EFTA Document EFTA01370820

From: Stewart Oldfield Sent: 11/28/2017 2:48:29 PM To: Cynthia Rodriguez Subject: RE: Third Lake acct/balance history [I] Classification: For internal use only Perfect. Thanks! From: Cynthia Rodriguez Sent: Tuesday, November 28, 2017 2:41 PM To: Stewart Oldfield < Subject: RE: Third Lake acct/balance history [I] > Classification: For internal use only Okay, so here we go. Let me know if this is what you're looking for: 2016 AUMs • January to April - $0 • May to August — $107mn • Sept 2016 - $8mn (DOJ issue) • October to December - $0 A total of 16 accounts (deposit and CD accounts) were closed in 2016 due to DOJ. The only two accounts remained open in 2016 were: • GEW 2007, LLC • CRW 2007, LLC *These accounts had a few cents in them. AUMs for 2017 • January - None • February- $3mn • March - $79mn • April- $114mn • May — June- $130mn (peak) • July- $92mn • August- $91mn • September - S87mn • October - $82mn (current AUM) In 2017, we opened a total of 37 accounts (DBTCA, DB AG and CD accounts). New Accounts for 2017 • Nancy Devane and her family. (2 accounts: DBTCA/CD) • Todd Wanek 2015 and 2016 GRATs (6 accounts: DBTCA/CD/DBAG) • Shari Wagner 2015 and 2016 GRATs (6 accounts: DBTCA/CD/DBAG) "We have closed 6 accounts in 2017, but only because the client no longer needed the GRAT account anymore. OUTSIDE OF THIRD LAKE: Not sure if you want to include, but Southern Financial gave us some deposits for DB AG this year as well. CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0063864 CONFIDENTIAL SDNY_GM_00210048 EFTA01370820