EFTA01471879.pdf

report1420653544161 >25% Pipeline Customer Name Opportunity Name Stage % Product Name Assets BPS/Fee Actual Reven ue Revenue Wanek Trust of 2000 Brokerage Business Committed-Not Funded 0.90 Brokerage (Commissio ns) 5000000 - 0 Wanek, Karen A. JTWROS Brokerage Business Committed-Not Funded 0.90 Brokerage (Commissio ns) 5000000 - 0 Black, Leon D. KCP Proposal 0.75 Brokerage (Commissions) 50000000 0 Patriot Strategy Partners Patriot Strategy Partners- Proposal 0.75 Brokerage (C ommissions) 25000000 50000 50000 PRODUCT(D6,H6)=37500 Southern Financial LLC Additional Brokerage Business Committed-Not Funded 0.75 Brokerage (C ommissions) 75000000 2000000 2000000 PRODUCT(D7,H7)=1500000 SSW 2007 LLC SSW 2007 LLC- Business Committed-Not Funded 0.75 Private Wealth Premium Money Market 2000000 40 8000 PRODUCT(D8,H8)=6000 Black, Leon D. Banking Developed 0.50 Private Wealth Premium Checking 50000000 40 200000 PRODUCT(D9,H9)=100000 Black, Leon D. Art Lending Developed 0.50 U.S. Structured Lending (Secured) 2500 00000 100 2500000 PRODUCT(D10,H10)=1250000 Cummings, Ian Share Collars Developed 0.50 Brokerage (Commissions) 5000000 250000 2500 00 PRODUCT(D11,H11)=125000 Falcon Trail Capital, LLC CLO 2 Proposal 0.50 Derivatives (Equity - Swap) 5000 000 - 0 Falcon Trail Capital, LLC CLO Proposal 0.50 Derivatives (Equity - Swap) 5000 000 - 0 Gagosian, Larry Deposits Proposal 0.50 Private Wealth Premium Checking 25000000 40 100000 50000 Gaslow, Lawrence Gaslow, Lawrence- Proposal 0.50 Private Wealth Premium Check ing 25000000 40 100000 PRODUCT(D15,H15)=50000 Richardson, Julie G. Richardson, Julie G.- Proposal 0.50 Brokerage (Commissions) 3000 0000 25000 25000 PRODUCT(D16,H16)=12500 SK Family Office Residential Mortgage Developed 0.50 Standard Mortgage - Floating Arm 15000000 100 150000 PRODUCT(D17,H17)=75000 Shumway, Chris Brokerage Proposal 0.50 Brokerage (Commissions) 50000000 1000 00 50000 Third Lake Capital SOF III Proposal 0.50 Brokerage (Asset-Based Fees) - Advisor Selec t 20000000 0 Third Lake Capital Marinas Developed 0.50 Brokerage (Asset-Based Fees) - Advisor Selec t 10000000 - 0 Ziff Deposits Proposal 0.50 Private Wealth Premium Checking 50000000 40 200000 100000 Benefit Street Partners Benefit Street Partners- Developed 0.25 U.S. Structured Lend ing (Secured) 30000000 100 300000 PRODUCT(D22,H22)=75000 Blue Mountain Capital Management, LLC Credit Line Developed 0.25 U.S. Letter of Credi t 50000000 100 500000 PRODUCT(D23,H23)=125000 Bommer, Scott Residential Mortgage Developed 0.25 Standard Mortgage - 5/1 Arm 2500 0000 100 250000 PRODUCT(D24,H24)=62500 Bommer, Scott Deposits Developed 0.25 Private Wealth Premium Checking 25000000 40 100000 PRODUCT(D25,H25)=25000 Bronfman, Edgar Bronfman, Edgar Developed 0.25 Private Wealth Premium Checking w/Interest 25000000 40 100000 PRODUCT(D26,H26)=25000 Bryant Jr., Donald Deposits Developed 0.25 Private Wealth Premium Checking w/In terest 10000000 40 40000 PRODUCT(D27,H27)=10000 Cavalry Portfolio Services, LLC Brokerage Developed 0.25 Brokerage (Commissions) 1000 0000 0 Cavalry Portfolio Services, LLC Banking Account Developed 0.25 Private Wealth Premium Check ing 50000000 40 200000 PRODUCT(D29,H29)=50000 Ergen, Charles Deposits Developed 0.25 Private