EFTA01406223

NAME SEARCHED: Plan D, LLC PWM BIS-RESEARCH performed due diligence research in accordance with the standards set by AML Compliance for your business We completed thorough searches on your subject name(s) in the required databases and have attached the search results under the correct heading below. Significant negative media results may require escalation to senior business, Legal and Compliance management. Also, all accounts involving PEPs must be escalated. Search: RDC Hit No Hit FIRCOSOFT Hit Yes BIS IV. Non-Negative Media Not Required V. Other Language Media Results? Yes D&B Not Required SMARTLINX COURT CASES Results? Yes Not Required Required Review by Legal May be Search not required Prepared by: Priyanka Sharma Date: 10/01/2018 No Results No VII. Smartlinx No Information Found VIII. Court Cases Research Analyst Instructions: 1. Review and confirm that all results are returned for your client. 2. Please note that you are still required to perform any Martindale-Hubbell search (if applicable) on each search subject. We have attached the web link below for your convenience:Martindale-Hubbellhttp://www.martindale.com/xp/- Martindale/home.xml 3. As needed, provide comment for any negative results. 4. If applicable, please obtain clearance from Compliance for all alerts. 5. Save any changes you make to this document and attach file to your KYC. Please note: Submission of a signed KYC is your confirmation that you have fully reviewed the research documents. %rah 119061k04ittil la ,i1 tikgYINA For internal use only EFTA01406223 No Information Found No VI. D&B No Information Found Information Found (Please See Attached) No Information Found No III. Negative Media Not Required II. FIRCOSOFT Results No FIRCOSOFT Alert No Information Found (Please See Attached) Result: No Hit Not Required I. RDC Results Click here for results: Reviewer Comments (as necessary): No RDC Alert (Please See Attached) EFTA01406224 Page 2 OFAC RESULTS RDC: Inquiry Id Response Type Tracking Id 11641150 No Match Found KYC 01977694 Plan D, LLC FIRCOSOFT: 30052200 WR 300522002182 BIS RESULTS: Negative Media: No Information Found Non-Negative Media: No Information Found Other Language Media: No Information Found D&B: Copyright 2018 Dun & Bradstreet, Inc Worldbase March 7, 2018 PLAN D LLC 6100 RED HOOK QTRS (registered address) ST THOMAS, VI 008021348 USA COUNTY: SAINT THOMAS Ung01 -1#1444 RO4ittil ti.14tillgl For internal use only Name Address Country:VIRGIN ISLANDS, U.S. Date of Birth/Age Company Plan D, LLC No Alert No Alert No Alert No Alert EFTA01406225 Page 2 REGION: NORTH AMERICA * * * * * * * * * * COMMUNICATIONS * * * * * * * * * * TELEPHONE: 2129711314 COUNTRY CODE: 0001 CABLE TELEX: 1 NMNNANP * * * * * * * * * * COMPANY IDENTIFIERS * * * * * * * * * * DUNS: 08-111-5986 * * * * * * * * * * COMPANY INFORMATION * * * * * * * * * * FOUNDED: 2018 LEGAL STATUS: Proprietorship EMPLOYEES HERE: 2 - Estimate EMPLOYEES TOTAL: 2 - Estimate COMPANY TYPE: Private * * * * * * * * * * DESCRIPTION EQPT RNTL LSING N * * * * * * * * * * * * * * * * * * * * MARKET AND INDUSTRY * * * * * * * * * * SIC CODES: 7359 - Equipment rental/leasing $53,460 (US Dollars) Public Record: 1 OF 1 RECORD(S) SmartLinx ® Comprehensive Business Report Report Created:10-01-2018 1:13 PM EST I FOR INFORMATIONAL PURPOSES ONLY Copyright 0 2018 LexisNexis, All rights reserved. Search Terms - company(Plan D, LLC) radius(15) Executives - Current (0) MVRs - Current (0) Licenses (0) Aircraft - Current (0) UCC Filings (1) Possible Employees (0) Possible Connected Business (0) View All Sources (4) Business Summary Name PLAN D LLC LexID 0001-1416-9672 Address 2629 Sudderth Dr Ruidoso, NM 88345-6302 Lincoln County Established 2013 (5 Years in Business) Wi -Ifi.4141.M4ittil MCA, JMINg For internal use only TIN EFTA01406226 Phone Incorporation/SOS (1) URLs (0) MVRs - Prior (0) Aircraft - Prior (0) Executives - Prior (1) Person Associates (0) Parent Company (0) Operations/Sites (1) Sales (0) Real Property - Current (0) Real Property Prior (0) Watercraft - Current (0) Bankruptcy Filings (0) Registered Agents (0) Business Associates (2) Industry Information (1) Watercraft - Prior (0) Judgments & Liens Filings (0) Name Variations (2) TINs (0) EFTA01406227 Page 3 At a Glance Real Property Personal Property Secured Assets Executives NAME 0 0 0 0 UCC Debtor Bankruptcy Judgments/Liens Foreclosure/Notice of Default Name Variations - 2 name variations found NO. 1. 