EFTA01282092.pdf

KYC Print Pagel of IS
DB PWM GLOBAL KYC/NCA: PART A
KYC Case # : 01790739 Status : 6. Approved
One sheet must be established Der relationshi • list all accounts included in the relationshi
1. Relationship Details
Relabonship Name: SOUTHERN FINANCIAL RELATIONSHIP Bcokng Center. New York
Relabonship Manager: Stewart Oilfield
O New PWM Relationship 0 Exotog PINTI Relaticnship
Relabonship to PWM: If existing, please indicate since when the relatiorship exists, provide reason for new profile and attach old profile: •••71"c
KYC is a oriole review for high risk remedation*"
Original KYCI.346233
2 Client Referral 0 RM Prospect 0 Intermediary/TIM 0 Other Source (CAB, etc.)
How Was the Clent(s)
Introduced? How long has the
RI/ personaly known the Please provide details (e.g. name of referral source, ow many years WI personally has known diem, etc.): Jeffrey fasten
dent? reached out to Stew Cildfield an 317/17 to have a new acct opened under Zorro Management LLC and add two new signors to
this new acct only.
Does Deutsche Bank pay a • Yin I o
retroerKsion or similar
compensation to a third party
for the introduction of this of Yes, cksmbe)
relationship?
List all existing and new account involved in this relationship
Legal Entity Account Name / Number Opening Date (intended/actual)
Account(s)
I Pi America, Ltd 2/18/2015
2 @ Neptune, LLC • Deposit 10/18(2013
3 M NES, LLC • Deposit 11/8/2013
Who is the primary catact
person for the RM? (Note:
Preferred method of contact
this person needs to have Darren lndyke
(indicate phone no., fax no.,
signatcry rights arclict
email address, etc.):
information right for the
accounts.):
SDNY_GM_00037371
ONF IDENTIAL
CONFIDENTIAL- PURSUANT TO FED. R. IA DB-SONY-0000195
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KYC Print Page 2 of 18
One sheet must be established for each account to be opened
2. Account Ownership Summary
Account Name: Gratitude America, Ltd Arm Number Or evadable?
Account Manager: Paul Morns
What is the pirpose of the account (e.g. portfolio management, advisory account, custody services, longterm invisiment, payment/expense account)? Money
market account to hold funds and earn interest
Indicate from where the asses are expected to arrive?
RI DB Group: Same Booking Center (indicate account number):
• DB Group: ether Bcokrig Center (indicate 013 location and account details):
O Other Institution - (Indicate name & location):
O Physical Deposits (specify cash, searitim, cheques, ...):
What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: Roughly 1.3
inflows and outflows per month rangeig from $10,000 to $100,000
What is the expected volume of assets and currency for the account approx. 90 days after 1339,273.79 I Currency I USD
opening?
What s the expected volume of assets and currency for the account approx. one year after 1320655.00 I Currency I USD
opening?
Does/will the client have Assets Linder Management (AuM) within DB under Eur. 3M? afinRifto
Please list all parties related to the account.
For each party:
• Check d a source of wealth description is required far the party.
• Check the appropriate box to describe the relationship of the party to this account (> 1c an be selected).
• f none of the check boxes apply, describe the party's relation to the accost in the ",Other" column.
• Ahvays describe the relationship between the parties n the last column.
• Please drill down to the ultimate/underlying Benefcial Owner(s)
.gal Description AcccuntIPIC Settle( of Jltimate SignatorydmitedFinanoal Significant Legs Grantor/SettlorFourdte Other
5%er1-Source Holder OrinerTrust / 3enefcialor Full ?OA IntermedianrShareholder Representative Donor aSease
of Wealth Founder of Owner POA (FIND (>'25%) descnbe
required =oundation Non-NC other roles
entity and/or
Parties (Indicate ndicate
related to ownership relationship
this %) between
account Tarbes)
1 O O t D a a d rr s en O El D m El O O O O •
sole
2 O El E J . e E ff p re s y te in i " n • D 5 El O O O O H member of
k;
Gratitude
3 12 El America 5 • D • O O O O O •
Ltd
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2. Account Ownership summary
Account Name: Neptune, LLC - Depost Acct Number pravailabiel
Account Manager: stewart oldfield
What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense
account)? Checkeig account used for the dady needs of running Jeffrey Epsteits home in NYC
Indicate from where the assets are expected to arrive?
2 De Group: Same Booking Center (indicate account number):
0 DB Group: Other Bookie-9 Center (indicate C43 location and account detail):
O Other Institution - (Indicate name & location):
• Physical Deposits (specify cash, sectritim, cheques, ...):
What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: Roughly 10
inflows and outflows per month ranging from 5,1003 to $10,000
What is the expected volume of assets and currency for the account approx. 90 days after 1147,865.38 Currency
I I usd
Wig?
