="BPS",18*(KB/12),18)=400000 IF(G
8="BPS",18,0)=0
Deposits Parami Capital Management 12/31/2015 75 Money Market 10000000
BPS 35 35000 Morris 1 IF(G9="BPS",19*(K9/12),19)=2916.6666666666665 IF(G9="BPS",
19,0)=35000
Goldrush Parami Capital Management 12/31/2015 75 Structured Lending 9000
0000 BPS 1235 13365000 Morris 1 IF(G10="BPS",I10*(K10/12),I10)=1113750 IF(G
10="BPS",I10,0)=13365000
Structured Notes SK Family Office 12/31/2015 75 Structured Notes 3000
000 Flat Fee - 45000 Morris 0 IF(G11="BPS",I11*(K11/12),I11)=45000 IF(G
11="BPS",I11,0)=0
Loan SK Family Office 12/31/2015 75 Structured Lending 5000000 BPS 200
100000 Morris 1 IF(G12="BPS",112*(K12/12),I12)=8333.333333333332 IF(G12="BPS",I12,0)=
100000
Additional Brokerage Southern Financial LLC 12/31/2015 75 Brokerage 75000000
BPS 20 F13*(H13/10000)=150000 Morris 1 IF(G13="BPS",I13*(K13/12),I13)=12500 IF(G
13="BPS",I13,0)=150000
Brokerage Account Southern Financial LLC 12/31/2015 75 Brokerage 10000000
BPS 20 20000 Morris 1 IF(G14="BPS",I14*(K14/12),I14)=1666.6666666666665 IF(G
14="BPS",I14,0)=20000
SSW 2007 LLC- SSW 2007 LLC 12/31/2015 75 Money Market 50000000 BPS 40
200000 Morris 1 IF(G15="BPS",115*(K15/12),I15)=16666.666666666664 IF(G15="BPS",I15,0)=
200000
Deposits The George Lindemann Fam LP 12/31/2015 90 Money Market 1000000 BPS
35 3500 Oldfield 2 IF(G16="BPS",I16*(K16/12),116)=583.3333333333333 IF(G
16="BPS",I16,0)=3500
ETE Brokerage S2 The George Lindemann Fam LP 12/31/2015 90 Brokerage 3000
0000 BPS 20 60000 Oldfield 1 IF(G17="BPS",I17*(K17/12),I17)=5000 IF(G
17="BPS",I17,0)=60000
ETE loan S2 The George Lindemann Fam LP 12/31/2015 90 Lombard 20000000 BPS
135 270000 Oldfield 1 IF(G18="BPS",118*(K18/12),I18)=22500 IF(G18="BPS",I18,0)=
270000
DPM The Haze Trust 12/31/2015 90 IA - Equity 25000000 BPS 35 8750
0 Morris 1 IF(G19="BPS",I19*(K19/12),I19)=7291.666666666666 IF(G19="BPS",I19,0)=
87500
Panda Third Lake Capital 12/31/2015 75 Private Equity Funds 15000000 BPS
150 225000 Morris 1 IF(G20="BPS",120*(K20/12),120)=18750 IF(G20="BPS",120,0)=225000
Phoenix America Third Lake Capital 12/31/2015 75 Private Equity Funds 15000000
BPS 150 225000 Morris 1 IF(G21="BPS",121*(K21/12),121)=18750 IF(G21="BPS",121,0)=
225000
Fixed Income Third Lake Capital 12/31/2015 75 IA - FI 100000000 BPS 35
350000 Morris 1 IF(G22="BPS",122*(K22/12),122)=29166.666666666664 IF(G22="BPS",122,0)=
350000
Preferred CD Third Lake Capital 12/31/2015 90 Preferred CD 200000000 Flat
Fee 50 1000000 Morris 1.5 IF(G23="BPS",123*(K23/12),I23)=1000000 IF(G23="BPS",123,0)=
0
Brokerage Wanek Trust of 2000 12/31/2015 90 Brokerage 5000000 BPS 5
2500 Morris 1 IF(G24="BPS",124*(K24/12),124)=208.33333333333331 IF(G24="BPS",124,0)=
2500
RIN General Atlantic 12/31/2015 75 Structured Notes 3000000 Flat Fee
- 90000 Morris 0 IF(G25="BPS",125*(K25/12),125)=90000 IF(G25="BPS",125,0)=0
