EFTA Document EFTA01426148

Subject: RE: Urgent Request [SC] From: Stewart Oldfield Date: Wed, 17 Jul 2019 09:03:37 -0400 To: Donna Kerrigan Cc: Kimberly Hart Bcc: Classification: Strictly Confidential This has the same issue as the other data. Brokerage stops feeding in July '18. I got brokerage info from Liam, so the numbers I gave Patrick last night should be ok There also seems to be a residual $34 somewhere. I thought everything was $0 balance, so we should track that down as well. Thanks From: Donna Kerrigan Sent: Wednesday, July 17, 2019 8:58 AM To: Stewart Oldfield < M> Subject: FW: Urgent Request [C] Classification: Confidential From: Leslie Roth Sent: Tuesday, July 16, 2019 6:55 PM To: Donna Kerrigan Cc: Robert Frohlich Subject: RE: Urgent Request [C] Classification: Confidential EFTA01426148 Classification: For internal use only Hi Donna, Attached is the available data for Southern Financial from 2018-2019 in GMIS. I will request the Pershing data from Brian Heidelbach which will include all CBV by month. Leslie Roth Deutsche Bank AG, Filiale New York Wealth Management 345 Park Avenue, 10154-0004 New York, NY, USA Tel. Mobil Email From: Donna Kerrigan Sent: Tuesday, 16 July To: Leslie Roth Cc: Robert Frohlich 2019 3:25 PM Subject: FW: Urgent Request [C] Classification: Confidential Stewart Oldfield Leslie — Please can you address this request as a matter of urgency and also confirm if this account was impacted by missing Brokerage assets last year. EFTA01426149 Thanks From: Stewart Oldfield Sent: Tuesday, July 16, 2019 3:12 PM To: Robert Frohlich Subject: RE: Urgent Request [C] Classification: Confidential Rob, Donna Kerrigan Could you break out brokerage vs. non-brokerage assets? I don't think we had such a substantial volume drop in July '18, and wonder if that's a brokerage data issue. Thanks From: Robert Frohlich Sent: Tuesday, July 16, 2019 2:45 PM To: Donna Kerrigan Cc: Stewart Oldfield Subject: RE: Urgent Request [C] Classification: Confidential Here you go — also attaching the underlying data from GMIS which includes the product type and client names as well as USD. Sum of EUR EFTA01426150 Categorie relationship reference* YearMonth Revenues Volume SOUTHERN FINANCIAL 201801 118,719 177,123,487 201802 92,880 192,177,294 201803 101,339 183,554,497 201804 97,754 184,758,913 201805 116,122 198,312,507 201806 EFTA01426151 95,070 187,089,834 201807 66,734 57,351,765 201808 66,126 54,371,862 201809 107,091 45,601,540 201810 49,525 35,139,451 201811 48,090 32,853,375 201812 44,107 29,557,911 201901 53,541 EFTA01426152 33,911,566 201902 111,403 42,167,771 201903 48,774 8,262,610 201904 9,379 2,004,182 201905 799 30 201906 4 30 Kind regards, Rob Frohlich {https://brandportal.intranet.db.com/img/modules/logo.gif} Robert Frohlich Deutsche Bank AG, Filiale New York EFTA01426153 Wealth Management 345 Park Avenue 10154-0004 New York, NY, USA Tel. Mobil: Email From: Donna Kerrigan Sent: 16 July 2019 13:34 To: Robert Frohlich <a Cc: Stewart Oldfield Subject: Urgent Request [C] Classification: Confidential Hi Rob - Please can you pull Southern Financial Revenues and CBV by Product and Month beginning January 2018. Thanks, Donna EFTA01426154