EFTA01428588

Sheet2 Email Phone Fedex EFTA01428588 Stewart Oldfield Customer Owner GCIS Customer Number Client Name Relationship Name Last KYC Date Iden tify if paper KYC Client Risk Rating KYC Started on Tracker? Due Date IDD Start Mo nth Products as of Oct-18 Revenue (USD) - Sep-18 Revenue (EUR) - Sep-18 CBV (USD) - Sep-18 CBV (EUR) - Sep-18 Communication Preferences Communication / Client notes for the team Stewart Oldfield 270557 The Jockey Club Foundation JOCKEY CLUB RELATIONSHIP Only Paper Moderate Initial Due Diligence 3/31/2019 Dec 2018 Brokerage, Global De posits 2555.09149 2152.24674 6091829.37709 5241861.529999999 Stewart Oldfield 219810 AXCIS INFORMATION NETWORK, INC. JOCKEY CLUB RELATIONSHIP Only Paper Moderate Initial Due Diligence 3/31/2019 Dec 2018 Global Deposits 4053 .34866 3407.65825 288607.4129 248339 21 Stewart Oldfield 109001 Equibase Company JOCKEY CLUB RELATIONSHIP Only Paper Moderate Client not started 3/31/2019 Dec 2018 U.S. Liq Funds, U.S. Invtmt Funds, Global Deposits 8507.79521 7133.63634 3609815.3603100004 3106152.70 Stewart Oldfield 535523 THE CHARLESMEAD FOUNDATION INC. DEERING/CROSBY RELATIONSHIP 10/1 4/2016 Digital KYC Moderate Pending Exclusion 5/31/2019 Jan 2019 RCM, Brokerage 7000.14617 5938.84 1.4087570608760001E7 1.212198994E7 Stewart Oldfield 556211 TODD R. WANEK 2016 GRAT THIRD LAKE CAPITAL RELATIONSHIP 3/14/2017 Digital KYC Moderate Client not started 6/30/2019 Jan 2019 Global Depos its 11615.369949999998 9777.72541 0 0 Stewart Oldfield 556210 SHARI WAGNER 2016 GRAT THIRD LAKE CAPITAL RELATIONSHIP 3/14/2017 Digital KYC Moderate Client not started 6/30/2019 Jan 2019 Global Depos its 9540.66083 8025.44503 0 0 Stewart Oldfield 556208 KATI /2017 Digital KYC Moderate al Deposits 7288.08473 6130 Stewart Oldfield 556207 KATI /2017 Digital KYC Moderate al Deposits 0 0 0 Stewart Oldfield 520582 Digital KYC Moderate 4.57495 36621.088240000005 Stewart Oldfield 520550 Digital KYC Moderate 6.14712000001 45216. Stewart Oldfield tal KYC Moderate .81866 4863.91865 Stewart Oldfield tal KYC Moderate 1.5768 17584.19353 Stewart Oldfield tal KYC Moderate 7.26786 17580.56468 Stewart Oldfield tal KYC Moderate .11901 4865.84391 1012904.90729 871578.46 Stewart Oldfield 495598 Wanek, Todd R. THIRD LAKE CAPITAL RELATIONSHIP 3/29/2017 Digi tal KYC Moderate Fully Approved 6/30/2019 Jan 2019 Global Deposits 150247.51320 999998 125876.22493000001 3.08722639929E7 2.6564784230000004E7 Stewart Oldfield 495400 KWF 2007 LLC THIRD LAKE CAPITAL RELATIONSHIP 3/29/2017 Digi tal KYC Moderate Fully Approved 6/30/2019 Jan 2019 Global Deposits 44686.27241 37394.78364 7811952.71777 6721983.15 Stewart Oldfield 495399 SSW 2007 LLC THIRD LAKE CAPITAL RELATIONSHIP 3/29/2017 Digi tal KYC Moderate Client not started 6/30/2019 Jan 2019 Global Deposits 3305 8.52334 27713.69395 5348884.44218 4602576.64 Stewart Oldfield 495397 WANEK TRUST OF 2000 THIRD LAKE CAPITAL RELATIONSHIP 3/29/2017 Digital KYC Moderate Fully Approved 6/30/2019 Jan 2019 Global Deposits 1428 27.50239 119774.10053 3.0671198457369998E7 2.639177254E7 Stewart Oldfield 474262 Boles, Christopher BOIES FAMILY RELATIONSHIP 5/30/2014 Digital KYC Moderate Client not started 6/30/2019 Jan 2019 Alternative Investments, Global Deposits, U.S. Invtmt Adv 6878.1007 5762.154229999999 1597905.9056 699998 1374956.6800000002 Stewart Oldfield 536086 TJC Holdings, Inc JOCKEY CLUB RELATIONSHIP 6/30/2016 Digital KYC Moderate Client not started 3/31/2019 Mar 2019 Global Depos its 116.38564 97.74807999999999 