What is the expected volume of assets and currency for the account approx. one year after 275000 Currency usd
Wig?
Does/will the client have Assets Under Management (AuM) within DB under Eur. 314? 0 Yes El No
Please Ilst all parties related to the account.
For each party:
• Check if a source of wealth description is required for the party.
• Check the appropriate box to describe the relationship of the party to this accord (> 1c an be selected).
• f none of the check boxes apply, describe the party's relation to the account in the "Other column.
• Always describe the relationship between the pardes e the last column.
• Please drill down to the ultimate/underlying Beneficial Owner(s)
.gal Description Account PlC Setdor of Jlbmate Signaton, Limited Financial Significant .egal GrantalSetdafounding Other
Entity/ Source Wader Ownerfrust/ Benercialx Full POA IntermediarySharehoklerRepresentative D°^104 (please
of Wealth Founder • Owner POA (FIN) (>425%) describe
squired Foundation Von.PIC other roles
entity and/or
Parses ;indicate indicate
related to ownership relationship
this %) between
amount pales)
sole
Jeffrey
member of
1 • rdi E. O O O 9 M O O O El O Neptune
Epsteil
Ilc;
Neptune, EA O O O O • O O O
2 M rd isc El
Darren
3 O O Indyke O • O N El O O O O El
Harry O
4 O • Beller O D O El O O O O O
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CONFIDENTIAL- PURSUANT TO FED. R. Ce DB-SONY-0000197
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2. Account Ownership Summary
Account Name: NES, LLC - Deposit Act Number (trovatiodel
Account Manager: stewart eidfield
What is the purpose of the accotre (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense
account)? Deposit account to hold the funds necessary to cover the costs associated with running one of Jeffrey Epstein's homes and earn interest
Indicate from where the assets are expected to arrive?
2
08 Group: Same Booking Center (indicate account number):
0 08 Group: Other Booking Center (indicate DB location and account details):
O Other Institution — (Indicate name & location):
• Physical Deposits (specify cash, securitim, cheques, ...):
What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: Roughly 1.3
inflows and outflows per month ranging from $1000 to 510030
What is the expected volume of assets and currency for the account approx. 90 days after 1319,765.84
opening? I arralge I tiscl
What is the expected volume of assets and currency for the account approx. one year after 1 15000000 Currency usd
opening? I I
Pb
Does/will the client have Assets Uncle' Management (Ault) within DB under Eur. 3M? 0YesE
Please list all parties related to the account.
For each party:
• Check if a source of wealth description is required for the party
• (beck the appropriate box to describe the relationship of the party to this accent (> 1c an be selected).
• ( none of the check boxes apply, describe the party' relation o the account in the "Other" column.
• Always describe the relationship between the parties 44 the last column.
• Please drill down to the ultimatedundedying Beneficial Owners .
_egal Description Account PIC Settlor of Jliamate SignatortitedFinancial Significant egal ,. a ... r antalSetdorfoundingOther
Enteyof Source molder Ownerf rust / Beneficial or Full • 4 A MermaliarySharehoftletetepreseM save Donor (please
of Wealth Founder of Owner POA 4FIM) :>=25%) describe
squired Foundation Non-PIC other roles
entity and/or
Partes (ixIcate indicate
related ownership relatonship
to this %) between
account Dates)
2
I 2 ra ES, O O CI O O O O CI D
LIC
Jeffrey
2 O 2 E E . p sten O O O 0 FA O O O CI O
3 O O In D d a y rr k e e n r l— ' D q o O FA O O O O CI
4 O . B K e a ll 1 e T r y m • O O E21 O O O O •
SONY_GM_00037374
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CONFIDENTIAL- PURSUANT TO FED. R. IA DB-SONY-0000198
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One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershlo Summa
3A. Individual Details (for all parties)
Individual's Name: Darren Irdim2 Date of Birth:
Country of Residence: Country of Otizenship: ■
Has dient resided outside of
hi/her country of nationality • yes No
Address of plenary residence:
for 5 years a more?
