EFTA Document EFTA01460399

Key Client Partners Americas Weekly Business Updates — Pipeline Deals Sept 16th 2013 Transaction Highlights! Clients Pipeline Deals Deutsche ASSel. & Wealth Management LATAM Client update from Brazil trip (LC) Client: Epstein/Southern Financial [TDS) Opportunity: $150mm AUM, immediate; cross-asset trading and investment relationship: >1Bn NW:Referrals Revenue: ›-Slmrn p.a I Probability: In process RM. Morris (PB) Client: Lorem 1psum (referred to PCS) Opportunity: Equity Trading Revenue: >4100k p.a Probability: In process RM: Smith referred to McDunaugh (PCS) Client: Grassi. Dynasty Trust, LLC (employee) Opportunity. 520mm AuM trust; cross-asset trading and my relationship (FX & equity index OTC deny) Revenue: > --$100k p.a Probability: In process RM: Loudenslager WS), Note: Dario les specifically requested this to be KCP Client: Wasserman (140-164 W. 72nd) (JCJ Opportunity. 30mm Fwd starting Swap 5-9y Revenue: $1.200K (range) I Probability: 70% Client: Steve Schott (Award Hanes) Opportunity: 66mm Fwd starting Swap 5-10y Revenue: 5200K to 400K (range) I Probability: 60% Client: Amidi Opportunity: 63mm Fwd starting Swap 5 yr tenor Revenue: $200K to 300K (range) 1 Probability: 60% Client: Tayebi Brothers (MST and UNITY Trust) Opportunity 52mm S&P Twin-Win Revenue: 530K I Probability: 60% For internal use only -Otis Group: Portfolio divided 3 pillars -100mm (Equity exposure. direct RE mv) -Nature Family Office > small fund interested in Autobahn platform -Trifuno Family Office > have at in meg, interested in Ritz but sophistication issue •Pragma > 13 family clients min 5200m. offer asset allocation (main AuM) and separately managed at (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) 1 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 liq event (send Ritz), interested in research and airplane loan (52m. 8y) Ison Debra > Finance 3G holdings. 80m 2 5y financing facility quote (send Ritz) Client: Ellison Banker: Daulton [RJR] Transaction 10b5-1 Revenue : 60k to 100k I Probability: 76% 12013 Client: Duker Banker : Barry Morris Transaction 30mm self directed trading acct Revenue: 100k annual flow I Probability: 70% 12013 Client: Jennison Associates [CQ) Opportunity: $70mm 3-Month STEP CD Revenue: 521K (584k /yr if rolled) I Probability: 80% CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0 121619 SDNY_GM_00267803 EFTA01460399