EFTA01298891.pdf

KYC Print Page I of 23
DB PWM GLOBAL 1O(C/NCA PART A
KYC Case it 01977699 Status 6. Approved
One sheet must be established per relationship - list all accounts included in the relationshi
1. Relationship Details
Relationship Name: SOUTHERN FINANCIAL RELATIONSHIP. 00000483290 Booking Center: New York
Relationship Manager: Stewart Ocilla
ii.6
0 New PWM Relationship Existing FWM Relationship
Relationship to FWM: If existing, please indicate since when the relationship exists. provide reason for new profile and attach od
profile: • • • 2018 Periodic Review ' • •
Last Approved KYC N - J. Epstein Virgin Islands Foundation Inc - 1700855; Hyperion Air LLC - 1790820.
Client Referral 0 RM Prospect 0 Intermediary/AM 0 Other Source (08, etc.)
How Was the Oient(s)
Introduced? How long
has the RM personally Reese provide details (e g. name of referral source, how many years RM personally has known dint,
known the dent? etc.): Jeffrey Epstein reached out to Stew Oldfield on 3/7/17 to have a new acct opened under this
relationship.
Does Deutsche Bank pay 0 Yes I W.' No
a retrocession or smiler
compensation to a third
party for the introduction Of Yes. describe):
of this relationship?
List al existing and new accounts involved in this relationship
Legal Entity Account Name! Number Opening Dale (intended,actuto
Account(s)
R
1 J. Epstein Virgin Islands Foundation Inc - N4G024950 - DBSI-N40024950 9)30/2013
R
2 Hyperion Air LLC - - ODA- 10/18/2013
Who is the primary
contact person for the Preferred method of
RM? (Note: This person Darren K. Indyke contact(indiate phone (212) 971.1314
needs to have signatory no.. fax no.. e-mail
rights and/or information address. etc.):
right for the accounts.):
SDNY_GM_00064276
https://dbforcepb.my.salesforce.enThIEN IDEN N30000000D9Di&... 11/14/2018
TI
CONFIDENTIAL - PURSUANT TO FED. R.VRaltint A L DB-SDNY-0027101
EFTA_00174782
EFTA01298891

KYC Print Page 2 of 23
One sheet must be established for each account to be opened
2. Account Ownership Summary
J Epstein Virgin Islands Foundation Inc • Acct. Numbe' Of
Accdun: ':re
OBSI available)
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)? The purpose of this account is to manage the foundation's securities and trade investments.
Indicate from where the assets are expected to arrive?
Et DB Group: Same Bookng Center (indicate account number): Existing
0 DB Group: Other Booking Center (indicate DB location and account details):
• Other Institution — (Indicate name & location):
0 Physical Deposits (specify ash, securities, cheques, ...):
What is the expected see and frequency of regular inflows and outflows for the account (Indicate estimated number and volume per
month)?. 0-5/month; 5100 - $50K
Whet is the expected volume of assets and currency for the 300.000 'Currency I USD
account approx. 90 days after opening?
What is the expected volume of assets and currency for the 300.000 'Currency I USD
account approx. one year after opening?
Does/will the dient have Assets Under management (AuM) 0 yes E71 No
within DB under Eur. 3M?
Please flat all parties Sated to the account.
For each party.
• Check if a source of wealth description is req fried for the party.
• Caeca the approp ate box to describe the re ationshlp of the party to this account (> I can be selected).
• If none of the check boxes apply, describe the part 's relation to the account in the "Other column.
• Alway describe t e relationship between th parties in the last column.
• Please dril down to the ultimate/un tidying Beneficial Owner(s .
_egal sorption Account *IC Settlor of Jitimate Signatory-muted Financial Significant
Entity of Source Holder Owner Trust / Senefidal n Full >OA ntermediary Shareholder
of Wealth ;Gunder of Owner *OA (FIM) >=25%) Other (please
-equired roundation Von-PIC lescribe other
entity roles and/or
indicate ndicate
:Inns related to ewnership "dationship
his account %) )etween parties)
i Ea , w 4 • W J. a E n p d s s t ein Virgin RI q • 0 r - 0 D
Foundation, Inc
2 0 • Darren K Indyke • 0 • J • •
Founder; Sole
3 0 2 Jeffrey E. Epstein 0 0 2 El W Cl 0 member, Prima•,
pedsion Maker
4 0 0 Enke Kellerhals • El 0 0 0 0 0 Secretary 8
Treasurer;
Trading
Authorization
5 0 0 Paul S. Barrett 0 0 0 0 0 E R Li i m rc i h te a d s e to s It
Sales of
Securities:
SDNY_GM_00064277
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CONFIDENTIAL - PURSUANT TO FED. R.'enertir l DB-SDNY-0027102
EF1'A_00174783
EFTA01298892

