EFTA Document EFTA01410749

Subject: Fwd: Biweekly update onboarding update [I] From: Thomas Klemm <IM > Date: Tue, 05 Mar 2019 16:43:21 -0500 To: Patrick Campion a> Cc: Donna Kerrigan < , Ashok Eastman Fyi below update on IWP account openings. Some progress but little revs. Thomas Klemm Global Head of Digital and COO WM Americas Deutsche Bank Wealth Management Floor 24, Office 2427 345 Park Avenue, New York, NY 10154, USA Tel +1 212 454 5988 Mobil Email Begin forwarded message: From: Ian Salters <[email protected]> Date: March 5, 2019 at 4:34:44 PM EST To: Thomas Klemm Subject: FW: Biweekly update onboarding update [I] > Classification: For internal use only Onboardings Completed WM 1. Randy Klinsfky — NCA Completed 2/27/2019 2. Gruber Familiy Foundation — NCA Completed 02.22.2019 3. Jon D and Linda W Gruber Trust — NCA Completed 02.25.2019 EFTA01410749 WM YTD Onboarding Completed: NCA- 8 GM GM YTD Onboardings Completed: Remediations — 7 Refreshes — 2 Note: YTD revenue is —EUR4Ok From: Ian Salters Sent: Friday, March 01 2019 5:34 PM To: Todd Stevens < Cc: Daniel-E Kaiser c: >; Alan Brody < JIla>; Victoria Bruce >; Nina Tona >; Ian Salters cfl Subject: Biweekly update onboarding update [I] Classification: For internal use only Hi Todd, Please see the below bi-weekly update. Things are progressing, we have had some completions and most of the others are making good progresses. This is done through continuous communication with IWP (I&T and Coverage), Bankers or their RCs and COB. Please review the link for further review in respect of all outstandings KYC. https://sharepoint.us.intranet.db.com/site4922/Lists/- IWP9620Americas9620CM9620Desk9620KYC9620Tracking/Allitemsg.aspx Onboardings Completed EFTA01410750 WM 1. Randy Klinsfky — NCA Completed 2/27/2019 2. Gruber Familiy Foundation — NCA Completed 02.22.2019 3. Jon D and Linda W Gruber Trust — NCA Completed 02.25.2019 WM YTD Onboarding Completed: NCA- 8 GM GM YTD Onboardings Completed: Remediations — 7 Refreshes — 2 Note: YTD revenue is —EUR4Ok Onboardings Making Progress WM 1. Jon Gruber IRA — NCA is completed, pending account opening documentation. Should be finalized soon. 2. Jerry Weintraub — Should have docs from client by 3.1.2019. KYC moving forward. 3. Endurance Voyages PE Holdings LLC — COB required more info, banker submitted 2.28.2019. Should be finalized soon. GM 1. Inversiones Alabama Limitada — UK AFC Review Pending, COB has escalated. US AFC review completed. Nothing else pending. Should be finalized soon. EFTA01410751 2. Black Maple Capital Partners — Client is finalizing docs for COB to review NCA 3. Jeffrey D. Murray Trust, Laura A. Murray Trust, Katelyn J. Murray Trust — All three sent required docs however a few were incomplete, pending with client. Client should provide soon. Onboaridng Issues WM 1. Fairview Capital — Client not responding. G. Kiesel planning a trip to visit client 2. Harold Ripps — M. Gonzalez and Alan B need to figure out who will reach out to client 3. Detroit Street — Client not responsive 4. Hallador — Client has been giving banker the run around GM 1. Willett Advisors LLC — Martin is discussing with banker to see if we should retain. 2. Fox Growth Fund Inc. — Client hasn't provided docs even though they said they would provide 2.22.2019 Kind regards, Ian Salters EFTA01410752