JTWROS Brokerage Wanek, Karen A. 12/31/2015 90 Brokerage 5000000 BPS 20
10000 Morris 1 IF(G26="BPS",126*(K26/12),126)=833.3333333333333 IF(G26="BPS",126,0)=
10000
SUM(F2:F26)=1.047E9 SUM(12:126)=18743500 SUM(L2:L26)=3152666.666666667 SUM(M2:M26)=17008500
EFTA01475567
Paul 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 Activity Date Date Contacted Forbes Ranking Category Notes
3 G CAPITAL RELATIONSHIP 00000492967 Active Tier 2 66666666 H
AVISTA RELATIONSHIP 5/16/2013 00000408824 Active Tier 3 $25 - 50 M <$0.5 M ffff
ftf# H
BLUE MOUNTAIN RELATIONSHIP 00000494553 Active Tier 2 Ofilflifil H
BOMMER, SCOTT RELATIONSHIP 00000482412 Active Tier 3 66666666 H
BRONFMAN, EDGAR RELATIONSHIP 00000482491 Active Tier 2 66666666 H
CAVALRY RELATIONSHIP 00000483810 Active Tier 1 14404141 H
CUMMINGS, IAN RELATIONSHIP 00000481149 Active Tier I $100 - 500 M $250 - 500K ####
fi4f#
DELL, MICHAEL RELATIONSHIP 1/6/2015 00000409133 Active Tier 1 $50 - 100 M $0.5
- 1 M 66666666
DINAN, JAMIE RELATIONSHIP 00000482458 Active Tier 3 1111111/
ERGEN, CHARLES RELATIONSHIP 7/9/2013 00000448035 Active Tier 1 $50 - 100 M
- 1 M 66666666
FELDSTEIN, ANDREW RELATIONSHIP 00000480417 Active Tier 2 $50 - 100 m $50 - 100K
(14444
GAGOSIAN, LARRY RELATIONSHIP 1/12/2015 00000416916 Active Tier 3
GATES FOUNDATION RELATIONSHIP 00000487611 Active Tier 2 1111111/
LAFFONT, PHILPPE RELATIONSHIP 00000482519 Active Tier 2 1111111/
MANDEL, STEPHEN RELATIONSHIP 12/20/2012 00000409312 Active Tier 1 100 m $0.5
- 1 M ########
MARRON, DONALD B. RELATIONSHIP 00000487026 Active Tier 3 0104.410
PINE RIVER CAPITAL RELATIONSHIP 00000495627 Active Tier 2 11111111 H
SCHAEFER, MARLA RELATIONSHIP 00000482432 Active Tier 2 11111111 H
SIRIS CAPITAL RELATIONSHIP 00000485211 Active Tier 3 11111111 H
STREAM REALTY RELATIONSHIP 00000495565 Active Tier 2 MIMI*
TABLADA, MARO RELATIONSHIP 00000482398 Active Tier 2 fiffffff
TOMS CAPITAL LLC RELATIONSHIP 6/3/2013 00000409286 Active Tier 1 'MIMI
VIOLA, VINCENT RELATIONSHIP 00000481140 Active Tier 2 $50 - 100 m $100 - 250K 2141
f#f#
WEISS, GEORGE RELATIONSHIP 00000480421 Active Tier 2 $50 - 100 M $100 - 250K flit
(Mt
YORKTOWN PARTNERS, LLC RELATIONSHIP 00000483947 Active Tier 3 4t4t0*04 H
ALAGAPPAN, ARUN RELATIONSHIP 00000482385 Active Tier 1 liff4141#
AMOROUSO, PAUL RELATIONSHIP 00000482396 Inactive Tier 2
ARROWPOINT PARTNERS RELATIONSHIP 00000493738 Active Tier 2
ASPEN GROVE CAPITAL RELATIONSHIP 00000493757 Active Tier 2 66460404
ASTON, SHERRELL RELATIONSHIP 00000482400 Active Tier 2 ########
ATLAS PIPELINE PARTNERS, LP RELATIONSHIP 00000495788 Active Tier 2 66666666
BARRY, MITCHELL RELATIONSHIP 00000482402 Active Tier 2 ifitif**0
BASQUTAT RELATIONSHIP 00000486597 Active Tier 2 66666666
BENEFIT STREET PARTNERS RELATIONSHIP 00000494492 Active Tier 2 $01#0$00