Profession/Occupation: Lawyer Tax ID / 55N:
Current Employer: Southern Frendal LLC Position/Title/Rank:
Address of employer: 575 Lexington Avenue, 4th Fl Livingston NY United States 10022
Does the person work as senior executive of a DB•recognized regulated entity in the Mandel r-i
industry? or an entity listed on a DB.recognisei exchange? (Not applicable for operating entities Li Yes 5 No
Is the incWidual a Political/1y Exposed Person (PEP)?(/,Yes, describe) OYes ONO
To the best of your knowledge, is the individual related to an employee of the DB group?(/ • Family • Friendship i None
Family or Friendshio, descnbe)
To the best of you' knowledge, is the individual party to a non-banking relationship with 2
Deutsche Bank (e.g., external legal camel, dient referral source, suppler of goods or •Yes NO
services)?(/ Yes,clescribe)
If applicable, rocate which bank officers have met the In:locate where and when the dent meeting(s) took place:
person:
Gent Private Client Noce of
Bank Officer Name(s) Bank Office Other Location (spccify): Date:
: ornicile: Business:
O El El
• • 0
• • •
O Wealth Details for this individual are not filed in, because they are the same as for the following person:
3B. Wealth Details (Only for parties requiring source of wealth description as indicated ri Section 2)
Nature of the Individual's Ettsiness:
Pnmary Country of source of wealth/source of Funds?
Pnmary industry of soiree of Wealth/Source of Funds?
Summarize Sane of Wealth: O Business Owner O Satary/Eamings O Investment O Inhentance/Gifa DOther:
Further Desalte Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For Wigs, how did settlor accumulate wealth? Fa riteritance,
how did family accumulate vrealth?For business owners, how long in business, how many employees, level of ordeal:Sy? Indicate type of business, countries
of major actMbes, important business partners.)
Estimated Annual Income($): Estimated amount of investable assets($):
Estimated Net Woith($): Amount of assets planned to invest with PWN($):
Other Known Fnandal Institutions:
Institution: Courtry: S. Assets Under Mgt:
InAitutico: Canby: S. Assets Under Mgt:
Institution: Canby: S. Assets Under Mgt:
SDNY_GM_00037375
ON FIDENTIAL
CONFIDENTIAL — PURSUANT TO FED. R. IA DB-SONY-0000199
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EFTA_00147987
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Please indicate the farndy Srtuabon of the inovidual (manta) status, other family members, etc.):
SDNY_GM_00037376
ONF IDENTIAL
CONFIDENTIAL— PURSUANT TO FED. R. ie DB-SDNY-0000200
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One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa
3A. Individual Details (for all parties)
Individuals Name: Harry Beller Date of Birth:
Country of Residence: Country of Otizenship: ■
Has diets leaded outside of
his/her coLntry of nationality • yes No
Address of primary residence:
for 5 years a more?
Profession/Occupation: Accountant Tax ID / 5511:
Current Employer: /03RK Associates, Inc Position/Tide/Rank:
Address of employer: 575 Lexington Avenue, ‘Ith Floor Monsey NY United Rates 10022
ni te,
Does the person work as senior executive of a DB.recognized regulated entity in the financial n .,,es
industry? or an entity listed on a DB•recognised exchange? (Not applicable for operating entities " 1
ONO
Is the individual a Politicaly Exposed Person (PEP)?(/f Yes. describe) OYes
To the best of your knowledge, is the individual related to an employee of the DB group?(if • Family • Friendship i None
Familyor Friends* descnbe)
To the best of you knowledge, is the indivkkel party to a non-banking relationship with 2
Deutsche Bank (e.g., external legal counsel, dient referral source, suppler of goods or • Yes No
services)?(d Yes,describe)
If appkatle, notate which bank officers have met the Indicate where and when the dent meeting(s) took place:
person:
Client Private Client Mace of
Bat °fixer Name(s) Bank Office: Other Location (specify): Date:
Domicile: Business:
O O
O
• • •
N or O
O
Wealth Details fa this individual are not filed in, because they are the same as for the following person:
38. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2)
Nature of the Individual's Busi-ess:
Primary County of source of wealth/source of Funds?
Primary industry of sane of Wealth/Source of Funds?
Summarize Sane of Wealth: O Business Owner O Salary/Eamings O Investment O Inhentance/Gifis °Other:
Further Desaite Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For busts, how did settlor accumulate wealth? For inhentance,
how did family accumulate vrealth?For business owners, how long in business, how many employees, level of profitadity? Indicate type of business, countries
of major actMbes, important business partners.)
Estimated Annual Income($): Estimated amount of investable assets($):
Estimated Net Woith($): Amount of assets planned to mist with PV/P4($):
Other Known Hnandal Institutions:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
SDNY_GM_00037377
ONF IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. IA DB-SONY-0000201
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EFTA_00147989
EFTA01282098

KYC Print Page 8 of 18
Please indicate the farndy Srtuadon of the inovidual (marital status, other family members, etc.):
SDNY_GM_00037378
ONF IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. IC DB-SONY-0000202
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EFTA01282099

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One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershlo Summa
3A. Individual Details (for all panes)
Individual's Name: Jeffrey E. Epstein - Date of Birth:
CoLntry of Residence: USVI Country of Otizenship: USA
Has dient resided outside of
Litre Saint James Sant Thames 00802 United States his/her ccountry of nationality • yin No
Address of primary residence:
for 5 years a more?
