EFTA Document EFTA01398969

Kimble Customer Number Customer Name Type * High Risk A Exempt Reason Exemption Reason Golub, David Client N N Toll, Robert I. Client N N Adamski, Dorothea S Client N Adamski, Paulina J. Client Adamski, Claudia C. Client Adamski, Theresa M Client Adamski, Susanne Client The Estate of Gerald Houghton Client The Aileen P. Houghton Revocable Trust Valiotis, Stamatiki Client N Houghton, Aileen P Client N Tunney, John V. Client N N Davidson Equities LLC Client Y THE TOW FOUNDATION INC Client N Eckman, William P. Client N Washington Avenue Ventures Inc. Client  interna le N N N N Northeastern Industrial Park Inc. Rotterdam Ventures Valiotis, Sophia Femmes-Invest LLC Adamski, Christoph Tunney, Jonathan R. Russell and Willene Client N Client N Client N Client N Client N Dobson Foundation Dobson Performance Fund, LLC Client Dobson Family Foundation Client Dobson CC Limited Partnership Client Mary Power Logan Serenity Trust Client * Moderate Risk Annual Client Update Due Dat Customer Owner 5/7/2017 Malcolm Kimble 5/10/2017 Malcolm Kimble N 5/11/2017 Malcolm Kimble N 5/11/2017 Malcolm Kimble N 5/11/2017 Malcolm Kimble N 5/11/2017 Malcolm Kimble N 5/11/2017 Malcolm Kimble N N 5/11/2017 Malcolm Kimb Client N N 5/17/2017 Malc Y 5/17/2017 Malcolm Kimble N 5/17/2017 Malcolm Kimble 5/19/2017 Malcolm Kimble N 5/24/2017 Malcolm Kimble N 6/1/2017 Malcolm Kimble N 6/3/2017 Malcolm Kimble N Y 6/8/2017 Malcolm Kimb Client N N N Client N N N N Net Income Only Charitable Remainder Unitrust Y 7/28/2017 Malcolm Kimble Camphill Village Copake Foundation, Inc. Fertitta, Tilman Client Y GNLC Holdings, Inc. Client Y Ritman, Sidney H. Client N Joy, Robert Client N N Thaler, Richard Client N N Golub Capital Partners 9 Client Oliver, Alex R. Client Lemaster, Nancy Client LEG Partners Debenture N N SBIC L.P. 6/8/2017 6/13/2017 6/13/2017 6/13/2017 6/13/2017 N N 6/8/2017 Malc Malcolm Kimble Malcolm Kimble Malcolm Kimble Malcolm Kimble Malcolm Kimble 6/17/2017 Y 6/17/2017 Y 6/17/2017 6/17/2017 • 7/28/2017 Malc Malcolm Kimb Malcolm Kimb Malcolm Kimb Malcolm Kimb for the Benefit of Mary Power Logan Client N Y 7/28/2017 N 7/29/2017 Malcolm N 8/2/2017 Malcolm N 8/5/2017 Malcolm 8/19/2017 Malcolm Kimble 9/12/2017 Malcolm Kimble N Y 9/27/2017 N 10/6/2017 N 10/7/2017 Client N LEG Partners III SBIC L.P. Client Golub Capital Partners 10, L.P. Client Cityview Plaza LLC Client Axia Realty, LLC Client Tow, Leonard Client N Valiotis, Efstathios Client Golub, Lawrence E. Client STEWART BAINUM JR. REVOCABLE TRUST N N N Bridge Equities VI, LLC Client Sunbridge Holdings, LLC Client Czujko, Andrew Client N Estate Of Edward T. Cone Client Rotonda, Gerard (Jerry) Client N Fertitta Entertainment, Inc. Client ETC Charitable Lead Annuity Trust #2 Etc Charitable Lead Unitrust Client Minskoff, Edward J. Client N use only Kimble Kimble Kimble Malcolm Kimb Malcolm Kimble Malcolm Kimble 10/11/2017 N Y 10/11/2017 N Y 10/11/2017 N 11/7/2017 N 11/21/2017 11/28/2017 Malcolm 12/1/2017 12/6/2017 Client Y N Malc Malcolm Kimb Malcolm Kimb Malcolm Kimble Malcolm Kimble Kimble Malcolm Kimble Malcolm Kimble 12/9/2017 Malc N 12/9/2017 Malcolm Kimble N 12/9/2017 Malcolm Kimble 12/14/2017 Malcolm Kimble N N 12/20/2017 Malcolm Kimb N 12/29/2017 Malcolm Kimble N Y 12/30/2017 Malcolm Kimb Client N N N 1/4/2018 Malc N 1/4/2018 Malcolm Kimb 1/25/2018 Malcolm Kimble EFTA01398969