BERTAGNA, ROBERT RELATIONSHIP 00000482406 Inactive Tier 2 4#0#0400
BHALLA, AJAY RELATIONSHIP 00000482389 Active Tier 2 11 400#00i
BLACK, LEON D. RELATIONSHIP 00000409101 Inactive Tier 1 $50 - 100 M <$25K 4*4*
fitft
BLATT, MITCHELL RELATIONSHIP 00000482408 Active Tier 2 *41,4#4O,
BRACK CAPITAL RELATIONSHIP 00000507983 Active Tier 2 *41,4#4O,
BRADLEY, THOMAS RELATIONSHIP 00000482414 Active Tier 2 II4O0#04O
BRANDIS, STEVE RELATIONSHIP 00000482416 Active Tier 2 14146441
BRESLOW, LEN RELATIONSHIP 00000482420 Inactive Tier 2 likpl#O$00
BROWN, BATES RELATIONSHIP 00000482426 Inactive Tier 2 f#O#O$00
BRUDERMAN, MATTHEW RELATIONSHIP 00000482429 Inactive Tier 2 f#O#O$00
CANDOVER INVESTMENTS RELATIONSHIP 00000483659 Inactive Tier 2 #0SOS#0#
CANTER, STEPHEN RELATIONSHIP 00000481394 Inactive Tier 2 1#0#0$00
CHOU, SILAS RELATIONSHIP 00000482437 Active Tier 1 11/41411
CLINE, MICHAEL RELATIONSHIP 00000482481 Active Tier 2 41/41421
COLD SPRING HARBOR LABORATORY RELATIONSHIP 00000481396 Active Tier 2 $50 - 100 M 550
- 100K iffif#f#
COOPER, FRED RELATIONSHIP 00000482464 Active Tier 3 66666666
CORRIGAN, PATTON RELATIONSHIP 00000481136 Active Tier 3 $10 - 25 M $25 - 50K
f#f#
CROSS, LISA RELATIONSHIP 00000487462 Active Tier 2 66666666
DANIELS, JOSEPH RELATIONSHIP 00000482485 Inactive Tier 2 22212122
DENATALE, ROBERT RELATIONSHIP 00000482487 Inactive Tier 2 fififfili
DODD, RYAN RELATIONSHIP 00000482489 Active Tier 2 12222121
DONALD BRYANT JR. RELATIONSHIP 00000469399 Active Tier 2 22221222
ELLMAN, STUART RELATIONSHIP 00000482462 Active Tier 3 4444144/
ENCAP INVESTMENTS RELATIONSHIP 00000466131 Active Tier 2 ########
FINE, LONNIE RELATIONSHIP 00000482493 Active Tier 2 42/11126
FITZGIBBONS, JOHN RELATIONSHIP 00000482193 Active Tier 3 #4*AfAill
GAIL, COLEMAN RELATIONSHIP 00000482497 Inactive Tier 2 4* 0#0$00
GASLOW, LAWRENCE RELATIONSHIP 00000482500 Active Tier 2 #4101#0,0
GEMINI REAL ESTATE RELATIONSHIP 00000492404 Active Tier 2 411.4#0,0
GERSCHEL, PATRICK RELATIONSHIP 00000481147 Active Tier 2 $100 - 5C0 M $100 - 250K if#0#
EFTA01475568
####
GLICKMAN, DONALD RELATIONSHIP 00000482505 Active Tier 2 #4004040
CLINCHER, ARNIE RELATIONSHIP 00000480419 Active Tier 2 $25 - 50 M $25 - 5OK #
####
GOLDMAN, BUDD RELATIONSHIP 00000482509 Active Tier 2 ########
GOODWIN, KEIRNAN RELATIONSHIP 00000482456 Active Tier 3 .104#440
HARVEY, BERGER RELATIONSHIP 00000482512 Active Tier 2 ***AAA.*
HATFIELD, JAY RELATIONSHIP 00000482508 Active Tier 2 ###4#440
HG CAPITAL RELATIONSHIP 00000483662 Inactive Tier 2 #104#44#
HOLTERBOSCH, HEIDI RELATIONSHIP 00000482522 Active Tier 3 ########
HUGHSON, PAUL RELATIONSHIP 00000482515 Inactive Tier 2 4010,404
HUSAIN, FAZLE RELATIONSHIP 00000482529 Active Tier 2 ########
HYMAN, ED RELATIONSHIP 00000481404 Active Tier 3 $10 - 25 M $25 - 50K MAYA.*
ITAFIN RELATIONSHIP 00000498895 Active Tier 3 *MM..
