EFTA01284086.pdf

KY(' Print Page I of 10
DB PWM GLOBAL KYC/NCA: PART A
KYC Status : 6. Approved
One sheet mu., er relationship - list all accounts included in the relationshi
1. Relationship Details
Relaliornhip Name SOUTHERN FINANCIAL RELAIIONSII i Booking Center: New York
Relationship Manager: Stewart Oldfieid
El New PWM Relationshp El Existing PWM Relationship
Relationship to PWM:
If edging, please indicate since when the relationship exists, provide reason for new profile and attach old profile:
RI Pent Referral O RM Prospect O Intermediary/FIN O Other Source (CIB, etc.)
Flow Was the Chent(s)
Introduced' How long has the
RM personaly known the Please provide deals (eg. name of referral source, how many years RH personally has known client, etc.): Jeffrey Epstein
client? (President of Gratitude America) is a current them of the bank. He and Darren Indyke reached out to Stew OldtkId on
12/12)2016 to open a checking account for la newest entity, Zorro Management LLC
Does Deutsche Bank pay a • Yes 2 No
retrocession or similar
compensation to a third party
for the introduction of this (If yes, Ciescnte):
relationship?
List all existing and new accowes involved in this relationship
Legal Entity Account Name / Number Opening Date (intended/actual)
Account(s)
1 5 Zone Managanent, LLC - Deposit 12,2//2016
Who is he primary contact
person or the RMR (Note: This Preferred method of contact
Darren Indyke
person needs to have signatory (indicate phone no., fax no.,
rights a d/or information ;NM enusi address, etc.):
for the c(ounts.):
SDNY_GM_00039999
haps://dbforcepb.my.salesforCCINEillacklIJIA10000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002823
EF1'A_00150608
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KYC Print Page 2 of 10
One sheet mud be estAbBubed for each account to be opened
2. Account Ownership Summary
Account Name: Zorro Management, LLC - Deposit Acct. Number (fI nelabkl.
Account Manager stewed deed
What is the purpose of the account (e.g. portfolio management, advisory account, custody service, long-ems Investment, payment/expense account)? the
purpose d this account Is to nonage the daily expenses of the company
Indicate from share the asses are expected to arrive?
21
CS Group: Same Booking Center (indicate account number): 35269691
0 DB Group: Other Bade) Center (Indicate DB location and account details):
D
Cther Institution - (Indicate name & location):
Li Physical Deposits (specify cash, securities, cheque, -.3
What is the expected size and frequency of regular nlbn and outflows for the account (indicate estimated number and volume per month)': 0-10
inflows/outflows between 50k and 100k on a monthly basis
11000000 I Currency I usd
What's the expected volume of asses and currency for the account approx. 90 days after opening?
What is Me expected volume of asses and currency for the account approx.one year after opening? 11000000 Hey I iscl
DoesSmn the client have Assets Under Management (AuM) wen DB under Eta 3M? 0 kes Edo
Please list all parties related to the account.
For each party:
• Check if a source of wealth descnpbco is required for the party.
• Check the appropriate box to describe the rebtiortship of the party to this account ( > 1 stn be selected).
• If none of the check boxes apply, describe the party's rela ion to the account in the 'Other" column.
• Always describe the relationshi between the parties in the last column.
• please drill down to the ultrnate/undertYkl9 Beneficial Owner(s).
..egal escrieen AccountbIC Setter of Jltlinite Signatory .need financial Signifkant _egal ‘3antorgettiorSounclingOther
tntityof5ource folder DwnerTnist / enerialor Full ?OA Intern ediaryShareolderlepresentatbe Donor (please
of Wealth Founder of Owner POA (ElM) (>•25%) descnbe
-equired Foundation Non&IC Ater roles
entity and/or
(indicate ndicate
Parties ownership relationship
ebted to iv) etween
his accoust owes)
Zero
i El El Management, • 0 0 • 0 • 0 0 a
ac a
2 0 ea Jeffrey • 0 • El El • CI 0 • •
Epstein
D 0 Darren El II 0 0 at si
3 0 0 0 0
SONY_GM_00040000
https://dbforcepb.my.salesforeGONErilDaatiAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0002824
EFTA_00 I 50609
EFTA01284087