Profession/Occupation: Self Empolyed Tax ID / SSN:
Current Employer. Southern Hnandal LLC Position/Title/Rank: President
Adckess of employer: 6100 Red Hock Quarter 83 SL Thomas United States 00802
Does the person work as senior executive of a DEl.recognized regulated entity in the financial r-i •
industry? or an entity listed on a DDrecognisei exchange? (Not appkable for operating entities Li Yes ...4 No
Is the inckidual a Pditicaly Exposed Person (PEP)?(i! Yes, tate) close relationship with @ Yes O No
BS Ointori and Prince Andrew.
To the best of yes knowledge, is the individual related to an employee of the DB group?(N 0 Family • Friendship i None
Fam.?y et Friends* descnbe)
To the best of yes knowledge, is the indivdtel party to a non-banking relationship with 2
Deutsche Bank (e.g., external legal ousel, dient referral source, suppber of goods or • Yes No
services)?(d Yesdescribe)
If appkatie, vacate Midi bank officers have met the Indicate where and when the dent meeting(s) took place:
person:
Cent Private Client Place of
Bank Officer Name(s) Bank Office: Other Location (specify): Date:
Domicile: Buenas:
O O O
• . O
N s El
0 Wealth Details fa this individual are not filed in, because they are the same as fa the following person:
38. Wealth Details (Only for parties requiring source of wealth description as indicated ri Section 2)
Nature of the Indmduats likeness: Private investments
Pnmary Country of source of wealth/source of Funds?
Pnmary industry of source of Wealth/Source of Funds?
Summarize Sane of Wealth: 2 Business Owner 0 Salary/Eamings 2Investment 0 Inhaitance/Gilis DOther:
Further Dante Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trust, how did senior accumulate wealth? Fa nheitance,
how did family accumulate vrealth?For business owners, how long in business, how many employes, level of profitabety? Indicate type of business, counbies
of major activities, important business partners.) Jeffrey Edward Epstein (ban S an American financier and registered sex offender in the
United States. He worked at Bear Steams eaty in his career and then formed his own frm, J. Epstein & Co. In 2038, Epstein was convicted of soliciting an
underage girl for prostituticn, for which he served 13 months in prison. He lives in the US Virgin Islands. Epsten taught calculus and physics at the Dalton
School in Manhattan from 1973 to 1975. Among his student was a son of Alan C. Greenberg, chairman of Bear Stearns.
In 1976, Epstein started work as an options trader at Bear Steams where he worked in the special product division, advisi-ig highnet•ivath dent on tax
strategies. Proving successful in his financial career, in 1980 Epstein became a partner at Bear Steams.
In 1982, Epstein founded his own financial management firm, J. Epstein & Co., managing the assets of dient with more than $1 billion in net worth. In 1987,
Leslie Weiner, founder and chairman of Ohio based The Limited chain of waneres clothing stores,. became a welfilmown client. Wexner acquired Abercrombie
& Fitch the folowing year. In 1992 he converted a private school on the Upper East Side into an enormous residence. Epstein later bought that property, in the
wealthiest part of Manhattan. In 1996, Epstein changed the name of his firm to the Financial Trust Company and, for lax advantages, based it on the island of
St. Thomas in the U.S. Virgin Islands.
In 2003, Epstein bid to acquire New York magazine. Other bidders were advertising executive Donny Deutch, investor Nelson Pelt, media mogul and
publisher Mortimer Zuckerman, who had the New Yak Daily News, and Mn producer Harvey Weinstein. They were ultimately outbid by Bruce Wasserstein, a
longtime Wall Street investor, who paid $55 aim
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KYC Print Page 10 of 18
In 2004, Epstein and Zuckerman committed up to $25 million to frence Radar a celebrity and pop culture macre founded by Meer Roshan. Epstein and
Zuckerman were equal partners in the venture. Roshan, as its editor-in-chief, retained a smal ownership stake.
Presently, Mr. Epstein founded Southern Trust Company Inc, a private consulting company that invests the assets of their client and gets their revenue from
the return of these investments Southern Trust invests el different portfolios catered to the.' clients and m*es their revenue based on the returns and the
fees associated with managing their client's assets.