JACK NORRIS RELATIONSHIP 00000451105 Inactive Tier 2 $10 - 25 M >$2 M *AAA
####
JAIN, NEIL RELATIONSHIP 00000482496 Active Tier 3 ########
JESSELSON CAPITAL RELATIONSHIP 00000489088 Active Tier 2 ######$$
JSC INTERIORS LLC RELATIONSHIP 00000496076 Inactive Tier 2 $O1#0*04
KALIKOW, PETER RELATIONSHIP 00000178401 Active Tier 2 MADAN
KARGMAN, HARRY RELATIONSHIP 00000482503 Inactive Tier 3 004/0404
KATZ, STEVEN RELATIONSHIP 00000482472 Inactive Tier 3 ####0400
KEENAN, WILLIAM HOWARD RELATIONSHIP 00000482513 Inactive Tier 2 #0$0$01#
KELLY, JUDY RELATIONSHIP 00000482527 Inactive Tier 3 ####0400
KIMMEL, ADAM RELATIONSHIP 00000482533 Active Tier 3 ########
KRISTOFF, MARK RELATIONSHIP 00000482524 Inactive Tier 3 *0600404
LANGFORD, DAVID RELATIONSHIP 00000482518 Inactive Tier 2 *0440#04
LICHTENSTEIN, WARREN RELATIONSHIP 00000482267 Active Tier 2 #44#11 400
LIME ROCK PARTNERS RELATIONSHIP 00000478453 Active Tier 2 0$04####
MEISTER, TODD RELATIONSHIP 00000482449 Active Tier 2 #404Y4A1
MEP INVESTORS LLC RELATIONSHIP 00000410774 Active Tier 1 $50 - 100 M $50 - 1O0K *VOA
####
MILCH, NEAL RELATIONSHIP 00000482476 Active Tier 3 #4040440
MILTON ACADEMY RELATIONSHIP 00000483494 Active Tier 2 04040400
MOODY, ERIK RELATIONSHIP 00000514634 Active Tier 3 #S0404#1
MURSTEIN, ALVIN RELATIONSHIP 00000481145 Active Tier 2 $50 - 100 M $50 - 1O0K *04A
####
NIR, DAN RELATIONSHIP 00000482454 Active Tier 3 ########
OVERSTROM, GUNNAR RELATIONSHIP 00000482474 Active Tier 3 ########
OXFORD LANE CAPITAL RELATIONSHIP 00000493740 Active Tier 2 ########
PACKER, MARC RELATIONSHIP 00000481318 Active Tier 2 $50 - 100 M $50 - 1O0K *040
####
PARAMI CAPITAL MANAGEMENT RELATIONSHIP 00000498424 Active Tier 2 ######I#
PATRIOT STRATEGY PARTNERS RELATIONSHIP 00000484400 Active Tier 2 ########
PENSLER, SANDY RELATIONSHIP 00000482468 Active Tier 3 ########
RICHARDSON, JULIE RELATIONSHIP 00000481328 Active Tier 2 $25 - 50 M $25 - 5OK 400A
####
ROARK CAPITAL GROUP RELATIONSHIP 00000459563 Active Tier 2 $10 - 25 M $250 - 5O0K
########
ROSE, SIMON RELATIONSHIP 00000482444 Active Tier 3 #404A440
SALZMAN, RICHARD RELATIONSHIP 00000482442 Active Tier 3 #4040440
SCF PARTNERS RELATIONSHIP 00000483655 Active Tier 2 #4040440
SCHOR, FRANCIS RELATIONSHIP 00000482430 Inactive Tier 2 40400404
SCHREIBER, KARL RELATIONSHIP 00000506830 Active Tier 3 #4040440
SHANKEN, MARVIN RELATIONSHIP 00000482424 Active Tier 2 #4044440
SIEGEL, JEROME RELATIONSHIP 00000482422 Active Tier 2 04044440
SILVESTRI, ANGELO RELATIONSHIP 00000482418 Active Tier 2 *40001$0
SIMON, RICHARD M RELATIONSHIP 00000484535 Active Tier 2 *40001$0
SK CAPITAL PARTNERS RELATIONSHIP 00000435834 Inactive # 4@0#04
STALLER, CARY RELATIONSHIP 00000482410 Active Tier 2 ########
TAXEL, NELSON RELATIONSHIP 00000482391 Inactive Tier 3 40000400
WHITE DEER ENERGY RELATIONSHIP 00000478302 Active Tier 2 ########
WILSON, WELCOME RELATIONSHIP 00000480635 Active Tier 1 $100 - 500 M $250 - 50OK ####
####
EFTA01475569
Stew 25
Customer Name Last Call Note Customer Number Status Relationship Classification Rel. Net Wor
th Relationship Investable Assets (Est.) Revenue Potential ($M per annum) Last Modifie
d Date Last Activity Date Date Contacted Category Notes
