EFTA Document EFTA01419592

Sheet2 Annual Client Update: ID Customer Number Customer Name Primary Officer Relationship Meet ing/Call Date Material Changes A15. Client Status Update Description Days Overdue MSR Bank Silos COMMENTS Landis, Betsy M. Liz Payne LANDIS, DONALD RELATIONSHIP 11/6 /2014 Client passed away on 8/24/14. Account has been placed on Caution. Client passed away o n 8/24/14. Account placed on Caution. 207 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacob New York COVERAGE-Domestic AML to Close - KYC Approved #1343368 Closed Landis, Donald M. Liz Payne LANDIS, DONALD RELATIONSHIP 10/3 /2014 Donald Landis passed away on 8/24/14. Cautions have been placed on his accounts with us. We are awaiting Letters Testamentary, etc. on this account from his wife, Betsy Landis. Client passe d away on 8/24/14. 241 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic AML to Close - KYC Approved #1343368 Closed Wilner Esq., Diane S. Liz Payne WILNER, DIANE S RELATIONSHIP 3/2/ 2015 Income producing activities have not changed Client wants to close account so no future t ransactions should occur. We need this account to be reactivated so that we can close it 91 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic AML to Close - No Material Change - Client is Inactive Closed Marriott III, John W. Brian Convey MARRIOTT, JOHN W RELATIONSHIP 2/4/ 2015 There are no recent changes to his employment status or health. Mr. Marriott recently provid ed account opening documents with a different address then previously recorded. 117 Kim Hart, An drew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic AML to Close - N Material Chan Closed Edward Torres Management Trust f/b/o Lara Torres Terrence Tangney TORRES, E RELATIONSHIP 3/11/2014 none DBTCNA has been removed as trustee by the trust prot ector and replaced by Wells Fargo. 447 Kim Hart, Andrew Galivan, Michael J. Davis, Michael b alia.sw' rk COVERAGE-Domestic AML to Close - Account closed Closed Arnow, Joshua Terrence Tangney WEILER/ARNOW RELATIONSHIP 2/12 /2015 Terrence had a meeting today at the Weiler Arnow office. We are opening a 2 new accou nts for Josh Arnow due a recent fraud attempt. 109 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic AML to Close - No Material Change Clos ed Reist, Derrick Kim Hart REIST, J6L RELATIONSHIP 4/28/2015 Plea se see ACU comment There is no contact with this client. He is a "mutual fund only" client with no open Private Bank accounts. The mutual fund account is associated with a "dealer code" that asso elates it to the Private Bank. We are trying to get the account coded correctly. In the meantime, th ere has been no account activity. The client has $18.43 invested in the ICT Treasury Portfolio. 34 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic ligilli.laiterial Changes Closed Burton, Katherine Kim Hart BURTON, KATE RELATIONSHIP 4/28 /2015 Please see ACU comment There is no contact with this client. She is a "mutual fund only" cl ient with no open Private Bank accounts. The mutual fund account is associated with a "dealer code" that associates it to the Private Bank. We are trying to get the account coded correctly. In the mea ntime, there has been no account activity. The client has $77.19 invested in the ICT Treasury Portfo lio. 34 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVE RAGE-Domestic AML to Close - No Material Changes Closed Chiappina, Federico Josie Alonso CHIAPPINA, FEDERICO RELATIONSHIP 2/9/2015 Mr. Federico Chiappina's income derived from savings, and investments. Mr. Federico Chiappina passed away on January 21, 2015. 