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One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary
3A. Individual Details ( for all parties)
IndNiduars Name: kart( Epstein • 00000483289 Date of Birth: 1/20/1953
Country of Residence: Wel Country of °Wend*: USA
Has client resided outside of
Address of primary residence: Lille Saint James Saint Thomas 00802 his/her country d matins/AFT O Yes RI No
for 5 years or mere
Profs:en/Occupation: Self Ernpe4yed Tax ID / 59i:
Current Employer: Southern Financial LLC Posit/en/TRle/Rank: President
Address of enidoYer: 6100 Red Hook Quarter 63 St. Thomas United States 00802
Does the person work as senior executive of a Dffirecognized regulated entity in the financial D yes ga No
nd ustry? or an entity listed on a DB•recognised exchange? (Nast applicable for operating entities
Is the individual a Politkalty Exposed Person (PEPyel Yes, describe) O yes 2 No
To the best of your knowledge, is the IndNHoat rebted to an employee of the DB grouPW O Family O FriendsNp A None
Amoy or Frieddship, describe)
To the best of your knowledge, is the IndNHvat party to a nem-baiting relationship with
Deutsche Bank (e.g., extemal legal counsel, client referral source, supplier of goods or senncesp Ores 2 No
(/ Yes, describe)
Indicate where and when the dent meeting(s) took plane:
If applicable, Skate which bank officers have met the person:
Client Private Client Place of
Bank Officer Name(%) Bank Office: Other location (specify Date:
Dornicile: Business:
O . O
• • O
• O O
O Wealth Details for this individual ere not filed in, because they are the same as for the folcnving person:
38. Wealth Detalb (Only for parties requiring source of wealth desalption as Indicated In Section 2)
Nature of the Incitykiuds Business: Private investments
Primary Country of source of wealth/source of Funds?
Pnmary briusby of source of WealtiVSource of Funds?
Surnmartze Source of Wealth: Ea Business Omer Mabry/Earnings RIInvestment O Inheritance/Gifts • Other:
further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senior accumulate wealth' For inheritance, how
did Vanity accumulate we.althYFor business owners, how bng in business, how many employees, level d prolitabiklyn Indicate type of business, countries of major
activities, important business partners.) Eastern began his financial career m 1976 as an options trader at Bear Steams and became a parMen n 1980. In 1982,
Epstein founded his own financial management firm, 1. Epstein & Co., managing the assets of dents with more than a Mien in net worth. In 1996, Epstein
changed the name of his firm to The Financial Trust Company and based it on the Island of St. Thomas in the US Virgin Islands. Al of Ns chests were anonymous
except /or Me very wealthy businessman Leslie Wexner. His wealth has come from his days at Bear Steams and his financial management finm
Estimated Annual Income(S): 10,000,000.00 Estimated amount of investable assets(8): $50 MM - 100 MM
Estimated Net Worth($): $500 MM + Amount of assets planned to West WO PWM($):
Other Known Financial InsUtutions:
Instrtution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
SDNY_GM_00040001
https://dbforcepb.my.salesforcGONEIDEgrlardiAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002825
EFTA_001508I0
EFTA01284088

KYC Print Page 4 of 10
r
Ed. Mats Under Mgt
'Cam";
Please Indicate the family *aeon el the IratIvidual stMus, ether fan* mentos, WI:
SONY_GM_00040002
Imps://dbforcepb.my.salesforcGCNEJICailidiA10000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED R. CRIM. P. 6(e) DB-SDNY-0002826
EFTA_001506II
EFTA01284089

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One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownenhio Summa
3A. Individual Details (for all parties)
Iodoidual's Name: Darren Indyke - 00000466405 Date of Birth: 2/19/1965
Country of Residence: USA Country of Cituenshix USA
itas client resided outside of
Address of primary residence: h4/her countiy of natIONaltY O Yes RINo
for 5 years or more?
Prolestoutwripation. I avryer lax ID / SSII:
Current Employer: Southern Financial LLC Postionfill:NfRanle
Address of employer: 575 Lexington Ave, 4th H Livingston NY United States 10022
Does the person work as senior executive of a DDrecognited regulated entity in the financial Dyeso no
niusby, or an entity listed on a DB'recognlsed exchange' (Not applicable for operating entitles
Is the IndMdual a Politically Exposed Person (PEPr(f Yes, describe) . YIN @No
To the best of your knowledge, is the Ind hidtal related to an employee of the DB group,(d O Family O Fnendshp 21N one
Fame/yew Riendship, describe)
To the best of your knowledge, h the individual party to a non-banking relationship with
Deutsche Bank (e.g., external legal (COM', client referral source, supplier of goods or services), O Yes 21N°
(if Yes,ciescribe)
Indicate where and when the (bent meeting(%) took place:
If applicable, nthcate with bank officers have met the person:
Bank Officer Name(s) Bank Office: atilt Private Client Place of Other I {.,,,I .4 if D.:tr.
Denial.: Business:
Stewart Oldneld R O O U. 1 ' Ellt,
• O O
• O •
O Wealth Details for this individual are not flied in, because they are the same as for the folotAng person:
38. Wealth Detail, (Only for parties requiring source of wealth desalpUon as Indicated In Section 2)
Nature of the Individual's Business:
Primary Country of source of wealth/source of Funds?
Primary industry of source of WeakhlSourt of Funds'
Summarize Source of Wealth: O Business Owner OSalery/Eamings O Investment O InlwritancerGifts O Other:
Further Describe Source of Wea h Metal the history of wealth foe each of the sources: (e.g. For busts, how did settler accumulate swath' For inheritance, how
did tangy accumulate wealth'For business owners, how long in usiiess, how many employees, riel of profitability/ Indicate type of business, countries of major
arthritics, important business partners.)
rumored Annual Income($): Estimated amount of investable assett(g):
Estimated Net Worth($): Mount of assets planned to invest with PWI4(3):
Other Known Financial Institutions:
Institution: County: Est. Assets Under Mgt:
Institution: Country: Est. MIS Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Please indicate the family situation of the indiv int (marital status, other family mentors, etc.):
SDNY_GM_00040003
ps://dbforcepb.my.salesforcaraNtaIDEgrbaliA19000000D9Ditice... 7/30/2019
t
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002827
EFTA_00150612
EFTA01284090

