EFTA Document EFTA01445209

Subject: FW: Urgent Request [C] From: Donna Kerrigan < Date: Wed, 17 Jul 2019 08:57:57 -0400 To: Stewart Oldfield 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 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. +1 Mobile + Email EFTA01445209 From: Donna Kerrigan Sent: Tuesday, 16 July, 2019 3:25 PM To: Leslie Roth Cc: Robert Frohli 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. Thanks From: Stewart Oldfield Sent: Tuesday, July 16, 2019 3:12 PM To: Robert Frohlich u ject: rgent equest [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 EFTA01445210 From: Robert Frohlich Sent: Tuesday, Jul 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 Categorie relationship reference* YearMonth Revenues Volume SOUTHERN FINANCIAL 201801 118,719 177,123,487 201802 92,880 192,177,294 201803 EFTA01445211 101,339 183,554,497 201804 97,754 184,758,913 201805 116,122 198,312,507 201806 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 EFTA01445212 35,139,451 201811 48,090 32,853,375 201812 44,107 29,557,911 201901 53,541 33,911,566 201902 111,403 42,167,771 201903 48,774 8,262,610 201904 9,379 2,004,182 201905 799 30 EFTA01445213 201906 4 30 Kind regards, Rob Frohlich {https://brandportal.intranet.db.com/img/modules/logo.gif} Robert Frohlich Deutsche Bank AG, Filiale New York Wealth Management 345 Tel. Mobil Email New York, NY, USA From: Donna Kerrigan Sent: 16 July 2019 13:34 To: Robert Frohlich 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, EFTA01445214 Donna EFTA01445215