7801.48971 6712.98 Stewart Oldfield 524640 Blood-Horse LLC JOCKEY CLUB RELATIONSHIP 12/16/2015 Digi tal KYC Moderate Client not started 3/31/2019 Mar 2019 Global Deposits 5723 .1621700000005 4777.88387 83832.71294 72135.88 Stewart Oldfield 514139 Coalition for Horse Racing Integrity, Inc. JOCKEY CLUB RELATI ONSHIP 7/7/2015 Digital KYC Moderate Client not started 3/31/2019 Mar 2019 Global Deposits 39.46236 33.85964 189.80234 163.32 Stewart Oldfield 43346 The Jockey Club JOCKEY CLUB RELATIONSHIP 3/2/2012 Digi tal KYC Moderate Client not started 3/31/2019 Mar 2019 Brokerage, U.S. Liq Funds, U.S. Invtmt Funds, Global Deposits 22672.02551 18925.490429999998 3.4131248430 39999E7 29369056 Stewart Oldfield 570649 Adikeshavar Holdings LLC ADIKESHAVAR RELATIONSHIP Only Paper Low Client not started 7/31/2019 Mar 2019 Brokerage 1444.29764 1196.6368599999998 3806550.0857499996 3275437.84 WANEK-FORSYTHE 2016 GRAT Client not started .55799 0 0 WANEK-FORSYTHE 2015 GRAT Client not started 0 Kati Forsythe 2014 GRAT THIRD Fully Approved 6/30/2019 7810416.93655 6720661.65 Shari Wagner 2014 GRAT THIRD Fully Approved 6/30/2019 93608 7908513.63454 520549 CRW 2007 LLC Client not started 1012658.38041 871366. 520548 CRW 2009 LLC Client not started 4284691.240549999 520547 GEW 2009 LLC Client not started THIRD LAKE CAPITAL RELATIONSHIP 3/14 6/30/2019 Jan 2019 Glob THIRD LAKE CAPITAL RELATIONSHIP 3/14 6/30/2019 Jan 2019 Glob LAKE CAPITAL RELATIONSHIP 3/29/2017 Jan 2019 Global Deposits 4372 LAKE CAPITAL RELATIONSHIP 3/29/2017 Jan 2019 Global Deposits 5372 6805071.319999999 THIRD LAKE CAPITAL RELATIONSHIP 12/8/2015 Digi 6/30/2019 Jan 2019 Global Deposits 5824 33 THIRD LAKE CAPITAL RELATIONSHIP 3/29/2017 Digi 6/30/2019 Jan 2019 Global Deposits 2096 3686865.93 THIRD LAKE CAPITAL RELATIONSHIP 3/29/2017 Digi 6/30/2019 Jan 2019 Global Deposits 2095 4284237.11881 3686475.17 520546 GEW 2007 LLC THIRD LAKE CAPITAL RELATIONSHIP 12/8/2015 Digi Client not started 6/30/2019 Jan 2019 Global Deposits 5827 EFTA01428589 Stewart Oldfield SHIP Only Paper Investments 0 Stewart Oldfield 539444 2016 Mayson-Deering Family Trust DEERING/CROSBY RELATIONSHIP Only Paper Low Pending Exclusion 5/31/2019 Mar 2019 Brokerage 299. 9982 253.28 230853.56677 198643.52000000002 Stewart Oldfield 535526 GREEN EAGLES PARTNERS LLC DEERING/CROSBY RELATIONSHIP Only Paper Low Pending Exclusion 5/31/2019 Mar 2019 Brokerage 0 0 1232617.3022900003 1060635.2899999998 Stewart Oldfield 535525 SUPURLATIV LLC DEERING/CROSBY RELATIONSHIP Only Paper Low Pending Exclusion 5/31/2019 Mar 2019 Brokerage 0 0 4463.31843 3840.57 Stewart Oldfield 535520 45 SOUTH BATTERY PARTNERS LLC DEERING/CROSBY RELATIONSHIP Only Paper Low Pending Exclusion 5/31/2019 Mar 2019 Brokerage 0 0 454540.13124 391120.02 Stewart Oldfield 535518 293 RUMSTICK LLC DEERING/CROSBY RELATIONSHIP Only Paper Low Pending Exclusion 5/31/2019 Mar 2019 Brokerage 0 0 6987 .65931 6012.70 Stewart Oldfield 535515 2011 ANTHONY W DEERING TRUST UAD 11/21/11 KATHYRN DEERING TTEE DEER ING/CROSBY RELATIONSHIP Only Paper Low Pending Exclusion 5/31/2019 Mar 2019 Brokerage 0 0 1.10156490428E7 9478680.93 Stewart Oldfield 535514 2004 DEERING FAMILY TRUST UAD 08/12/04 HEATHER CROSBY & AUGUSTUS D W ARREN TTEES DEERING/CROSBY RELATIONSHIP Only Paper Low Pending Exclusion 5/31 /2019 Mar 2019 Stewart Oldfield ING/CROSBY RELATIONSHIP Brokerage 0 Stewart Oldfield Paper Low Pending 6633159.311960001 Stewart Oldfield Paper Low Pending 3489224.1915100003 Stewart Oldfield Only Paper Low O 0 0 Stewart