Estimated Annual Income($): 10,000,000.00 Estimated amount of investable assels($): $50 MM • 100 MM
Estimated Net Worth($): $500 MM + Amount of assets planned to elven with PWM($):
Other Known Rnandal Institutions:
Institution: Country: S. Assets Under Mgt:
Institution: Counby: S. Assets Under Mgt:
Irstitutico: Counby: S. Assets Under Mgt:
Please indicate the fanny stuabon of the intividual (marital status, other family members, etc.):
One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summ
3C. Legal Entity Details (For al Legal Entities)
Legal Entity Name: Gratitude Amenca Ltd
Ed
Elroundationmssociabon • O Private Investment
Trust O Company • Estate
Type of Entity: Purpose of Entity:
Flulanthropic/Charitable 0
O Partnership
Commercial
Purpose of Entity
Type of Entity Other (specify):
Other (specify):
Date of
Country of USVI 9/25/2012
incorporate.,/
incorporationtregistraticn:
re2istrattn:
Estateor Chantable/Philantcptic No
Volcker Status: Volcker Flag:
Address (city, street, post 6100 Red Hook Quarter, 83 St. Thomas 00802 United States U.S. TIN/EIN: 66-0789697
code):
Provide a description of the enbty's organizational structure, Ds ownership structure and its Top Management. For busts/foundations, indude information about
revocability,setticr and benefidaries,etc:
501(c)3 foundation. Jeffrey Epstein is president, Darren Indyke is treasurer and Enka Kellerhals is Secretary. The signors on this account are Jeffrey Epstein
0 Darren Indyke
Please indicate how ownership of the legal entity is reflected:
• Special attention: Bearer Shares - Indicate where shares are custodied:
Describe the chan from the direct owner of the entity to the ultimate beneficial owner (ifn ot the same persons): 501(c)3 foundation. Jeffrey Epstein is
president, Darren Indyke is treasurer and Enka Regrets is Secretary. The signors on this account are Jeffrey Easton and Darren Indyke
To the best of your knowledge, is the entity party to a non-baking relationship with Deutsche i—i
Bank (e.g. external legal counsel, client referral source, supplier of goods or services)?: Yes LJNo
Describe Nature of Entity's Primary Business and Investment Activities
The foundation has not yet started distributng funds and is still determiner; what endeavors
Nature of the business: they will support. They hope to support a broad range of efforts including, but not limited to,
education science research etc.
Countries where business is transacted: USA, USV1
Number of employees: 3
3D. Wealth Profile (Only for anus requiring source of wealth desm(ban as 'vacated in Section 2)
Primary Country of source of wealth/souroe of Funds?
Primary industry of source of VVealth/Source of Funds?
Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liablities):
SDNY_GM_000373S0
ONFIDENTIAL
CONFIDENTIAL- PURSUANT TO FED. R. CC DB-SONY-0000204
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The foundation is funded by Jeffrey Epstein. Please revert to his source of wealth for more deals
Estimated gross receipts p.a.($): 500,000.00
Estimated net profit p.a. ($): 500,000.00
Estimated investable assets ($)• $2 MM - 5 MM
Potential Amount to be invested with FWM ($): 100,000.00
Other Known Frendal Institutions:
Institution: DB Country: USA Est. Assets Under Mgt: 100,000.00
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
flaw cheat moat ha tantahlichari far FACH I FtIAI FRIT1TV in CaeHnn J_ Anemone. giimmans
3C Legal Entity Details (For all Legal Entities
Legal Entity Name: Gratitude America .
• Private Investment
Foundation/Association • Trust 0 Company • Estate
Type of Entity: O Partnership PI-19)135e of Entity: Philanthropic/Charitable O
Commercial
Purpose of Entity
Type of Entity Other (specify):
Other (specify):
a Date of
Country USVI 4/25/2012
incorpoorraatitoionn /!
inmrporationtregistration:
Estate a Chantable/Philantcptic No
Volcker Status: Voldcer Flag:
Address (city, street, post 6100 Red Hook Quarter, B3 St. Thomas 00802 U.S. TIN/EIN: 66-0789697
code):
Provide a description of the entity's organizational structure, in ownership structure and its Top Management. For trust/foundations, include information about
revocability,settlor and beneficiaries,etc:
S01(c)3 foundation. Jeffrey Epsom is president, Darren Indyke is treasurer and Erka Kellerhals s Secretary. The signors on this account are Jeffrey Epstein
0 Darren Indyke
Please indicate how ownership of the legal entity is reflected: S01(c)3 foundation. Jeffrey Epstein is president, Darren Indyke is treasurer and Enka Kellerhals
is Secretary
• Spedal attention: Bearer Shares - Indicate where shares are custodied:
Describe the chain from the direct owner of the entity to the ultimate beneficial owner (ifn ot one same persons) SOI(c)3 foundation. Jeffrey Epstein s
resident Darren I ke is treasurer and Enka Kelerhals is Secrete . The si hors on this account are E stein and Darren ke
To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche r—i
Bank (e.g. external legal counsel, client referral source, supper of goods or services)?: yes LJ NoI21
Describe Nature of Entity's Primary Business and Investment Activities
The foundation supports a broad range of efforts inclucing, but not limited to, education,
Nature of the busness:
soence, research, etc.