112 Lina Arias, Felipe Goddard LatAm Intl COVERAGE-LATAM AML to Close - KYC Approved #1366843 Closed I-Joan Beer Separate Property Trust Carolin Botzenhard BEER LIVING TRUST RELATIONSHIP 2/27/2015 2/27/2015 - Telephone call to confirm address change Mr. Bee r's wealth is solely derived from the sale of his shares of Infox GmbH (https://www.infox.de/public/ ueberinfox.aspx) which he and a few private investors and company executives acquired via a leverage d buy-out in 1995. The funds for his participation in LBO transaction were provided by a loan from t he founders of Infox, a loan from his parents and his own personal savings. They then sold the compa ny to Europe Capital Partners ( a private equity firm) in 1997 whereby he increased his stake in Co. from 8% to 21% . Then in 2000 the company was sold again to Societe Generale Pvt. Equity where he r eceived ?15MM for his shares of the company. Before joining Infox Mr. Beer was CEO of a tour operato  called Berge 6 Meer. The company belonged to the Metro Group at the time and is now part of the TU I group. Berge 6 Meer is one of the biggest tour operators in Germany. Before that he spent 5 years with Lufthansa Airlines, initially as a management trainee and then responsible for the entire domes tic German point to point air-traffic. He holds a Dipl.Kfm degree from Johann W. Goethe University i n Frankfurt. He is currently President a CEO of IMC Interamerican Motors. IMC is a leading distribut or OE quality parts for automobiles based in Canoga Park, CA. He earns a salary/ bonus of approximat ely $1MM per annum, but his compensation does not contribute 25% or more to his net-worth. no m aterial changes address change 94 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby Los Angeles COVERAGE-Domestic AML to Close - No Material Changes Please provide both addresses ( rior and current) Beer Living Trust Carolin Botzenhard BEER LIVING TRUST RELATIONSH IP 2/27/2015 2/27/15 - Spoke to client to confirm address change. No material source of w ealth changes. Assets are held in an investment account under the Beer Living Trust. Approximate val ue $7.25MM USD (held in bot EUR and USD). Change of address. 94 Kim Hart, Andrew Gal ivan, Michael J. Davis, Michael Jacoby Los Angeles COVERAGE-Domestic AML to Close - No Ma terial Chan es Please provide both addresses (prior and current) Allen, Paul Gardner Russell Daulton ALLEN, PAUL GARDNER RELATIONSHIP 11/5/2014 Elizabeth Joy has left Vulcan and been replaced by Russell Paquette. We are currentl y working on updating all accounts to reflect those changes. We also spoke about the Dodd - Frank ru les that give Mr. Allen the option to segregate collateral on SWAPS. Russell is looking forward to s EFTA01419592 eeing us the next time we are in Seattle. Elizabeth Joy has left Vulcan, replaced by Russell P aquette. They are working on redocumenting all their accounts at which point we will update the KYC with new parties. 208 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby San Francisco COVERAGE-Domestic AML to Close - KYC Approved *1344477 closed Walter Living Trust Russell Daulton WALTER, RON RELATIONSHIP 4/14 /2015 Client has moved all assetts out of the bank. Only remaining asset is in Private Equity and can not be moved. Client is not responding to voice and email messages left by banker. Client has m oved all assetts out of the bank. Only remaining asset is in Private Equity and can not be moved. CI ient is not responding to voice and email messages left by banker. 48 Kim Hart, Andrew Gal ivan, Michael J. Davis, Michael Jacoby San Francisco COVERAGE-Domestic AML to Close - No Ma terial Chan es closed Kubali-Camoglu, Ishik Andrea Nicoletti CAMOGLU, ISIK RELATIONSHIP 5/27/2014 No material changes. Client is deceased 370 Kim Hart, Andrew Galivan, Mi chael J. Davis, Michael Jacoby New York COVERAGE-Domestic AML to Close - No Material C han es KYC u date is required to open an estate account. Kubali-Camoglu, Ishik Andrea Nicoletti CAMOGLU, ISIK RELATIONSHIP 3/17/2015 No material changes. Client is deceased 76 Kim Hart, Andrew Galivan, Mi chael J. Davis, Michael Jacoby New York COVERAGE-Domestic AML to Close - No Material C hanges KYC update is required to open an estate account. 