Wealth Premium Checking w/Interest 50000000 40 200000 PRODUCT(D30,H30)=50000 Ergen, Charles Brokerage Developed 0.25 Brokerage (Commissions) 50000000 0 Ergen, Charles Credit Line Developed 0.25 U.S. Structured Lending (Secured) 3000 00000 100 3000000 PRODUCT(D32,H32)=750000 Fitzgibbons, John Fitzgibbons, John- Developed 0.25 Standard Mortgage - Floating Arm 4000000 100 40000 PRODUCT(D33,H33)=10000 Fitzgibbons, John Commercial Mortgage Developed 0.25 Commercial Real Estate 5000 000 100 50000 PRODUCT(D34,H34)=12500 Gaslow, Peter Gaslow, Peter- Developed 0.25 Brokerage (Commissions) 25000000 0 Gerschel, Patrick Gerschel, Patrick- Developed 0.25 Brokerage (Commissions) 1500 0000 0 Hyman, Ed Hyman, Ed- Developed 0.25 Brokerage (Commissions) 20000000 0 Jain, Sunil Jain, Sunil- Developed 0.25 Private Wealth Premium Checking w/Interest 25000000 40 100000 PRODUCT(D38,H38)=25000 Keenan, William Howard Keenan, William Howard- Developed 0.25 Brokerage (Commissions) 2500 0000 - 0 Laffont, Philppe Mortgage Developed 0.25 Standard Mortgage - 5/1 Arm 2500 0000 100 250000 PRODUCT(D40,H40)=62500 EFTA01471879 Laffont, Philppe Deposits Developed 0.25 Private Wealth Premium Checking 2500 0000 40 100000 PRODUCT(D41,H41)=25000 Lawrence, Bryan Banking Developed 0.25 Private Wealth Premium Checking 20000000 40 80000 PRODUCT(D42,H42)=20000 Meister, Robert A. Meister, Robert A.- Developed 0.25 Private Wealth Premium Check ing w/Interest 10000000 40 40000 PRODUCT(D43,H43)=10000 Meister, Todd Meister, Todd- Developed 0.25 Standard Mortgage - Floating Arm 7000 000 100 70000 PRODUCT(D44,H44)=17500 Murstein, Andrew Murstein, Andrew- Developed 0.25 Private Wealth Premium Check ing w/Interest 10000000 40 40000 PRODUCT(D45,H45)=10000 Parami Capital Management Lending Developed 0.25 U.S. Structured Lending (Secured) 25000000 100 250000 PRODUCT(D46,H46)=62500 Petrides, George Petrides, George- Developed 0.25 Brokerage (Commissions) 1000 0000 - 0 Simon, Richard M. CIO Strategies Developed 0.25 Global Select - Equities/Balanced 25000000 - 0 Tharani, Haresh Brokerage Developed 0.25 Brokerage (Commissions) 30000000 0 Todd and Karen Wanek Marital Property Trust Todd and Karen Wanek Marital Property Trust- Deve loped 0.25 Private Wealth Premium Money Market 10000000 40 40000 PRODUCT(D50, H50)=10000 TOMS Capital Investment, LLC Real Estate Financing Developed 0.25 U.S. Structured Lend ing (Secured) 60000000 100 600000 PRODUCT(D51,H51)=150000 TOMS Capital Investment, LLC Art Financing Developed 0.25 U.S. Structured Lending (Sec ured) 50000000 100 500000 PRODUCT(D52,H52)=125000 Viola, Vincent Viola, Vincent- Developed 0.25 U.S. Letter of Credit 25000000 100 250000 PRODUCT(D53,H53)=62500 Wanek Trust of 2000 Banking Developed 0.25 Private Wealth Premium Checking 10000000 40 40000 PRODUCT(D54,H54)=10000 Warren, Glenn Warren, Glenn- Developed 0.25 U.S. IA - RCM 50000000 0 Yorktown Partners LLC Structured Lending Developed 0.25 U.S. Structured Lending (Uns ecured) 50000000 200 1000000 PRODUCT(D56,H56)=250000 Total SUM(I3:156)=5391000 For internal use only ((5512D11C-5CC6-11CF-8D67-00AA00BDCE1D))(persistStream)(rldl) ((5512D11C-5CC6-11CF-8D67-00AAO0BDCE1D))(persistStream)(rldl) ((5512D11C-5CC6-11CF-8D67-00AA00BDCE1D))(persistStream)(rldl) EFTA01471880