Countries whew business is transacted: USA, USV1
Number of employees: 3
3D. Wealth Profile (Only for arks requinng source of twalth description as indicated n Section 2)
Pnmary Country of source of wealth/source of Funds?
Pnmary industry of source of Wealth/Source of Funds?
Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/Natal:its):
The foundation is faded Jeffrey E ston. Please revert to his source of health for more details.
al:anat.:I gross receipts p.a.($): 500,000.00
SDNY_GM_00037351
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Striated net profit p.a. (5): 500,000.00
Ebnated investable asset ($): <$1 MM
Potential Amount to be invested with MAN ($): 100,003.00
Other Known Francial Institutions:
Institution: DO County: USA Est. Assets Under Mgt: 100,000.00
Institubcn: County: Est. Assets Under Mgt:
Institutor: Country: Est. Assets Under I4gt:
One sheet must be established for EACH LEGAL ENTITY In Section 2. Account Summary
3C. Legal Entity Details (For a Legal Entities
Legal Entity Name: Neptune, LLC
EICanpany 2 Priv
0 FounclationfAsscoanon . Trust 0 Estate ate Investment O
Type of Entity: Purpose
O nit Entity: Ftslanthropic/Charitatie O
Partnership
Commercial
OtPurpose of Entity
Type of Entity Other (specify):
her (slaecify):
or Date of
Country USA 12/21/2011
incorporation /
incorporation/registratiat
registration:
Detemwation Required No
Volcker Status: Volcker Flag:
Address (city, street, post 6100 Red Hook, Quarter B3 St. Thomas 00802 U.S. TIN/EIN:
code):
Provide a description of the entity's organizational structure, its ownership structure and Its Top Management. For trusisifoundabcris, include information about
reyccability,settler and bereficianes,etc:
Single member LLC Jeffrey Epstein is the sole member. The signets on this account are Jeffreylpstein, Harry Beller, and Darren Indyke.
Please indicate how ownership of the legal entity is reflected:
Special attention: Bearer Shares - Indicate where shares are custodied:
Describe the cham from the direct owner of the entity to the ultimate beneficial owner Of not the same persons):
To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche n
Bank (e.g. external legal counsel, client referral source, suppker of goods or services)?: Yes L-I No
Describe Nature of Entity's Primary Business and Investment Activities
This LLC was formal to hold the funds necessary to cover the mst and taxes with
Nature of the tusiness:
running Jeffrey Epstein's NYC home
Coto-Cries where business is transacted: USA
Humber of employees: 1
3D. Wealth Profile (Only for pates requiring source of wealth desavaten as a-ideate:I ri Section 2)
Pnmane Country of source of wealth/source of Funds?
Pnmane industry of source of Wealth/Source of Funds?
Provide Evidence of Corporate Asset (e.g. balance sheet or equivalent summary of assets/liabbnes):
This LLC is funded 'Try contributions made by Jeffrey Epstein.
