EFTA Document EFTA01359545

Southern Financial LLC salesforce.com - Unlimited Edition Page I of 12 salestroce.con) Southern Financial LLC 4 Close Wndow Print This Page 4 Expand All I Collapse All Customer Record Type Customer Name Relationship • Type SSN Federal Tax ID # Referral Source Name of Referral Source Third Party Referral Source Status Client Since Date Former Client? Portfolio Management Team Covenant Contact Preference Custom Links Classification Potential New Revenue Client Satisfaction Industry Client Southern Financial LLC SOUTHERN FINANCIAL RELATIONSHIP Organization Active 8/26/2013 View DB Accounts and Revenue Request Customer Deletion Request Primary Officer Change Request New Relationship Launch NAO Wizard Launch Due Diligence Customer Owner Paul Morris German PO Created By Komal Shahani. 5/28/2013 10:27 AM Last Modified By GCIS Customer Number Bank • Moderate Risk ' High Risk Risk Reason Risk Type Volcker Covered Fund? Will Appointment Gross Estate ' Booking Location Switzerland Form K ClienVAssets At Risk Log Client Complaint Import Documents Export Documents View Documents From Repository Unconfirmed Investor Status Investor Status Definitions • DB is Trustee/Co- Trustee Relational Junction, 9/282015 2:13 PI 1 KYC 1195100 Risk Rating: .521 CO2 KYC 1082293 Create Annual Client Update Request ACU Contact Exemptior View Exemption Guidelines Generate Kev Relationship Report Launch ALAI Process View Loan Covenant Details http://pwmintranet.db com/new/filehandler.php? getFile=us/docs/InvestorStatusAddendum_10_24_07.p hups://dbforcepb . my . sal esforce.com/00 I 6000000qaNVw/p?retURL=100 16000000qaNVw 9128/2015 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0047630 CONFIDENTIAL SDNY_GM_00193814 EFTA01359545