57425 00000243895 Haesemeyer, Craig Michael E. McCarthy HAESEMEYER, CRAIG RELATIONSH IP 7/17/2013 On July 17, 2013, Mike McCarthy and Janet Sible spoke with Wendy to review t he outstanding documents needed to create an estate account. Craig Haesemeyer is deceased. New ac count in the name of The Estate of Craig Haesemeyer needs to be created as soon as necessary documen is are provided. 684 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic AML to Close - the "Active Accounts" are Private equity accounts onl y. The primary acct has been closed but the account remains "open" for revenue trailers. ACU 57425 is regarding creating a new estate account. Please provide the KYC number to open an estate a ccount Haesemeyer, Craig Michael E. McCarthy HAESEMEYER, CRAIG RELATIONSH IP 10/7/2013 Client held two private equity funds which are reflected in the client's DB Alex Brown account. Craig Haesemeyer has passed away. Estate accountIIIIIIIIIIWas been establi shed and assets have been transferred to the new account, 602 Kim Hart, Andrew Galivan, Mi chael J. Davis, Michael Jacoby New York COVERAGE-Domestic AML to Close - the "Active A ccounts" are Private equity accounts only. The primary acct has been closed but the account remains "open" for revenue trailers. Please make notification in the system that the reason for not conta ctin• the client is that the client only holds private equity finds. Haesemeyer, Craig Michael E. McCarthy HAESEMEYER, CRAIG RELATIONSH IP 11/2/2012 Marci & Brett met with Craig's widow, Wendy Haesemeyer, to see if we could b e of assistance and she was not ready to move forward with a trust and she was still pretty shell-sh ocked about the unexpected death of her husband. Mike McCarthy had an appointment to meet with Wendy in March and flew to Los Angeles before heading to another meeting in San Francisco. Mrs Haesemeyer cancelled their appointment when he reached the airport in LA. Craig Haesemeyer has passed away. 941 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Dom estic AML to Close - the "Active Accounts" are Private equity accounts only. The primary acct has been closed but the account remains "open" for revenue trailers. Please make notification in the system that the reason for not contacting the client is that the client only holds private equit finds. Pacific Health Corporation Malcolm Kimble PACIFIC HEALTH RELATIONSHIP 1/30/2015 We are unable to contact the client as this company no longer exists. This company is no longer in existance. The funds in their accounts were used to pay down a loan of credit, and $117.04 is left in the account. We do not know where to remit these funds. 122 Kim Hart, An drew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic AML to Close Closed Barbara F Dorsey Trust Janice Smith DORSEY, BARBARA F RELATIONSHIP 3/24 /2015 none none 69 Andrew Gallivan TRUST TRUST AML to Close - No Material Changes Closed Deccan Value Investors BPI Fund LP Mary Ann Coleman DECCAN RELAT IONSHIP 12/3/2014 No changes to the investment guidelines and income is generated through the management fees. Aside from removing one authorized signatory and adding one for all of the Deccan f unds, there are no material changes to make note of. We are in the process of updating the list o f authorized signatories for all of the Deccan funds. One name has been removed and one name is bein g added. 180 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic AML to Close - KYC Done 101388386 Closed Nina Fund LP Mary Ann Coleman HARKIN RELATIONSHIP 1/16/2015 No material changes Office address changed to 475 Park Avenue South NY NY 10016 A KYC update wil 1 be performed 136 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic AML to Close - KYC Approved * 01385526 The approved KYC is not for this cli nt DVI Fund (Mauritius) Ltd. Mary Ann Coleman DECCAN RELATIONSHIP 11/25/2014 No material changes Remove signatory George Ho and add Signatory Josh Duhl 188 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic AML to Close - KYC Done 101388617 Closed Deccan Value Investors LP Mary Ann Coleman DECCAN RELATIONSHIP 1/8/2015 Investable assets are reflected in the custody account held here at DB. No material changes to report. George Ho is no longer a limited partner. New limited partners have been add ed and a KYC update is in process. 