Estimated gross receipts p.a.($): 1,000,000.00
Estimated net profit p.a. (5): 1,000,000.00
enmated investable asses (5): -31 NINI
Potential Amount to be swested with P•VM (5):
SDNY_GM_00037382
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I
Other Known Anandal Institutins:
Institution: db Country: usa Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Instttuto.,, Canby: Est. Assets Under Mgt:
anal chant mutt ha Actahlichael far Fatal I Ftal FFITITY In Cretin J. ArrnainI . Cie mmnev
a
3C. Legal Entity Details (For Legal Entities
Legal Entity Name: NES, IIC -
OPrivate
El Investment •
C FourclationtAssccation Trust I?) Company O Estate _
Type of Entity: Purpose of Emily: Phdanthropic/Chwitatle ID
LIPartnership
Commercial
Purpose of Entity
Type of Entity Other (specify):
(specify):
Date of
Country of USA 8/13/1998
incorporatico /
incorporation/registration:
re2istratto:
Determination Required No
Volcker Status: Volcker Flag:
Address (city, street, post 6100 Red Hook Quarter, 83 St, Thomas 00802 United States U.S. TIN/EIN:
code):
Provide a description of the entity's organizational structure, it ownership structure and Is Top Management. For [runs/foundations, include information about
reyocability,settla and beneficiaries,etc:
Snore member LLC Jeffrey Epstein is the sole member. The skims on this axcunt are Jeffrey Epstein. Darren Indvke and Harry Beller
Please indicate how ownership of the legal entity is reflected:
• Special attention: Bearer Shares - Indicate where shares are custodled:
Describe the chan from the direct owner of the entity to the ultimate beneficial owner (toot DV same persons):
To the best of your knovrledge, is the entity party to a non-banking relationship with Deutsche rn ra
Bank (e.g. external legal coursed, client referral source, supper of goods or services)?:n)?: Yes LI No Ul
Describe Nature of Entity's Primary Business and Investment Activities
NES, LLC was famed to take ore of the expenses associated with running one of Jeffrey
Nature of the business:
Epstein's homes
CoLntries where business is transacted: USA, USA
Number of employees: 1
3D. Wealth Profile (Only for antes requiring source of wealth desa(tion as irdicated n Section 2)
Primary Country of source of wealth/souroe of Funds?
Primary industry of sarce of Wealth/Source of Funds?
Provide Evidence of Corporate Assels (e.g. balance sheet or equivalent summary of assers/liablities):
MI folds come from Jeffrey Epstein, who has been KYCd previously
Estimated gross receipts p.a.(9): 1,000,000.00
Estimated net profit p.a. ($): 500,000.00
Estimated investable asses ($): <$1 MM
Potential Amount to be iwested with PWM ($):
Other Known Financial Institutions:
Institution: I Ci8 Gantry. I Est. Assets Under Mgt:
I I USA I
SDNY_GM_00037383
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CONFIDENTIAL- PURSUANT TO FED. R. CeO) F I DENTIAL DB-SDNY-0000207
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Instill,lice: Counay: Est. Assets Under Mgt:
Instill,lice: Carey: Est. Assets Under Mgt:
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DB PWM GLOBAL KYC/NCA: US/LatAm/Intl PART B rA
Relationship Name SOUTHERN FINANCIAL RELATIONSHIP
Risk Rang Comments:
Booking Center 2 NY 0 • Offshore 0 Moderate 2 High Risk Yoonsun Chung
NY/Offshore Risk
(Compliance Signature)
El 08 Employee 0 DB Managed PIC 0 DB is Trustee/Co-Trustee 0 Bearer Shares
4. Attachments
A. Type of Photo ID Provided 2 Drivers License 2 Passport 0National/State ID 0 Other
B. C at h ta e c c h k e lis d t of names (individuals and/or entities) that were submitted for database searches is 2 Yes ID No
C. Please indicate the results of the database searches performed
ROC searches ccmpSete 5 Yes 0 No negative results found 0 Yes 2 No
KR checks complete 2 Yes • No negative results found • Yes No
OFAC checks complete 2 Yes 0 No negative results found 0 Yes RI No
BIS searches complete (Leds/Nexis, Factiva, Reuters, Dow knes, 08B) 2 Yes 0 No negative results found 0 Yes 121 No
Denial Orders checks complete RI Yes • No negative results found • Yes Y. No
MetindaleHubbel searched (Lawyes/Law Firms only) 0 Yes No negative results found . Yes 0 No
M
Please summarize any negative results from the database searches indicated above: GRATITJOE AMERICA:
No negative media
No court cases
DARREN INDYKE:
Negative media menticos his name as an owner of a building. The negative media is not about him individually but about the others mentioned.
No court cases
D. JEFFREY EPSTEIN:
Previously approved KYC P:01082293 & 01121716
All negative media pertains to court cases which have been previously approved in the above mete red KYCs.