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I
One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summa
3C. Legal Entity Details (Eor all legal Crank*
Legal Entity Name: Zeno Management, LLC - 00003550331
O Foundatkin/Associatkin O Trust RI Company O Estate 121P rivate Investrnert O
Type of Entity Purpose of Entity'
III Partnership 'Philanthropic/Charitable OCommercbi
LLC Purpose of Entity
Type of EntRy Other (sporty):
Other (speCifYI
Country of USA Date of incorporation / 12/19/2016
incepaation/reflistration: registration:
Detenrinaten Required No
Volcker Status: Vokker flag:
6100Ra Hook Qterter, 93 A. Thomas; USV1 00002 units
Address (city, street, post U.S. TINEEIN:
States
code):
Provide a description of the entty's °reset:Menai structure, its oremership structure and rs Top Management. For information about
revocability,seabr and benelkerles,etc:
Jeffrey Epstein is the sole manager and owner of this entity.
Sqnors CC this account will be:
Jeffrey Epstein
Darrell Indyke
Please indicate how ownership of the legal entity is reflected: .
O Special attention: Bearer Shares' Indicate where shares are custodkd:
Describe the chain from the direct owner of the entity to the ultimate beneficial owner (a not the name pews): Jeffrey Epstein is the sole manager and owner of
this entity.
Signors on this account will be:
Jeffrey Epstein
Darren 1ndyke
To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche Yes El No RI
Bank (e.g. external legal counsel, client referral source, suppler of goods or services)':
Describe Nature of Entity's Primary Business and Investment Activities
a real estate holding company. It is a company formed to rim and operate al activities associated
retire of the business:
with a property that Jeffrey Epstein owns In the US Vegin islands.
Countries where bushes-s is transacted: USA
Number of employees: I
3D. Wealth Profile (Only for parties rogueing source of wealth desalption as indicated In Section 2)
Primary Country of source of wealth/source of Funds?
Primary industry of source of Wealth/Sourte of Funds?
Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assetstliabAties)
This company Is funded by Jeffrey Epstein's personal wealth
Esimatal gross receipts p.a.(S): 1,000,000.00
Estimated net profit pa. (S): 1,000000.00
Estimated Investable assets ($): SI MM - 2 PIM
Potential Amount to be Invested with PWM (Sy
Other Known financial Institutions:
Inetutbn: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
SONY_GM_00040004
https://dbforcepb.my.salesforcalNErilDaialiA141000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED R. CRIM. P. 6(e) DB-SONY-0002828
EFTA_00150613
EFTA01284091

KYC Print Page 7 of 10
Country.
it I II Est. Assets Under Mgt:
SDNY_GM_00040005
ps://dbforcepb.my.salesforcaINEJIDWidLAIL000000D9Ditice... 7/30/2019
t
CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002829
EFTA_00150614
EFTA01284092