144 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacob New York COVERAGE-Domestic AML to Close - KYC Approved *1381690 Closed Humility Ltd. Mary Ann Coleman TEMPLETON, JOHN RELATIONSHIP 2/19 /2015 no material changes; current AUM $378,000,000 additional signer being added via KYC 135038 EFTA01419593 8 102 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVE RAGE-Domestic AML to Close - KYC Approved #1350388 Closed Templeton World Charity Foundation, Inc. Mary Ann Coleman TEMP LETON, JOHN RELATIONSHIP 1/9/2015 Income is generated through the actively managed inv estment portfolios held by the Templeton organization. The Foundation maintains a small custody acco unt at DB. The entity changed it's name from Templeton World Charity Foundation to Templeton Wo rld Charity Foundation, Inc. A KYC update will be completed promptly. 143 Kim Hart, Andrew Gal ivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic AML to Close - KYC A roved KYC update has not been done. Computershare Inc Theresa Romano COMPUTERSHARE INC RELATIONSHIP 6/13 /2013 client has added 5 new authorized parties to the account as per company changes. clie nt has added 5 new authorized parties to the account as per company changes. 718 Charlie Hoff arth, Charlie Burrows, Daphne Cales BANKING BANKING AML to Close - Approved KYC 11281880 1281 880 is a closed KYC Madeleine Hilton McGraw Revocable Trust Michael Mullin MCGRAW, D&A RELATION SHIP 5/21/2015 Meddle currently makes $13 an hour. She has just over 500k with us and is co nsidering taking a small monthly distribution to help with her living expenses, probably between $1, 000 and $1,500 a month. She is also currently in the process of moving to a new apartment. No m aterial changes at the moment. 11 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic AML to Close - No Material Changes Closed CAROLYN C ROWLAND TRUST 12 Terri Sohrab CROSSETT, EDWARD C RELATIONS HIP 7/2/2013 Carolyn Rowland died on 5/15/12. Carolyn Rowland died on 5/15/12. Tru st is terminating. 699 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERA E-Domestic AML to Close - KYC Approved #1366893 closed CAROLYN C ROWLAND TRUST #2 Terri Sohrab CROSSETT, EDWARD C RELATIONS HIP 5/15/2012 Client died on 5/15/12. Account is terminating. Client died on 5/15/12. Acco unt is terminating. 1112 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic AML to Close - KYC Approved #1366893 Closed CAROLYN C ROWLAND TRUST #2 Terri Sohrab CROSSETT, EDWARD C RELATIONS HIP 6/27/2014 Carolyn Rowland died on 5/15/12. Carolyn Rowland died on 5/15/12. Tru st is terminating. 339 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic AML to Close - KYC Approved #1366893 Closed CAROLYN C ROWLAND TRUST #2 Terri Sohrab CROSSETT, EDWARD C RELATIONS HIP 5/15/2012 Carolyn Rowland died on 5/15/2012. Trust is terminating. Carolyn Rowl and died on 5/15/2012. Trust is terminating. 1112 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic AML to Close - KYC Approved #1366893 C1OS ed CAROLYN C ROWLAND TRUST 12 Terri Sohrab CROSSETT, EDWARD C RELATIONS HIP 6/27/2014 Carolyn Rowland died on 5/15/12. Carolyn Rowland died on 5/15/12. Tru st is terminating. 339 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic AML to Close - KYC Done #1366893 Closed Parker, Kevin Brian Burckhard PARKER, KEVIN RELATIONSHIP 3/31/2015 111111111!IIIIIII I Iis inome from private instruments, art, real estate and his daily responsiblitie s at SICM & KNIC N/A 62 Charlie Hoffarth, Sarita Medina, Liz Fitzgerald STRUCTURED L ENDING LENDING AML to Close - No material changes The ACU says client's primary occupation cha n Wh i h not a material change? Mortreux, Augustin Reynaldo Figueredo BISCAYNE CAPITAL SA RELATION SHIP 3/6/2015 Mrs. Mortereux lives in Washington DC. She is thinking what to do now that s he's a widow. She might remain in DC and invest in local Real Estate opportunities. We went over all the needed information to set the new account from joint to single tenant. Agustin Mortereux pa ssed away December 12 2014. 