Court Cases have been closed
Neptune LLC:
The court case in the research is a false posabve and does not refer to the entity that is part of this KYC The entity in the court case refers to a NYC entity
owned by Salvatore Juice, where as the entity in this KYC is a USVI entity solely owned by Mr. Epstein. Neptune LLC owned by Jeffrey Epstein donated to
Gary King's campaign for $5,200 in 2006. Mr. Epstein is already noted as a PEP
E. To the best of your knowledge, has the client ever been convicted of a criminal offense? 2 yin 0 No
To the best of your knowledge, has the customer ever been involved in any past litigation against
F. D D e e u u t t c c h h e e B B a a n n k k A A G G o o r r a a n n y y o o f f i i t t s s s su u b b s s i i d d i i a a r r i i e e s s ? o ( r I i f s S the . c p u ro st v o id m e e & r t t h a r d e s a t b e e n l i o n w g l a it n ig d a c ti o o n n t a a c g t a Q in u s a t /byMgt 0 Yes 121 No
(LabladItel)or the Regteratory Canby/ Croup andn ot* Compeance immediately)
Does the dent or related party have any financial or otter association / interactions within
G. cooties or regimes sanctioned by the Office of Famign Assets Control (OFAC)? • Yes No
Does the dent or related party have any financial or other association/ interactions within high risk •
countries? Yes No
I. Corporate Documentation Attached (Legal Entities Only) 2 Yes 0 No 0 Not Applicable
J. Undsdosed Principal Form Complete (Intermediaries Only) • Yes • No Not Applicable
K. If LexisMexe Search Results, Corporate Document or Other Supporting Doane Cation is not in Engksh, please provide an English summary of the
nature/contents of the nal-English Documentation:
L. Special Risk Factors
Rt. oNFIDENTIAL
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Does the account have Nexus to Special Risk Coale? D Yes 2 No
Is the account structure unusually complex? O Yes In No
Is there any indication the client set up a non operating company expressly , E
for the purpose of transferring shares to thrd parties? L-I Yes No
Is there any indication this coed be a prohibited business reLabonship? D Yes 5 No
Are the bearer shares identified subject to acceptable controls? O Yes 2 No
SDNY_GM_00037386
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CONFIDENTIAL- PURSUANT TO FED. R. Ce DB-SONY-0000210
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Pt Case Comments
Created By Date Comments
This KYC serves as a high risk update for the below listed diet (together accarMolders") -
I. Gratitude America, Ltd
2. kieptune, LLC
3. NES, I1C
Below are the reasons why we are comfortable with approving this KYC:
• Information and supporting documents required by our AML Policy were provided and renewed; and as a
result, we have an understanding of the structwe of the accountholders, their purpose, the purpose of the
accounts and expected transaction activity.
Drnitra Manley 8/161117 3:06 PM • There are a few risk factors associated with the accountholdas -
SOW: The UBOs (Jeffrey Epstein) is the founder of Southern Trust Company Inc, which manages dients
assets. SOW venfication was obtained.
Negative Media & PEP: There is some negative media against Mr Epstein and he is also maintains a dose
relationship with Bill Ointon and Prince Andrew. Please see risk calculator for more information. Appropriate
approval was obtained.
• Ow review did not identify any red flags and thus there was no need to escalate this case further.
• We performed due dSgence searches on all parties and did not find the names searched to be on any
sandions lists
Cynthia Rodriguez 8/16/1171:32 PM Client confirmed on a call that there were no changes to these accounts on 712612017.
Haze Trust and Butterfly trust have been removed from this remechation kyc and added to kyc case 01804531
Cynthia Rodriguez 7/13/117 10:05 AN
as benefidary information us sti pending.
Cynthia Rodriguez 7/10/117 11:59 MI Source of Wealth for Jeffrey Epstein is attached.
ONSHORE APPROVALS
Client Facing Professional (CFP): stewart oldf,eld (Signature) 7/5/2017
stewat cedfield
Office Director/Busness Head: Andrew F Gatvan (Signature) 7/6/2017
Andrew F Gallivan
Regional Office brector: (Signature)
AML Business Risk:
(&gn ature)
AML Compkance:
(*nature)
D. man!ey obo Kshttii Golan, D. Manley obo Ks fo Gdani 8116)2017
Yoonsun Chung Yoonsun Chung 8116)2017
LATAM/INTERNATIONAL APPROVALS
Client Facing Professional (CFP): (Signature)
Account Manager: (Signature)
Global Market Team Head (Signature)
(GMTH)/Sub•Market Team Head
ISMIH):
AML Business Risk:
(Stgnatre)
AML Compliance:
(Signature)
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PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth Management
(PWM) worldwide is committed to professionally serve the interests of its clients. To do so, Client Facing
Professionals) (1) (CFP's) should establish and maintain business relationships only with persons who satisfy our high
standards ofs uitability, background and character. Due diligence obtained on the client must be appropriately
documented by the CFP. It is the responsibility of CFP's to demonstrate that they know their client both at the
inception of a relationship and on an ongoing basis.
DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best of my knowledge and belief the above
information is correct and up to date. i confirm that I have no suspicions relating to the money laundering or unethical
activities on the part of the client(s) and that I havef ollowed all the procedures relating to account opening as
described in the PWM Americas Procedures and the PWM Global KYC Policy
(I) Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors, Product Ctifficers, Brokers.
Client Manners. etc.
Deutsche Bank Americas New York
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