Oldfield Paper Low Pending 3219761.9679799997 Stewart Oldfield IONSHIP Only Paper 0.00245 0.00203 0 Stewart Oldfield O Only Paper O 0 0 Stewart Oldfield Paper Low Client O 0 Stewart Oldfield Paper Low Client O 0 0 Stewart Oldfield 442683 Coal Creek Farm, LC, a Florida Limited Liability Company EMANN FAMILY RELATIONSHIP Only Paper Low Client not started 5/31/2019 2019 Residential Mortgage 0 0 0 0 Stewart Oldfield 175040 INCOMPASS SOLUTIONS,INC. Paper Low Client not started 3/31/2019 May 847.42832 94105.27057 80975.15 Stewart Oldfield 121757 Grayson-Jockey Club Research Foundation, Inc. JOCKEY CLUB RELATI ONSHIP Only Paper Low Initial Due Diligence 3/31/2019 May 2019 Brokerage 117.53963 98.67699 1.519455043127E7 1.307451743E7 Stewart Oldfield 535561 Deering, Sandra DEERING/CROSBY RELATIONSHIP Only Paper Low Exclusion Completed 5/31/2019 Jun 2019 Brokerage 0 0 63470.72927 54614.91999999999 Stewart Oldfield 535522 DEERING, MARON M Low Pending Exclusion 5/31/2019 Jun .70 3674066.6243999996 3161439.25 Stewart Oldfield 535519 DEERING, SPENCER Low Pending Exclusion 5/31/2019 Jun 312.249999999999 1731790.74561 1490161.12 Stewart Oldfield 496075 JSC Interiors LLC SOUTHERN FINANCIAL RELATIONSHIP 12/2/2014 Digital KYC Low Client not started 11/30/2019 Jul 2019 Global Deposits 2194 .2967200000003 1832.19562 96852.69777 83339.24 Stewart Oldfield 490561 Diamond B Capital, Inc. BOIES FAMILY RELATIONSHIP 5/30/2014 Digital KYC Low Client not started 6/30/2019 Jun 2019 Alternative Investme nts, U.S. Invtmt Adv 494.25134 415.00421 2884678.66578 2482191.34 Stewart Oldfield 474213 Ellin, Howard ELLIN, HOWARD RELATIONSHIP 1/8/2015 Digi tal KYC Low Client not started 11/30/2019 Jun 2019 Alternative Investments, U.S . Invtmt Adv 271.48352 225.86 198243.28913000002 170583.22 Stewart Oldfield 472506 TJC Media Ventures, Inc. JOCKEY CLUB 542725 Crestline Specialty Lending LP CRESTLINE SPECIALTY LENDING RELATION Low Client not started 7/31/2019 Mar 2019 Alternative O 0 0 not started 5/31/2019 Brokerage 0 0 24.47488 21.06 535511 SANDRA E DEERING GIFT TRUST UAD 12/09/11 SANDRA E DEERING TTEE DEER Only Paper Low Pending Exclusion 5/31/2019 Mar 2019 O 1880573.721 1618185.02 535510 DEERING FAMILY LTD PARTNERSHIP DEERING/CROSBY RELATIONSHIP Only Exclusion 5/31/2019 Mar 2019 Brokerage 0 0 5707661.93 535506 ACE LIMITED PARTNERSHIP LLLP DEERING/CROSBY RELATIONSHIP Only Exclusion 5/31/2019 Mar 2019 Brokerage 0 0 3002387.12 535505 MATHEYS LANE GREEN WIZARD INVESTORS LLC DEERING/CROSBY RELATIONSHIP Pending Exclusion 5/31/2019 Mar 2019 Brokerage 0 535504 THE ROUSE COMPANY FOUNDATION DEERING/CROSBY RELATIONSHIP Only Exclusion 5/31/2019 Mar 2019 Brokerage 0 0 2770521.85 493996 Madison Park Capital, LLC GENERAL ATLANTIC FAMILY OFFICE RELAT Low Client not started 7/31/2019 Mar 2019 Brokerage 0 565210 Echelon Investment Partners Master LP. SK FAMILY OFFICE RELATIONSHI Low Client not started 7/31/2019 Feb 2019 Brokerage 0 492049 Falcon Trail Capital, LLC SK FAMILY OFFICE RELATIONSHIP not started 7/31/2019 Feb 2019 Brokerage 0 451399 508 West 25th Street, LLC LINDEMANN FAMILY RELATIONSHIP Feb 2019 Residential Mortgage Only 0 Only 0 LIND Feb JOCKEY CLUB RELATIONSHIP Only 2019 Global Deposits 1008.44119 DEERING/CROSBY RELATIONSHIP Only Paper 2019 Brokerage 3580.6873 3044 DEERING/CROSBY RELATIONSHIP Only Paper 2019 Brokerage 365.7658200000012 RELATIONSHIP 3/2/ EFTA01428590 2012 Digital KYC Low Client not started 3/31/2019 Sep 2019 Global Depos its 298.39445 254.06061 49401.9157 42509.07 EFTA01428591