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
KIM, STEVEN RELATIONSHIP 00000499732 Active Tier 2 9/20/2015
MAKENA CAPITAL MANAGMENT, LLC RELATIONSHIP 00000499849 Active Tier 2 9/20/2015 H
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
EFTA01475570
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
EFTA01475571
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
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
EFTA01475572
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
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KATZ, STEVEN RELATIONSHIP 00000482472 Inactive Tier 3 9/20/2015
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KELLY, JUDY RELATIONSHIP 00000482527 Inactive Tier 3 9/20/2015
KIMMEL, ADAM RELATIONSHIP 00000482533 Active Tier 3 9/20/2015
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LANGFORD, DAVID RELATIONSHIP 00000482518 Inactive Tier 2 9/20/2015
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LIME ROCK PARTNERS RELATIONSHIP 5/16/2013 00000478453 Active Tier 2 9/20/2015
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PATRIOT STRATEGY PARTNERS RELATIONSHIP 00000484400 Active Tier 2 10/19/2015
EFTA01475573
PENSLER, SANDY RELATIONSHIP 00000482468 Active Tier 3 9/20/2015
PEREGRINE GROUP RELATIONSHIP 00000499602 Active Tier 2 9/20/2015
POLYMER LOGISTICS RELATIONSHIP 00000508809 Active Tier 2 9/20/2015
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EFTA01475574
Pipeline- Full
Opportunity Name Customer Name Close Date (%) Product Name Actual Assets Stru
cture BPS/Flat Fee Actual Revenue Sales Team Member
KCP Private Markets Aspen Grove Capital, LLC 9/30/2015 25 Brokerage (Commissio
ns) 15000000 BPS 5 7500 Paul Morris
Benefit Street Partners- Benefit Street Partners 9/30/2015 25 U.S. Structured Lend
ing (Secured) 30000000 BPS 100 300000 Paul Morris
Art Lending Black, Leon D. 9/30/2015 50 U.S. Structured Lending (Secured) 2500
00000 BPS 100 2500000 Paul Morris
KCP Black, Leon D . 12/31/2015 75 Brokerage (Commissions) 50000000 BPS 5
25000 Paul Morris
Banking Black, Leon D . 12/31/2015 90 Private Wealth Premium Checking 50000000 BPS
40 200000 Paul Morris
Credit Line Blue Mountain Capital Management, LLC 9/30/2015 25 U.S. Letter of Credi
t 50000000 BPS 100 500000 Paul Morris
Deposits Bommer, Scott 9/30/2015 25 Private Wealth Premium Checking 25000000
BPS 40 100000 Paul Morris
Residential Mortgage Bommer, Scott 9/30/2015 25 Standard Mortgage - 5/1 Arm 2500
0000 BPS 100 250000 Paul Morris
Bronfman, Edgar Bronfman, Edgar 9/30/2015 25 Private Wealth Premium Checking w/Interest
25000000 BPS 40 100000 Paul Morris
Deposits Bryant Jr., Donald 9/30/2015 25 Private Wealth Premium Checking w/In
terest 10000000 BPS 40 40000 Paul Morris
Loan Bulloch, Roger 12/31/2015 10 U.S. Structured Lending (Secured) 20000000
BPS 100 200000 Stewart Oldfield
Muni Portfolio Cavalry Portfolio Services, LLC 9/30/2015 10 Global Select - Fixed Income
25000000 BPS 50 125000 Paul Morris
Banking Account Cavalry Portfolio Services, LLC 9/30/2015 25 Private Wealth Premium Check
ing 50000000 BPS 40 200000 Paul Morris
Brokerage Cavalry Portfolio Services, LLC 9/30/2015 25 Brokerage (Commissions) 1000
