EFTA Document EFTA01449520

SOUTHERN FINANCIAL LLC Statement of Assets, Liabilities and Shareholder's Equity Income Tax Basis as of June 30, 2013 ASSETS Current assets Cash and cash equivalents 471,577 Due from brokers 14,376,655 Marketable securities, at cost 12,251,702 Managed investment accounts, at cost 67,564,113 Total current assets 94,664,047 Other assets Investment partnerships, at cost 40,767,537 Total other assets 40,767,537 TOTAL ASSETS 135,431,584 LIABILITIES AND MEMBER'S EQUITY Member's equity Member contributions 134,805,488 Net income 626,096 Total member's equity 135,431,584 TOTAL LIABILITIES AND MEMBER'S EQUITY 135,431,584 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0 104962 CONFIDENTIAL SDNY_GM_00251146 EFTA01449520