EFTA Document EFTA01478548

Key Client Partners Americas Weekly Business Updates — Pipeline Deals KCC US & WIC Sept 16th 2013 Client: Epstein/Southern Financial [TDS] Opportunity: $150mm AUM, immediate; cross-asset trading and investment relationship; >1Bn NW; Referrals Revenue: >-$1mm p.a I Probability: In process RM: Morris (PB) Transaction Highlights / Clients Client: Lorem Ipsum (referred to PCS) Opportunity: Equity Trading Revenue: >-$100k p.a Probability: In process RM: Smith referred to McDunaugh (PCS) Client: Grassie Dynasty Trust, LLC (employee) Opportunity: $20mm AuM trust; cross-asset trading and inv relationship (FX & equity index OTC deriv) Revenue: > —$100k p.a Probability: In process RM: Loudenslager (PB); Note: Dario has specifically requested this to be KCP KCP LATAM & WIC LATAM Client update from Brazil trip [LC] -Oris Group: Portfolio divided 3 pillars —100mm (Equity exposure, direct RE inv) -Natura Family Office > small fund interested in Autobahn platform -Trifuno Family Office > have a/c in mcg, interested in Ritz but sophistication issue -Pragma > 13 family clients min $200m, offer asset allocation (main AuM) and separately managed a/c (dbSelect, RE) -Berkana Patrimonios (ironhouse) > purely institutional, very professional(Autobahn, specific trade ideas, GM research) -Anima Family Office > Met with son, Inv portfolio with multiple stakes (energy, RE, utilities) / Intro to Eq analysts (send Ritz) -Rosa Family Office > semi sophisticated ,diversify ccy and market exposure (CLN, Euro financials, Gold note) -Carolina (mcg client) > Wealthy and looming liquidity event (prepare full portfolio proposal) -Teuto Pharmaceutical > NW —$1bn, add banker at next lig event (send Ritz), interested in research and airplane loan (52m, 8y) -Wilson Delara > Finance 3G holdings, 80m 2.5y financing facility quote (send Ritz) Client: Wasserman (140-154 W. 72nd) [3C] Opportunity: 30mm Fwd starting Swap 5-9y Revenue: $1-200K (range) I Probability: 70% Client: Steve Schott (Award Homes) Opportunity: 66mm Fwd starting Swap 5-10y EFTA01478548 Revenue: $200K to 400K (range) I Probability: 50% Pipeline Deals Client: Amidi Opportunity: 63mm Fwd starting Swap 5 yr tenor Revenue: $200K to 300K (range) I Probability: 50% Client: Tayebi Brothers (MST and UNITY Trust) Opportunity: $2mm S&P Twin-Win Revenue: $30K I Probability: 60% Deutsche Asset & Wealth Management Client: Ellison Banker: Daulton [BJH] Transaction :10b5-1 Revenue : 50k to 100k I Probability: 75% I 2013 Client: Duker Banker : Barry Morris Transaction: 30mm self directed trading acct Revenue: 100k annual flow I Probability: 70% I 2013 Client: Jennison Associates [CQ] Opportunity: $70mm 3-Month STEP CD Revenue: $21K ($84k /yr if rolled) I Probability: 80% For internal use only EFTA01478549 Key Client Partners Americas Weekly Business Updates — Pipeline Deals KCC US & WIC Sept 16th 2013 Client: Michael Rothbard [CQ] Opportunity: $600,000 Adviser Select - Wedgewood Partners and Wentworth, H & V. Revenue: $9,000 fee + trail I Probability: 90% Client: Proton Therapy [TOR] Opportunity: Bond deal is moving forward under a different structure, sponsor buy 50-70mm of bonds in TRS form & one investor in for 40mm (TRS?) Revenue: TBD I Probability: 60% Pipeline Deals Client: Spitfire [DM] - & Ritz update Opportunity: Sponsor received final debt terms from GS Revenue: TBD I Probability: 75% (closing Oct) Type: Single Stock Monetization I Client: Zuckerman [CK] Opportunity: —$100mm position of BXP Revenue: TBD (—$200k) I Probability: TBD I RM: Jensen (PB) Type: New Key Client I Client: Zaro Family/Cavalry [TDS] Opportunity: Portfolios of rec's (credit, student loans) I US receivables platforms (M&A) I Single Family Homes (new biz innovation advisory) I Financing (at the Cavalry company level) Muni bond mgmt & RE financing (family/pers) Revenue: IBanking, structured fin (TBD); Munis (—$150k p.a. Probability: >50% I RM: Morris (PB) Macro Themes Type: New Key Client Client: Toms Capital (Noam Gottesman Family Office) Opportunity: (1) Art loan, (2) Franchise lease back financing, (3) private equity, (4) equity/equity derivative trading Revenue: >-$1mm p.a I Probability: >50% I RM: Morris (PB) Guest Pitch Deutsche Asset & Wealth Management Type: New Key Client I Client: THL Capital (Tom Lee's FO) Opportunity: (1)private equity/co-invest origination, (2)OTC derivative trading, (3)Futures & Options, (4)muni bond portf Revenue: >$250k per annum I Probability: >50% I RM: Zahringer (PB) Type: Structured Solution (fully funded) I Client: Long Term Solutions Opportunity: —$3mm EEM absolute return note Revenue: >$50k I Probability: >50% I RM: Smith (KCP) •Type: Structured Credit (Tax-Exempt) I Client: University of Maryland Opportunity: $100mm structured loan; Structuring a selffinancing mechanism for the Corcoran Gallery EFTA01478550 Revenue: >-$500k I Probability: <50% I RM: Barron (PCS) Type: New Key Client I Client: CSM Capital Corp [TDS] (multi-family office) Opportunity: (1) 6200 Hollywood Investment, (2) Future alternative investments and co-invests Revenue: >$100k per investment 'Probability: 30% I RM: Zahringer (PB) Type: DB Alternative Investment I Client: Long Term Solutions Opportunity: $3mm investment in KKR Revenue: —$15k per year for 4-7yrs to DB I Probability: In process I RM: Smith (KCP) - Concern about rising rates in US - Long Europe central theme in discussion - European Equity (private and public) - Municipal Bonds (dislocated v UST) - Efficient structure to monetize oil spikes •Julianna Ingersoll — RREEF Property Launch For internal use only EFTA01478551