EFTA Document EFTA01460781

Convey/Marson/Moore FY Projection tune YTD Rev Annualized YTD Pipeline Est. FY 2014 Revs FY Target Est % Target 13,535,688 27,071,377 Pipeline by Product 546,632 27,618,009 35,000,000 78% Product It of Opportunities CBVs Ann. Revs Pro-Rated 2014 Rev Brokerage 1 20,000,000 Global Custody 2 77,875,000 Global Lending 2 70,087,500 525,656 264,988 Investment Advisory 2 750,000,000 750,000 201,644 Trust & Estates 1 25,000,000 80,000 80,000 Grand Total 8 942,962,500 1,355,656 546,632 Pipel ne by Relationship Relationship It of Opportunities CBVs Ann. Revs Pro-Rated 2014 Rev ARESTY, JOSEPH 1 25,000,000 80,000 80,000 COHEN, LISA 1 20,000,000 LONDON 1 650,000,000 650,000 163,836 NUVARING QUALIFIED FUND 1 100,000,000 100,000 37,808 SMALLEY 4 147,962,500 525,656 264,988 Grand Total 8 942,962,500 1,355,656 546,632 Top 10 Relationships Top 10 Relationships YTD Revenues CBVs 1 BASILE SILVERIO 1,688,909 2 MARRIOTT JOHN W 493,544 1,854,237,609 3 HAMLIN CAPITAL 453,241 920,656,940 4 MYERS EUNOR H 400,505 109,465,455 5 SOMMER BEV 343,650 146,276,385 6 COHEN LISA 323,768 168,692,473 7 CARMICHAEL HOLDINGS 299,532 8 LEGG MASON 276,377 688,859,535 9 PGA RABBI 265,937 106,273,809 10 BRITTAIN ALFRED 236,211 28,883,741 Top 10 Relationships Total: 4,781,675 4,023,345,949 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0122312 CONFIDENTIAL SDNY_GM_00268496 EFTA01460781