KYC Print Page 8 of 10
DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART B rA
Relationship Name SOUTHERN FINANCIAL RELATIONSHIP
Risk Rating Comments:
I:
BcokIng Center Ow O Offshore El Moderate High Risk ToccHun Chung
/O ffshore ink
(Gauntlet* Signature)
D
DB Employee O DB Managed PIC • DB is Trustee/Co-Trustoe O Bearer Shares
4. Attachments
A. Type of Photo ID Provided N Drivers License ElPassport O Natknal/State ID O Other
8. Checklist of names (individuals and/or entities) that were submitted for database searches is attached ®yes O*
C. Please Indicate the results of the database searches performed
RDC searches complete :-.4 yes • No negative results found Oyes @No
PCR checks complete Ryes O No negative results found Ores 2 No
OFAC checks complete Era O No negative results found Oyes ®No
WS searches complete (Loris/Re*, Factrva, Reuters, Dow Tones, D&B) Rya ONo negative results found Oyes ®No
Denial Orders checks complete ®ye Otto negative results found Oyes ®No
Martindale-Hubbell searched (targets/Law Fenn only) Dyes EINo negative results found Oyes Die
D. Please summarize any meat* results from the database searches indicated above:
E. To the best of your knowledge, has the client ever been convicted of a criminal offense? Dyes EA No
To the bat of your knowledge, has the customer ever been involved in any past litigation against
R
Deutsche Bank AG or any of its subsidiaries or is the customer threatening *cation against Deutsche Dyes u3
8
Bank AG or any of Is subsidiaries' (If Yes, provide details babe and contact Quably Mgt
flatrilnarell a the RegeAtny Conti,/Crap and notify Compliance immediately)
Does the client or related party have any financial or other association / interactions wthin countries n
or regimes sanctioned by the Office of Foreign Assets O241U01 (CfAC), Li Yes 0 No
Does the client a related party have any financial or other association/ interactions within high rig a
coun tries, m YIN 0 No
I. Corporate Documentation Attached (Legal Entities Only) ®Ye O Et O Not Applicable
J. Undisclosed Principal Form Complete (Intermediaries Only) ales O No 0 Not Applicable
K. If Lexis/Nexis Search Results, Corporate DOCUSISISS or Other Supporting Documentation is not in English, please provide an English summary of the
naturelcontents of the norrEnglish DOEUTESWIEll:
L. Special Risk Factors
Does the account have Nexus to Special Risk Countries? • Yen Oleo
Is the account structure unusually comp*, • Yes ®No
Is there any Indication the client set up a non operating company expressly RI
for the purpose of transferring share to third part*? LI Ye No
Is there any Indication this could be a prohibted business relationsele7 O Yes ®No
Are the bearer shares identified subject to acceptable controls? O Yes ®No
SDNY_GM_00040006
https://dbforcepb.my.salesforCCINErilDaiLIJIAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002830
EF1'A_00150615
EFTA01284093

KYC Print Page 9 of 10
Pt Coss Contests
Created By Date Comments
Cynthia Rodriguez 12/15/116 2:42 PM Ramat research (or Darren Indyke and Jeffrey Epstein can be found in case 01651789.
ONSHORE APPROVALS
Client Facing Professional Ian tern solyab Signature) 12/15/2016
Ctrl solwab
Otte Director/Business Head: Armen Brash Signature) 12/15/2016
Armen Brash
Regional Office Director .Signature)
AML Business Wilt:
(509nahrt9
Abl. Compliance:
(Signature)
Domini Morey Dingtra Manley 12/20/2016
Yoonsun Chung Yoonsun Chung 12/20/2016
LATAM/INTERNATIONAL APPROVALS
Client Facing Professional (CFP) (Signature)
Account Manager (*nature)
Global Markm Team Head (GMTLIpSub. (Signature)
Market Team Head (SHIM:
AML Busness Risk
(Sri siiiiii-)
Abt Compliance
fskritlir0)
PRIVATE WEALTH MANAGEMENTP OLICY STATEMENT: Deutsche Bank Private Wealth Management (PIVAff
worldwide is committed to professionally serve the interests ofi ts clients. To do so, Client Facing Professionals!( I)
(CFP 's) should establish and maintain business relationships only with persons who sane our high standards of
suitability, background and character. Due diligence obtained on the client must be appropriately documented by the
CFP. It is the responsibility ofC FP's to demonstrate that they know their client both at the inception ofa relationship and
on an ongoing basis.
DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best ofmy knowledge and beliefthe 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 oft he dimity's) and that 1h ave followed all the procedures relating to account opening as described in the PIVM
Americas Procedures and the PliM Global KYC Policy
(l) Client Facing Professionals (CFP's) include: Relationship Managers. Wealth Advisors. Product Officers. Brokers,
Client Managers. etc.
Deutsche Bank Americas New York
SDNY_GM_00040007
Ilttps://dbforcepb.my.salesforCCINEJIDWIdEAIL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002831
EF1'A_00150616
EFTA01284094

KYC Print Page 10 of 10
in I
SDNY GM 00040008
https://dbforcepb.my.salesforCCINErilDnEglardiAL000000D9Di&e... 7/36/2619
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002832
EFTA_00150817
EFTA01284095