0000 BPS 5 5000 Paul Morris
Real Estate Financing Chammah, Ezra 9/30/2015 25 Commercial Real Estate 25000000
BPS 120 300000 Paul Morris
Brokerage Cross, Lisa 9/30/2015 10 Brokerage (Commissions) 75000000 BPS
5 37500 Paul Morris
Share Collars Cummings, Ian 9/30/2015 50 Brokerage (Commissions) 5000000 Flat Fee
250000 250000 Paul Morris
Deerpath Capital Management- Deerpath Capital Management 9/30/2015 10 U.S. Letter
of Credit 30000000 BPS 100 300000 Paul Morris
Margin Loan DF Enterprises 12/31/2015 50 U.S. Secured Lending (Lombard) 250000000
BPS 65 1625000 Paul Morris
Proxy Hedge Elysium Management 12/31/2015 25 Derivatives (Equity - Option) 2500
00000 BPS 100 2500000 Paul Morris
Cash Management Elysium Management 12/31/2015 50 U.S. IA - RCM 50000000 BPS
25 125000 Paul Morris
Credit Line Ergen, Charles 9/30/2015 25 U.S. Structured Lending (Secured) 3000
00000 BPS 100 3000000 Paul Morris
Brokerage Ergen, Charles 9/30/2015 50 Brokerage (Commissions) 50000000 BPS
5 25000 Paul Morris
Deposits Ergen, Charles 9/30/2015 50 Private Wealth Premium Checking w/Interest
50000000 BPS 40 200000 Paul Morris
Estate of Gerard Basquiat- Estate of Gerard Basquiat 9/30/2015 10 U.S. Structu
red Lending (Secured) 50000000 BPS 100 500000 Paul Morris
KKR EverWatch Financial 12/31/2015 75 Private Equity Funds 5000000 Flat Fee
75000 75000 Paul Morris
CLO 2 Falcon Trail Capital, LLC 6/30/2015 50 Derivatives (Equity - Swap) 5000
000 BPS 200 100000 Paul Morris
CLO Falcon Trail Capital, LLC 6/30/2015 50 Derivatives (Equity - Swap) 5000
000 BPS 200 100000 Paul Morris
Fitzgibbons, John- Fitzgibbons, John 9/30/2015 25 Standard Mortgage - Floating
Arm 4000000 BPS 100 40000 Paul Morris
Commercial Mortgage Fitzgibbons, John 9/30/2015 25 Commercial Real Estate 5000
000 BPS 100 50000 Paul Morris
Airplane Loan Fitzgibbons, John 9/30/2015 10 U.S. Structured Lending (Secured)
10000000 BPS 100 100000 Paul Morris
Structured Credit Fitzgibbons, John 12/31/2015 25 U.S. Letter of Credit 5000
0000 BPS 200 1000000 Paul Morris
Gaslow, Lawrence- Gaslow, Lawrence 9/30/2015 50 Private Wealth Premium Check
ing 25000000 BPS 40 100000 Paul Morris
Gaslow, Peter- Gaslow, Peter 9/30/2015 50 Brokerage (Commissions) 25000000 BPS
5 12500 Paul Morris
Ares CLO General Atlantic Family Office 9/30/2015 25 Structured Notes s Deposits
(Equity) 3000000 Flat Fee 200000 200000 Paul Morris
Gerschel, Patrick- Gerschel, Patrick 9/30/2015 25 Brokerage (Commissions) 1500
0000 BPS 5 7500 Paul Morris
Commerical Real Estate Gottesman, Noam 12/31/2015 50 Commercial Real Estate 50000000
BPS 200 1000000 Paul Morris
Brokerage Gratitude America 12/31/2015 75 Brokerage (Asset-Based Fees) - Advis
or Select 10000000 BPS 20 20000 Paul Morris
EFTA01475575
KCP Private Markets Greatrex, Peter 9/30/2015 50 Brokerage (Commissions) 25000000
BPS 5 12500 Paul Morris
Deposits Hillspire LLC 9/30/2015 25 Private Wealth Premium Checking 50000000
BPS 20 100000 Stewart Oldfield
Hyman, Ed- Hyman, Ed 9/30/2015 25 Brokerage (Commissions) 20000000 BPS
5 10000 Paul Morris
KCP Private Markets Jain, Neil 9/30/2015 25 Brokerage (Commissions) 15000000
BPS 5 7500 Paul Morris
