EFTA Document EFTA01475385

Q4 High Probability Pipeline Opportunity Name Customer Name Close Date (t) Product Name Actual Assets Stru cture BPS/Flat Fee Actual Revenue Sales Team Member Additional Brokerage Southern Financial LLC 3/31/2015 75 Brokerage 75000000 Flat Fee - 2000000 Morris Brokerage Account Southern Financial LLC 12/31/2015 75 Brokerage 10000000 BPS 20 20000 Morris SSW 2007 LLC- SSW 2007 LLC 12/31/2015 75 None Market 50000000 BPS 40 PROT0 aul 25 ustomer Name Last Call Note Customer Number Status Relationship Classification Rel. Net Wor h Relationship Investable Assets (Est.) Revenue Potential ($M per annum) Last Modifie d Date Last Activity Date Date Contacted Forbes Ranking Category Notes PROT1 PROT2 Stew 25 Customer Name Last Call Note Customer Number Status Relationship Classification th Relationship Investable Assets (Est.) Revenue Potential ($M per annum) d Date Last Activit Date Date Contacted Cate•or Notes Rel. Net Wor Last Modifie PROT3 Clients Customer Name Last Call Note Customer Number Status Relationship Classification d Date Category SOUTHERN FINANCIAL RELATIONSHIP 00000483290 Active Tier 1 10/19/2015 Last Modifie PROT4 Pospects Customer Name Last Call Note Customer Number Status Relationship Classification Last Modifie d Date Category 3 G CAPITAL RELATIONSHIP 00000492967 Active Tier 2 9/20/2015 PROT5 PROT6 PROT7 Pipeline- Full Opportunity Name cture BPS Flat Fee Customer Name Close Date C%) Actual Revenue Sales Team Member Product Name Actual Assets Stru PROT8 PROT9 Additional Brokerage Sout ern F nano a LLC 1 •1 B 7511 0000 Flat Fee 2000000 2000000 Paul Morris Structured Credit Southern Financial LLC 9/30/2015 50 U.S. Letter of Credit 5000 0000 BPS 300 1500000 Paul Morris Suntex Southern Financial LLC 12/31/2015 25 Brokerage (Commissions) 5000000 Flat Fee 0 Paul Morris Brokerage Account Southern Financial LLC 12/31/2015 75 Brokerage (Asset-Based Fees) - Advisor Select 10000000 BPS 20 20000 Paul Morris PROT10 SUM(F2:F117)=4.9055E9 SUM(12:I117)V078500 PROT11