EFTA01478921.pdf

Deutsche Asset & Wealth Management For Internal Use Only Key Client Partners - U.S. Capital Markets Build-Out September 2014 EFTA01478921 KCP-US Capital Markets Build-Out Objectives + Team Introduction Objectives: — Coordinate AWM + CB&S Capital Markets Professionals, idea generation, compliance, account services, and other relevant resources to improve consistency, efficiency, and reach of KCP Capital Markets Offering — Drive diversified capital markets revenues that represent a critical core for the overall KCP-US business — Create value within KCP clients' capital markets experience at DB KCP-US Capital Markets Team: — Daniel Sabba — Director — Vahe Stepanian — Associate — Jay Lipman - Analyst Deutsche Asset & Wealth Management For Internal Use Only EFTA01478922 KCP-US Capital Markets Mandate — Trade Idea Generation. Generate daily cross-asset trade ideas for KCP-US clients by utilizing entire suite of DB Resources: Global KCP Capital Markets Team, DB Markets Research, DB CB&S Trading Desks, AWM Global CIO, etc. — Market Content and Delivery. Reach out to clients daily/weekly to provide relevant market color, leveraging the work of colleagues in EMEA. Create quarterly Cross Asset Class Deck to aggregate best thinking across DB research globally for KCP-US clients. — Trade Execution. Institutional global trade execution for KCP-US clients. — Account Monitoring. Monitor client positions, proactively updating clients about significant/relevant market events, and identifying opportunities for follow- on investments/trades. — Cross Sell. Leverage daily capital markets dialogue with KCP-US clients to uncover other credit, private market, and corporate finance opportunities — New Client Generation. Generate new client relationships by working closely with KCP teammates, PCS/Private Bank Relationship Managers, other divisional partners, and existing clients (i.e. referrals). Deutsche Asset & Wealth Management For Internal Use Only 2 EFTA01478923 KCP-US Capital Markets Build-Out Priorities Actions for successful build-out of KCP capital markets coverage falls into 3 critical categories: Branding Formalize and package KCP Capital Markets Marketing Materials, Content and Idea Generation Platform \Z Quarterly Cross-Asset Theme Deck )Z External KCP trade idea template Internal Relationships + Infrastructure Develop Internal DB Relationships and Infrastructure Private Bankers, PCS Brokers, CB&S Sales/Trading, and AWM Solutions & Trading Group (STG) CRM, compliance, reporting and trade execution systems Long Term Goal: Set up KCP Clients with seamless global trade execution across KCP desks in EMEA and Asia Deutsche Asset & Wealth Management For Internal Use Only 3 Clients Deepen existing client relationships while leveraging RMs to develop new relationships \Z —30 existing KCP Capital Markets Clients, many of which have yet to be fully on-boarded EFTA01478924 Client Coverage Model —Primary coverage of KCP client relationships that have a "capital markets" investment focus. "Capital Markets" is defined as investment and/or flow trading activity across any/all asset classes (e.g. listed equities, listed options, fixed income, rates, commodities, FX, etc.) —Co-coverage of KCP client relationships that have a component of "capital markets" investment focus, in addition to other KCP-US business (i.e. private markets, structured finance, etc.) —Back-up coverage of KCP-US and WIC client relationships Primary Client Coverage Client Name Alan True Chris Shumway Clarity Ventures (Steve Karan) Elysium Capital (Leon Black) Goff Capital (John Goff) Jeffrey Epstein Lee Capital (Thomas H. Lee) PSQ Capital Stillwater (Mortimer Sackler) Think Greene Toms Capital (Noam Gottesman) Vulcan Capital (Paul Allen) Client Type UHNWI FO FO FO FO UHNWI FO Multi FO FO FO FO FO ISDA In Process N N N Y In Process EFTA01478925 In Process $775m $0.00 $0.00 $0.00 $0.00 KCP AUM YTD Rev. Approx. Net Worth $4m $0.00 $0.00 $0.00 $0.00 $160mm $102m $0.00 $0.00 $95mm $115m $5mm $3mm $0.00 $0.00 $39m $14m $0.00 $0.00 $1B $1B $0.56 $5B $1B $2B $2B $5B $0.56 $1B $2B $15B RM Scheinberg Morris Zahringer Morris Zahringer Sohrab Zahringer Packard Laconte Daulton Office Botzenhard LA Morris NY LA EFTA01478926 NY NY NY NY NY NY NY NY SF Deutsche Asset & Wealth Management For Internal Use Only 4 EFTA01478927 Client Coverage Model (cont.) Co-Coverage Client Name Akkari Family Amzak Capital (Kazma Family) Falcon Trail (SK Family Office) Fanjul Family First Reserve GE Warren (Corr Family) Hart Capital (Eric Watson) Henry Ritchotte Linden Global LLBH Wealth Management Parkwood (Mandel Family) TFMG (Tisch Family) Third Lake Yucaipa Companies (Ron Burkle) Prospects Client Name Marron Capital Point 72 Total Primary Relationships Total Co-Coverage Relationships 12 14 Client Type FO FO FO FO Fund FO FO Employee RIA RIA FO FO FO Fund ISDA KCP AUM YTD Rev. $0.00 $0.00 N Y N N In Process EFTA01478928 Y N N N N N N $139m $0.00 $0.00 $0.00 $0.00 $20m $8m $0.00 $13mm $23m $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $32m $42m $0.00 $0.00 $137m $0.00 $0.00 $0.00 $4m Client Type FO FO Primary Coverage Tazia Smith Tazia Smith Tazia Smith Thomas Ororke Tazia Smith Tazia Smith Thomas Ororke Tazia Smith Tazia Smith Tazia Smith David Mann Tazia Smith Tazia Smith Tazia Smith EFTA01478929 Approx. Net Worth $1B $106 Approx. Net Worth $1B $1B $0.56 $15B $20B $1B $2B NA $1B $1.7B $3B $6B $2B $4B RM Morris Packard RM Wessels Office NY Arrizurietta MIA Morris NY B. Stepanian CT Vrablic NY Zahringer NY Gonzalez NY Loudenslager NY Sabbagh NY Coleman NY Mann Morris Morris Burnett NY NY NY LA Office NY NY Deutsche Asset & Wealth Management For Internal Use Only EFTA01478930 5 EFTA01478931 KCP-US Capital Markets Build-Out Timeline Q4 2014 — Q2 2015 1 2 4 3 Daniel Sabba joins Deutsche Bank Sept. 29, 2014 Announcement of formalized KCP-US Capital Markets Team KCP-US Capital Markets Roadshow Migratration of existing KCP clients to Cap. Markets Team October 2014 November 2014 Q1 2015 Deutsche Asset & Wealth Management For U.S. Key Client Partners (KCP) Clients Only 6 EFTA01478932 KCP-US Capital Markets Needs + Remaining Questions — Heat Map = considerable progress made Issue Marketing Materials Internal Connectivity Pricing Models, Valuation and Trading Systems Streamline Account Set-Up AWM Credit Risk Management Reporting Infrastructure = current inefficiency/poor client experience Description Formalize trade idea generation process and coverage capabilities of KCP Capital Markets Team (both US and Global). (1) Connect Global KCP Capital Markets teams, scaling trade ideas and execution. (2) Ramp up execution capabilities with relevant CB&S traders across equities, credit, derivatives, FX, etc. Need direct access to DB proprietary pricing models/systems to provide clients with regular, accurate valuations and performance reports. Reduce silos across products and divisions, including CB&S Onboarding vs. AWM (especially equity derivatives). Include GTB SLA negotiations here for select KCPUS clients (i.e. Institutional Prime Brokerage). Address bandwidth constraints that restrict trade execution and ISDA negotiation. Accurate and consolidated performance reporting, inclusive of Listed and OTC Positions Broad based account access to all relationships on KCP desk to facilitate seamless coverage, revenue tracking, and KCP relationship analysis. = severe barrier Point Person(s) to Address Nav Gupta, Ziggy Kozelsky, Will Leong, Nav Gupta, Daniel Sabba, Vahe Stepanian, Nav Gupta, Daniel Sabba, Vahe Stepanian Ziggy Kozelsky, Mathew Negus, Vahe Stepanian Nicholas Haigh, Daniel Sabba EFTA01478933 Daniel Sabba, Mathew Negus, Vahe Stepanian Zbynek Kozelsky, Mathew Negus Status Progress made, need to expedite process Need to streamline connectivity with Global KCP desks + CB&S sales/trading In Progress 9L FX granted. Need equity derivatives, etc. Need to create client friendly KCP Capital Markets onboarding package Slow Progress, Resource Constraints in CRM Slow Progress, Resource Constraints in Technology Progress made. Need improved revenue tracking. Deutsche Asset & Wealth Management For Internal Use Only 7 EFTA01478934 Weekly KCP Capital Markets Meeting Schedule Global KCP Capital Markets Call Monday @ 7:00am ET Leaders: Vinit Sahni & Nav Gupta Attendees: Global KCP Capital Markets Representatives Global Markets Research Morning Call Daily @ 7:15am ET Leader: Greg Poole KCP/WIC Capital Markets Morning Meeting Monday & Thursday @ 8:10am ET STG Weekly Meeting Tuesday @ 8:10am ET Leader: Joshua Friedberg KCP-Americas Weekly Pipeline Meeting Thursday @ 4:15pm Leader: Caroline Kitidis KCP-US Monthly Investments Call Leader: Caroline Kitidis Deutsche Asset & Wealth Management For Internal Use Only 8 EFTA01478935 KCP-US Cross Asset Trade Execution - Where to go to Trade AWM + CB&S key contacts included in Appendix A Flow Trading - AWM / STG Execution Equities Block Trades — CB&S Equity Derivatives Structured Solutions Fixed Income FX Deutsche Asset & Wealth Management For U.S. Key Client Partners (KCP) Clients Only Listed Options - AWM / STG Execution (Baltimore) OTC Derivatives — CB&S Agency / Non-DB Counterparties - AWM / STG Execution DB as Counterparty Agency / Non-DB Counterparties - AWM / STG Execution DB as Counterparty Execution and Idea Generation - AWM / STG Execution and Idea Generation — CB&S 9 EFTA01478936 Appendix A: KCP Key Contact List September 2014 Deutsche Asset & Wealth Management For Internal Use Only 10 EFTA01478937 Appendix A: KCP Key Contact List — cont. September 2014 Deutsche Asset & Wealth Management For Internal Use Only 11 EFTA01478938 Appendix A: KCP Key Contact List — cont. September 2014 Deutsche Asset & Wealth Management For Internal Use Only 12 EFTA01478939 Appendix A: KCP Key Contact List — cont. September 2014 Deutsche Asset & Wealth Management For Internal Use Only 13 EFTA01478940