2. PLAN D LLC PLAN D, LLC TINs - 0 TINs found Business Profile Executives: Current - 0 executive(s) found Incorporation/SOS (0 active, 1 other) NO. NAME 1. PLAN D LLC Additional Details Business Status: N/A Filing Type: SOS Filing Expiration: 11/20/2008 For Profit: Unknown Origin: Other Business Filing OperatingLocations - Showing 1 location(s) NO. ADDRESS 1. 2629 Sudderth Dr Ruidoso, NM 88345-6302 Lincoln County Sales - 0 record(s) found Parent Company - 0 record(s) found Industry Information SIC 7299 Miscellaneous Personal Services, Nec Industry Description: SERVICES Business Description: EFTA01406228 Licenses - 0 licenses found URLs - 0 URLs found Bankruptcy (0 active, 0 closed) Judgments/Liens (0 filings) MIJO 13114641k04iltil h t ti.14t011 For internal use only NAIC 541990 812990 All Other Professional, Scientific, and Technical Services All Other Personal Services METRO AREA LINCOLN COUNTY PHONE FILING TYPE STATUS N/A FILING DATE FILING NO. 10/20/2006 2793446 STATE 1 0 0 0 EFTA01406229 Page 4 UCC Filings (1 debtor, 0 creditor) NO. ROLE STATUS 1. Debtor Active ORIG. FILING DATE 05/23/2013 ORIG. FILE NUMBER Filing Office Information SECRETARY OF STATE/OPERATIONS BUREAU/UCC DIVISION 325 Don Gaspar St Ste 300 Santa Fe, NM 87501 Filing 2 Filing Number: 20179730469G Filing Date: 10/25/2017 Filing Type: AMENDMENT Expiration: 05/23/2018 Debtor 1 DREAM CATCHER CAFE 2629 Sudderth Dr Ruidoso, NM 88345-6302 Secured Party Info 1 MERCHANT CAPITAL SOURCE LLC 2120 Main St Ste 220 Huntington Beach, CA 92648-7454 Filing 1 Filing Number: 201300089358 Filing Date: 05/23/2013 Filing Type: INITIAL FILING Expiration: 05/23/2018 Debtor 1 DREAM CATCHER CAFE 2629 Sudderth Dr Ruidoso, NM 88345-6302 Secured Party Info 1 MERCHANT CAPITAL SOURCE LLC 2120 Main St Ste 220 Huntington Beach, CA 92648-7454 Collateral RECEIVABLE OF CONTRACT Real Property (0 current, 0 prior) Personal Property (0 current, 0 prior) Associates AMIO 149.4441-M4iltil V1011. ti.14b.la For internal use only JURISDICTI ON EFTA01406230 20130008935B NM FILE TYPE Amendment EFTA01406231 Page 5 Executives: Prior - 1 prior executive(s) found NO. NAME 1. Crawford, Lynn Moderate Risk Associated with Other Companies TITLE PRESIDENT Registered Agents - 0 registered agent(s) found Possible Employees - 0 current, 0 prior employees found Person Associates - 0 other person associates found Possible Connected Business - 0 businesses found Business Associates - 2 business associates found NO. 1. NAME DREAM CATCHER CAFE 2. MERCHANT CAPITAL SOURCE LLC Sources All Sources UCC Other Directories Experian Key: High Risk Indicator. These symbols may prompt you to investigate further. Moderate Risk Indicator. These symbols may prompt you to investigate further. General Information Indicator. These symbols inform you that additional information is provided. The most recent telephone listing as reported by Electronic Directory Assistance. Wireless Phone Indicator. These symbols indicate a cell phone number. Residential Phone Indicator. These symbols indicate a residential phone number. Business Phone Indicator. These symbols indicate a business phone number. Shared Phone Indicator. These symbols indicate the phone number may be shared between wireless and landline service. FAX Indicator. These symbols indicate a FAX number. Government Phone Indicator. These symbols indicate a government phone number. Important: The Public Records and commercially available data sources used on reports have errors. Data is sometimes entered poorly, processed incorrectly and is generally not free from defect. This system should not be relied upon as definitively accurate. Before relying on any data this system supplies, it should be independently verified. For Secretary of State documents, the following data is for information purposes only and is not an official record. Certified copies may be obtained from that individual state's Department of State. EFTA01406232 Your DPPA Permissible Use is: Debt Recovery/Fraud Your GLBA Permissible Use is: Legal Compliance faMO 111461A04ttil tral ZMY11,4 For internal use only ADDRESS 2629 Sudderth Dr Ruidoso, NM 88345-6302 Lincoln County 2120 Main St Ste 220 Huntington Beach, CA 92648-7454 Orange County 4 Source Documents 1 Source Documents 2 Source Documents 1 Source Documents ROLE UCC UCC EFTA01406233 Page 6 Copyright 0 2018 LexisNexis, a division of Reed Elsevier Inc. All Rights Reserved. LEGAL RESULTS: Court Cases: No Information Found ZOO 10414-Rtagift0 OUR AIJORIM For internal use only EFTA01406234