87 Line Arias, Felipe Goddard LatAm Intl COVERAGE-LAT AM AML to Close - KYC Approved #1367382 closed Ornatus Taiwan LTD Daphne Cales DEPRENDA, MICHAEL RELATIONSHIP 12/2 9/2014 All income remains the same, proceeds from his business. Street addressof the account has changed to: 3F, No. 97 Dunhwa S. Rd, Sec.2 Taipei City 106 TAIWAN 154 Charlie Hoffarth, Ch arlie Burrows, Daphne Cales BANKING BANKING AML to Close - No Material Change Please confi rm that the county of the address did not change. Taylor, Lynda Benvenuti Ed Lok TAYLOR, LYNDA BENVENUTI RELATIONSHIP /2015 5-27-15: There are no sig updates. Lynda recently invested $500K in BTAS (from funds that re already at DB). . 16 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby San Francisco COVERAGE-Domestic AML to Close - No Material Changes Closed Weisel, Thomas Ed Lok WEISEL, THOMAS RELATIONSHIP 3/30/2015 4-2- , No sign icant changes or updates There are no material changes to report. Mr. Weisel's net wort h has remained constant over the past few years. He is working to pay off debt and maintain liquidit y. 8-12-13: There is negative media surrounding Lance Armstrong and Thomas Weisel's sponsorship company, Trail Wind. Investigation is ongoing with the civil suit. 63 Kim Hart, Andrew Gal ivan, Michael J. Davis, Michael Jacoby San Francisco COVERAGE-Domestic AML to Close - No Ma terial Chan es Closed Bern, Marc, J Joanne Jensen BERN, MARC. J RELATIONSHIP 3/6/2015 Bankers Joanne Jensen, Jennifer Shaw and team keep in regular contact with Marc Bern. To our knowled ge he is satisfied with his relationship with DB. Client Marc Bern is a Senior Partner at Napoli, Be rn, Ripka LLC, a nationally known plaintiff's law firm. To our knowledge, the claims against DB are with regards to its former building downtown. Paul Napoli, Marc Bern and their firm are robust and 1 ongstanding clients of banker Joanne Jensen and team. No longer pursuing litigation. 87 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic AML to Close - No Material Changes Please add notes to the system that they are no longer pursuing the litigation LE FAMILY RELATIONSHIP William & Helen Little Family Foundation Paul Bartilucci WILLIAM LITT 12/4/2014 None Majority of client assets left DB to follow Gerald L EFTA01419594 arr to HPM Partners. We are currently still managing this portion of the funds since it has been lef t with DB. 179 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic AML to Close - No Material Change Closed Leggett, Susan C. Paul Bartilucci CONVERSE/LEGGETT RELATIONSHIP 3/2/ 2015 No material changes We recently processed an address change for the client 91 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic AML to Close - No Material Change address changes can be material. Please provide prior and current a illal The Alfred Harcourt Foundation Inc. Debjani Bagchi HARCOURT, A RELATION SHIP 12/12/2014 No material changes at this time. Client is transferring the account t o First Manhattan. Account is Terminating 171 Mary Keaveny, Lawrence Weisman IA IA s terial Change closed Columbia Realty Venture LLC Ron Colonna BERNSTEIN MANAGEMENT CORPORA TION RELATIONSHIP 11/6/2014 Per Josh Bernstein, this account will refund in the future. Josh Bernstein and Bernstein Management Company used the funds from Columbia Realty Venture to purch ase property in November 2014. 207 Mary Keaveny, Lawrence Weisman New York COVERAGE AML to Close - No Material Change closed The Quebec Unit Trust Carlos Luna QUEBEC TRUST RELATIONSHIP 2/20 /2013 Client's source of income is from his salary as a Senator in Mexico. He has no other source of income. There are no changes in this topic. No changes. Need to do a updated KYC with client's P EP status. 