EFTA Document EFTA01415652

Subject: RE: planning email for Patrick From: Stewart Oldfield e > Date: Mon, 25 Jun 2018 17:18:01 -0400 To: Terri Sohrab e > Can add Mitch to lending list perhaps From: Stewart Oldfield Sent: Monday, June 25, 2018 5:17 PM To: Terri Sohrab e > Subject: planning email for Patrick Please let me know what you think. Career overview: 20yrs in banking overall 16yrs investment banking/capital markets (JPM and CS) 4 yrs private banking (DB) CFA and CAIA charterholder. Series 7,9,10,24,63 licenses JP Morgan Investment Bank (1998-2002) Debt capital markets/structured credit Credit Suisse Investment Bank (2002-2014) Equity derivatives, structured investments, liquid alternatives Covered private clients (via CS private bank) for 12yrs Ran single stock hedging business for 10yrs (2005-2014) EFTA01415652 Ran structured notes distribution to private bank (2007-2011) Led US sales effort of liquid alternative/quantitative strategies to family offices, insurance companies, pensions and fund-of-funds (2010-2014) Deutsche Bank (2014 to present) Had 2 competing DB offers in 2014 — Investment Banking (derivatives) and Asset Mgmt (liquid alts). Sought advice from Chip Packard, whom I had known for 12yrs Chip instead recruited me to join private bank, which was trying to become more investments-focused. Joined October 2014. I was initially teamed up with Paul Morris, who had joined from JPM 2yrs prior and was struggling. KCP was fairly new in 2014 and ISG was not yet formed. Paul had limited success and was asked to leave in 2016. At various times here, I have been offered positions as head of ISG or member of KCP Have never sold a share of DB stock Financial progress: 2014 revenues (Paul Morris)— $0.9mm 2015 revenues (combined w/ Paul) — $1.3mm 2016 revenues (w/ Paul until May) — $1.6mm 2016 NNA — negative. After winning $100mm in CDs, lost all during DOJ crisis 2017 revenues (Stew alone) - $1.7mm ($2.5mm exit run rate) 2017 NNA - $112mm 2018 revenues - $4mm annualized EFTA01415653 2018 NNA - $211mm Client highlights: Southern Financial — one of the most complicated client situations I've seen. They have been extremely vocal about our lack of trading capabilities since I joined. Withdrew large portion of assets during 2016 (not DO) related). Client was offboarded by Global markets at the end of 2016 due to lack of profitability. Further internal issues nearly caused us to offboard the client completely. Client was quite close to Paul and viewed his departure as a negative. I've managed to salvage and massively improve this relationship in the last two years. To start, we won $50mm of deposits into DBNY in 2017. We've also turned around the GM/trading issues via KCP. Client has been re-onboarded and ISDA reestablished, and is now the largest trading counterparty of the KCP capital markets group. Current balances are —$230mm across brokerage and deposits. EFTA01415654 MDs who should be supportive of promotion Management: Salman Mandi Steve Mattus Kim Hart Andrew Gallivan Wealth Planning: Sam Petrucci ISG: Coley Jellinghaus KCP: EFTA01415655 Todd Stevens Dan Kaiser Xavier Avila Tazia Smith Daniel von Heyl (CFP) DPM: Larry Adam Paul Bartilucci Credit: Tom Clarke Nick Haigh Laura Farischon Pete Ferrara Deposits: Charlie Burrows Bankers: Terri Sohrab Bruce McDermott (based on KCP experience) Heather Kirby Deirdre Judge Rosemary Vrablic EFTA01415656 CIB: Several, can discuss Marketing: Paula Pullano Would like to get to know better: Fabrizio Campelli Balaji Prasanna Caroline Kitidis Bernd Amlung Christian Notting Deepak Puri James Pereira-Stubbs Others? Stewart Oldfield, CFA, CAIA Director Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue, New York, NY 10154 Tel. Mobile Email Securities offered through Deutsche Bank Securities Inc. EFTA01415657 EFTA01415658