Jain, Sunil- Jain, Sunil 9/30/2015 25 Private Wealth Premium Checking w/Interest
25000000 BPS 40 100000 Paul Morris
Keenan, William Howard- Keenan, William Howard 9/30/2015 25 Brokerage (Commissions) 2500
0000 BPS 5 12500 Paul Morris
Structured Credit Kim, Steven 9/30/2015 25 U.S. Structured Lending (Secured)
50000000 BPS 100 500000 Stewart Oldfield
Deposits Laffont, Philppe 9/30/2015 25 Private Wealth Premium Checking 2500
0000 BPS 40 100000 Paul Morris
Mortgage Laffont, Philppe 9/30/2015 25 Standard Mortgage - 5/1 Arm 2500
0000 BPS 100 250000 Paul Morris
Banking Lawrence, Bryan 9/30/2015 25 Private Wealth Premium Checking 20000000 BPS
40 80000 Paul Morris
ETE Loan Lindemann Jr., George 9/30/2015 50 U.S. Letter of Credit 25000000
BPS 100 250000 Stewart Oldfield
Consumer RE Lindemann Jr., George 12/31/2015 50 Commercial Real Estate 50000000
BPS 100 500000 Stewart Oldfield
Unsecured Loan Lindemann Jr., George 12/31/2015 50 U.S. Structured Lending (Unsecured)
100000000 BPS 200 2000000 Stewart Oldfield
Rate Hedge Lindemann, Adam M. 9/30/2015 25 Brokerage (Commissions) 50000000
BPS 20 100000 Stewart oldfield
Art Loan Lindemann, Adam M. 9/30/2015 10 U.S. Letter of Credit 35000000
BPS 200 700000 Stewart Oldfield
ETE Loan Lindemann, Adam M. 12/31/2015 75 U.S. Letter of Credit 37500000
BPS 100 375000 Stewart Oldfield
Marron, Donald B.- Marron, Donald B. 9/30/2015 25 U.S. Letter of Credit 2500
0000 BPS 100 250000 Paul Morris
Meister, Robert A.- Meister, Robert A. 9/30/2015 25 Private Wealth Premium Check
ing w/Interest 10000000 BPS 40 40000 Paul Morris
Meister, Todd- Meister, Todd 9/30/2015 25 Standard Mortgage - Floating Arm 7000
000 BPS 100 70000 Paul Morris
Structured Credit Meister, Todd 12/31/2015 25 U.S. Letter of Credit 50000000
BPS 200 1000000 Paul Morris
Deposits Meister, Todd 12/31/2015 75 Private Wealth Premium Money Market 1000
0000 BPS 35 35000 Paul Morris
Fixed Income Moody, Erik V 12/31/2015 10 U.S. IA - Fixed 25000000 BPS 35
87500 Paul Morris
Banking Moody, Erik V 12/31/2015 10 Private Wealth Premium Checking w/Interest 2500
0000 BPS 35 87500 Paul Morris
Murstein, Alvin- Murstein, Alvin 9/30/2015 10 U.S. Secured Lending (Lombard) 5000
0000 BPS 100 500000 Paul Morris
Murstein, Andrew- Murstein, Andrew 9/30/2015 25 Private Wealth Premium Check
ing w/Interest 10000000 BPS 40 40000 Paul Morris
Infrastructure ORIX Americas 9/30/2015 25 U.S. Letter of Credit 50000000 BPS
200 1000000 Stewart Oldfield
Phoenix America ORIX corporation 12/31/2015 75 Private Equity Funds 10000000
Flat Fee 150000 150000 Stewart Oldfield
Lending Parami Capital Management 9/30/2015 25 U.S. Structured Lending (Secured)
25000000 BPS 100 250000 Paul Morris
Deposits Parami Capital Management 12/31/2015 75 Private Wealth Premium Money
Market 10000000 BPS 35 35000 Paul Morris
Goldrush Parami Capital Management 12/31/2015 75 U.S. Structured Lending (Sec
ured) 90000000 BPS 1235 13365000 Stewart Oldfield
Petrides, George- Petrides, George 9/30/2015 25 Brokerage (Commissions) 1000
0000 BPS 5 5000 Paul Morris
Credit Facility Pine River Capital Management LP 9/30/2015 10 U.S. Letter of Credi
t 50000000 BPS 100 500000 Paul Morris