831 Lina Arias, Felipe Goddard LatAm Intl COVERAGE-LATAM AML to Close WMSIM closed Ellin, Howard Ed Finley ELLIN, HOWARD RELATIONSHIP 10/9/2014 Estimated annual income remains 1.5MM from salary and investment income. After further conver sation with the client, he revealed more information on positions we were not aware of. His estimate d net worth is now 20-25MM, revised up from 5-10MM. This is not a change in wealth, just a better un derstanding of the assets he has been holding since the relationship began. 235 Kim Hart, An drew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic AML to Close - KYC Approved 1316691 Closed JEGE, LLC Paul Morris SOUTHERN FINANCIAL RELATIONSHIP 2/17/2015 o c anges in ncome producing activities Darren Indyke was added as POA in February 2014 104 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic AML to Close - Ap roved KYC 11195111 Closed Labick, Kevin Jay Harley KEVIN LABICK RELATIONSHIP 5/6/2015 Kevin works w t EPAM but stills deals with design services, E Commerce and IT Solutions. His annual income has remained similar to prior ,assets are approximately $11.6 MM New Line of request 26 Charlie Hoffarth, Peter Ferrara, Michelle Pecorino Residential Lending LENDING AML - al Changes New booking center requires a KYC update. SCIP Investor LCII, LLC Michele-M Quattrocchi PRINCIPALS OF SILVERFERN REL ATIONSHIP 2/28/2014 As part of this arrangement and according to Section 5H of the attac hed Blocker Corporate Agreement, Ladder will take control of the bank account of SCIP Limited Partne rship LC, L.P. and SCIP Limited Partnership LCII, L.P. As a first step in this process, we are reque sting that the authorized signatories on the account be changed from current SCIP Limited Partnershi p LC, L.P. and SCIP Limited Partnership LCII, L.P. signers to the appropriate Ladder signatories. New Signatories on the account to be added and a KYC Update will be preformed as soon as I receive t he new documenation 458 Charlie Hoffarth, Charlie Burrows, Daphne Cales BANKING BANKING AML to Close - Client stated they no longer need to update signors as they will be closing their account s. Please rovide termination letter. Campbell GS Trust Mark LaRoe CAMPBELL, ED RELATIONSHIP 4/28 /2015 Real Estate and Oil & Gas Investments, Hedge Funds, Fixed Income, Private Equity and Notes R eceivable are held in the trust. Q 2 - An update KYC Case #01351681 was approved in February 2015 in order to re-establish a relationship with the client (Campbell GS Trust). The KYC is being u pdated again in order to add CI Partners, Ltd. to the relationship (Case #01386565 - in process). Q 16 - The client is not an officer or director of a publically traded coompany. 34 Kim Hart, An drew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic AML to Close - KYC Done #01386565 closed LBF Consulting Services B.C. LTD Armando Estua-Belaunzaran RAMI REZ RELATIONSHIP 10/14/2013 No material changes - consulting fees are relatively stable to last year's fees. One of the partners recently passed away - there is going to be changes to t he sigantories in the account. The client has not yet specified if a new sigantory is to be added. 595 Lina Arias, Felipe Goddard LatAm Intl COVERAGE-LATAM AML to Close - KYC Approved #01345967 If one of the partners passed away, the deceased should be removed as a signatory. n additional signatory without removing anyone. LUMA CAPITAL, S.A. de C.V. Dessy Arteaga LUMA RELATIONSHIP 2/18 /2015 Because DB's IA out performed the other investments, the Clients decided to allow us to mana ge another $200 MM . Because DB's IA out performed the other investments, the Clients decided to allow us to manage another $200 MM . 103 Lina Arias, Felipe Goddard LatAm Intl COVE RAGE-LATAM AML to Close - No Material Change Closed EFTA01419595