EFTA01475372

Pipeline Summary Opportunity Name cture BPS/Flat Fee Customer Name Close Date (t) Actual Revenue Sales Team Member Product Name Actual Assets Stru Additional Brokerage Southern Financial LLC 3/31/2015 75 Brokerage (Commissions) 7500 0000 Flat Fee 2000000 2000000 Paul Morris Brokerage Account Southern Financial LLC 12/31/2015 75 Brokerage 10000000 BPS 20 20000 Paul Morris SSW 2007 LLC- SSW 2007 LLC 12/31/2015 75 Private Wealth Premium Money Market 5000 0000 BPS 40 200000 Paul Morris EFTA01475372 Paul 25 Customer Name Last Call Note Customer Number Status Relationship Classification Rel. Net Wor th Relationship Investable Assets (Est.) Revenue Potential ($M per annum) Last Modifie d Date Last Activity Date Date Contacted Forbes Ranking Category Notes EFTA01475373 EFTA01475374 Stew 25 Customer Name Last Call Note Customer Number Status Relationship Classification Rel. Net Wor th Relationship Investable Assets (Est.) Revenue Potential ($M per annum) Last Modifie d Date Last Activity Date Date Contacted Category Notes EFTA01475375 Clients Customer Name Last Call Note Customer Number Status Relationship Classification Last Modifie d Date Cate or SOUTHERN FINANCIAL RELATIONSHIP 00000483290 Active Tier 1 10/19/2015 EFTA01475376 Pospects Customer Name Last Call Note Customer Number Status Relationship Classification Last Modifie d Date Category EFTA01475377 EFTA01475378 EFTA01475379 Pipeline- Full Opportunity Name Customer Name Close Date (%) cture BPS/Flat Fee Actual Revenue Sales Team Member KCP Private Markets Aspen Grove Capital, LLC 9/30/2015 ns) 15000000 BPS 5 7500 Paul Morris Benefit Street Partners- Benefit Street Partners 9/30/2015 ing (Secured) 30000000 BPS 100 Art Lending Black, Leon D. 9/30/2015 00000 BPS 100 2500000 Paul Morris KCP Black, Leon D. 12/31/2015 75 25000 Paul Morris Banking Black, Leon D. 12/31/2015 40 200000 Paul Morris Credit Line Blue Mountain Capital Management, LLC t 50000000 BPS 100 500000 Paul Mor Deposits Bommer, Scott 9/30/2015 25 BPS 40 100000 Paul Morris Residential Mortgage Bommer, Scott 9/30/2015 0000 BPS 100 250000 Paul Morris Bronfman, Edgar Bronfman, Edgar 9/30/2015 25 25000000 BPS 40 100000 Paul Morris Deposits Bryant Jr., Donald 9/30/2015 terest 10000000 Loan Bulloch, Roger BPS 100 200000 Muni Portfolio Cavalry 25000000 BPS Banking Account Cavalry ing 50000000 Brokerage Cavalry 0000 BPS 5 Real Estate Financing BPS 120 300000 Paul Morris Brokerage Cross, Lisa 9/30/2015 10 Brokerage 5 37500 Paul Morris Share Collars Cummings, Ian 9/30/2015 50 Brokerage (Commissions) 250000 250000 Paul Morris Deerpath Capital Management- Deerpath Capital Management 9/30/2015 of Credit Margin Loan BPS 100 Proxy Hedge 00000 BPS Cash Management 25 125000 Credit Line 00000 BPS Brokerage 5 25000 Deposits 50000000 BPS 40 200000 Paul Morris Estate of Gerard Basquiat- Estate of Gerard Basquiat red Lending (Secured) 50000000 BPS 100 500000 KKR EverWatch Financial 12/31/2015 75 Private 75000 75000 Paul Morris CLO 2 Falcon Trail Capital, LLC 6/30/2015 50 000 BPS 200 100000 Paul Morris CLO Falcon Trail Capital, LLC 6/30/2015 50 100000 Paul Morris Fitzgibbons, John 9/30/2015 100 40000 Paul Morris Fitzgibbons, John 9/30/2015 Product Name Actual Assets Stru 25 Brokerage (Commissio 25 U.S. Structured Lend 30000000 BPS 100 300000 Paul Morris DF Enterprises 12/31/2015 50 U.S. Secured Lending 2000000 Paul Morris Elysium Management 12/31/2015 100 2500000 Jj Litchford Elysium Management 12/31/2015 Paul Morris Ergen, Charles 100 3000000 Ergen, Charles Paul Morris Ergen, Charles 9/30/2015 50 000 BPS 200 Fitzgibbons, John- Arm 4000000 BPS Commercial Mortgage 000 BPS 100 50000 Paul Morris Airplane Loan Fitzgibbons, John 9/30/2015 10000000 BPS 100 100000 Paul Morris 12/31 300000 Paul Morris 50 U.S. Structured Lending (Secured) 2500 Brokerage (Commissions) 50000000 BPS 5 90 Private Wealth Premium Checking 50000000 BPS 9/30/2015 25 U.S. Letter of Credi ris Private Wealth Premium Checking 25000000 25 Standard Mortgage - 5/1 Arm 2500 Private Wealth Premium Checking w/Interest 25 Private Wealth Premium Checking w/In BPS 40 40000 Paul Morris 12/31/2015 10 U.S. Structured Lending Stewart Oldfield Portfolio Services, LLC 9/30/2015 10 50 125000 Paul Morris Portfolio Services, LLC 9/30/2015 25 BPS 40 200000 Paul Morris Portfolio Services, LLC 9/30/2015 25 5000 Paul Morris Chammah, Ezra 9/30/2015 25 9/30/2015 Paul Morris 9/30/2015 Structured Credit Fitzgibbons, John 0000 BPS 200 1000000 Paul Morris Gas low, Lawrence- Gas low, Lawrence ing 25000000 BPS 40 100000 Gaslow, Peter- Gaslow, Peter 9/30/2015 5 12500 Paul Morris Ares CLO General Atlantic Family Office (Equity) 3000000 Flat Fee 200000 Gerschel, Patrick- Gerschel, Patrick 0000 BPS 5 7500 Paul Morris Commerical Real Estate Gottesman, Noam 12/31/2015 BPS 200 1000000 Paul Morris Brokerage Gratitude America 12/31/2015 or Select 10000000 BPS 20 20000 (Secured) 20000000 Global Select - Fixed Income Private Wealth Premium Check Brokerage (Commissions) 1000 Commercial Real Estate 25000000 (Commissions) 75000000 BPS 5000000 Flat Fee 10 U.S. Letter (Lombard) 200000000 25 Derivatives (Equity - Option) 50 U.S. IA - RCM 50000000 25 U.S. Structured Lending (Secured) 50 Brokerage (Commissions) 50000000 2500 BPS 3000 BPS Private Wealth Premium Checking w/Interest 9/30/2015 10 U.S. Structu Paul Morris Equity Funds 5000000 Flat Fee Derivatives (Equity - Swap) 5000 Derivatives (Equity - Swap) 5000 25 Standard Mortgage - Floating 25 Commercial Real Estate 5000 10 U.S. Structured Lending (Secured) /2015 25 U.S. Letter of Credit 5000 9/30/2015 Paul Morris 50 Brokerage 50 Private Wealth Premium Check (Commissions) 25000000 BPS 9/30/2015 25 200000 Paul Morris 9/30/2015 25 Structured Notes s Deposits Brokerage (Commissions) 1500 50 Commercial Real Estate 50000000 75 Brokerage (Asset-Based Fees) - Advis Paul Morris EFTA01475380 EFTA01475381 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 EFTA01475382