Richardson, Julie G.- Richardson, Julie G. 9/30/2015 50 Brokerage (Commissions) 3000
0000 BPS 5 15000 Paul Morris
KCP Private Markets SAB Capital Management, LP 9/30/2015 25 Brokerage (Commissio
ns) 35000000 BPS 5 17500 Paul Morris
CIO Strategies Simon, Richard M. 9/30/2015 25 Global Select - Equities/Balanced
25000000 BPS 35 87500 Paul Morris
Extell Real Estate SK Family Office 9/30/2015 50 Commercial Real Estate 3500
0000 BPS 200 700000 Paul Morris
Residential Mortgage SK Family Office 9/30/2015 50 Standard Mortgage - Floating
Arm 15000000 BPS 100 150000 Paul Morris
Structured Notes SK Family Office 12/31/2015 75 Structured Notes s Deposits
(Equity) 3000000 Flat Fee 45000 45000 Paul Morris
Loan SK Family Office 12/31/2015 75 U.S. Structured Lending (Secured) 5000
000 BPS 200 100000 Paul Morris
Euro Hedge Snyder, Daniel 9/30/2015 25 Brokerage (Commissions) 100000000 BPS
EFTA01475576
20 200000 Stewart Oldfield
DPM Mandate Snyder, Daniel 9/30/2015 25 U.S. IA - Equity 50000000 BPS
50 250000 Stewart Oldfield
Brokerage Snyder, Daniel 9/30/2015 50 Brokerage (Commissions) 10000000 BPS
5 5000 Stewart Oldfield
Additional Brokerage Southern Financial LLC 3/31/2015 75 Brokerage (Commissions) 7500
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
Equity Trading Spruce Investment Advisors, LLC 9/30/2015 25 Brokerage (Commissions) 5000
0000 BPS 100 500000 Stewart Oldfield
SSW 2007 LLC- SSW 2007 LLC 12/31/2015 75 Private Wealth Premium Money Market 5000
0000 BPS 40 200000 Paul Morris
Brokerage Stock, Robert D. 12/31/2014 25 Brokerage (Commissions) 50000000
BPS 100 500000 Stewart Oldfield
Real Estate Loan Stream Realty Partners 9/30/2015 10 Commercial Real Estate 5000
0000 BPS 100 500000 Paul Morris
Deposits TFMG Associates, LLC 9/30/2015 10 Private Wealth Premium Checking 5000
0000 BPS 40 200000 Paul Morris
Stock Lending TFMG Associates, LLC 9/30/2015 10 U.S. Structured Lending (Secured)
50000000 BPS 100 500000 Paul Morris
Brokerage Tharani, Haresh 9/30/2015 25 Brokerage (Commissions) 30000000 BPS
5 15000 Paul Morris
Airplane Finanching Tharani, Haresh 9/30/2015 10 U.S. Structured Lending (Secured)
10000000 BPS 100 100000 Paul Morris
Deposits The George Lindemann Family Limited Partnership 12/31/2015 90 Private Weal
th Premium Money Market 1000000 BPS 35 3500 Stewart Oldfield
ETE Brokerage- Series 2 The George Lindemann Family Limited Partnership 12/31/2015 90 Brok
erage (Asset-Based Fees) - Advisor Select 30000000 BPS 20 60000 Stewart Oldf
ield
ETE loan- Series 2 The George Lindemann Family Limited Partnership 12/31/2015 90 U.S.
Secured Lending (Lombard) 20000000 BPS 135 270000 Stewart Oldfield
DPM The Haze Trust 12/31/2015 90 U.S. IA - Equity 25000000 BPS 35
87500 Paul Morris
Credit Draw The National Organization of the New Apostolic Church of North America 12/31/2015
50 U.S. Secured Lending (Lombard) 10000000 BPS 180 180000 Paul Morris
SOF III Third Lake Capital 9/30/2015 50 Brokerage (Asset-Based Fees) - Advisor Selec
t 20000000
ℹ️ Document Details
SHA-256
e811efc58a5d2b06ee7dadf70625a528a2ec0cbd1b3a52ec68cb62f8b0c2772d
Bates Number
EFTA01475567
Dataset
DataSet-10
Document Type
document
Pages
12
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