KYC Print Page 3 of 23
SDNY_GM_00064278
Imps://dbforepb.my.salsforce.enTher leppENTIONLI30000000D9Di&... 11/14/2018
CONFIDENTIAL - PURSUANT TO FED. R.VRINIAst i DB-SDNY-0027103
EFTA_00174784
EFTA01298893

KYC Print Page 4 of 23
2. Account Ownership Summary
Met . Num ber (if
Account Name. Hyperion Air LIC • • ODA
available):
Account Manager Stewart Oldfietd
What is the purpose of the account (e.g. portfolio management, advisory account, custody services. long-term investment.
payment/ expense account)? The purpose of the account Is to manage the monthly expenses of the company.
Indicate from where the assets are expected to arrive?
2 DB Group: Same Booking Center (indicate account number): Existing
D DB Group: Other Booking Center (indicate DB location and account details):
0 other Institution — (Indicate name & location):
El Physical Deposits (specify cash, securities, cheques, ...):
What is the expected size and frequency of regular inflows and outflows for the account (radiate estimated number and volume per
month)? 0•4/month: COO • S 150K
What is the expected volume of assets and currency for the 147203.75 I Currency I USD
account approx. 90 days after opening?
What Is the expected volume of assets and currency for the 147.203.75 I Currency I USD
account approx one year after opening?
Does/will the client have Assets Under Management (AuM) 0 Yes El No
within DB under Eur 3M?
Please 1St all parties related to the account.
For each party:
• Chad( if a source of wealth description is required for the party.
• Check the approp late box to describe the relationship of the party to this account (> I can be selected)
• If none or the check boxes apply, describe the part 's relation to the account in the "Other' column
• Atmay describe t e relationship between the partie in the last column.
• Please drill down to the ultimate/underlying Genetical Owner(s).
.egal Description Account >1C Settler of Janata Signatory _imtted Financial Significant
Entity of Source Holder Owner Trust / Beneficial or Full POA ntermediary Shareholder
of Wealth rounder of Owner 20A ,FIM) o • 25%) Other (please
required roundation qon•PIC iescribe other
Way oles andior
indicate nchcate
%nits related to ownership 'elationship
his account %) 2etween parties)
l '4 61 Hyperion Air, LLC 2
Sole Member:
2 0 EZ Jeffrey E. Epstein • 0 0 g g 0 0 Primary Decision
Maker:
3 0 • Darren K lndyke • El • • E • in
Harry Boller F] D 0 0 M 0 0
i I Lawrence Pau! -1 Fl .n . F. E 11 Manager.
IdIsotJo if
SDNY_GM_00064279
https://dbforcepb.my.salesforce.cPf4 le etTI 0L130000000D9Di&... 11/14/2018
CONFIDENTIAL - PURSUANT TO FED. R.tRatt A DB-SDNY-0027104
EFTA_00174785
EFTA01298894

KYC Print Page 5 of 23
One sheet must be established for EACH INDIVIDUAL PARTY hi Section 2. Account OwnenhlD Summa
3A. Individual Details (for all p nos)
Individual's Name: .,efloy E Epstein-- Dale of Birth: 1/20/1953
Country of Residence Vrgin Islands. U S. Country of Otizenship: United States
Has client resided outside
Address of primary U LL . ii S tttt . ll ee Saint James Saint Thomas 00802 Virgin Islands, o na f t h io is n / a h l e it r y c f o o u r n 5 t r y y e o a f r s or 2 No
residence:
more?
PPrr ofession/Occupation: Self Empolyed Tax ID 1 SSN:
Current Employer. Southern Trust Company Inc Position/Title/Rank: President
Address of employer: 8100 Red Hook Quarter B3 St. Thomas lifirgin Islands, U.S. 00802
Does the person work as senior executive of a DB-recognized regulated entity in
the financial industry? or an entity listed on a DB-recognised exchange? (Not Il Yes 2 No
a oplicable for operating entities
0
s the individual a Politically Exposed Person (PEP)7(if Yes. describe) WI Yes No
Connection with Prince Andrew and Bill Linton
To the best of your knowledge, is the individual related to an employee of the DB : C I:F amily al Friendship lia None
groupWif Family or Friendship. describe) N/A
To the best of your knowledge, is the individual party to a non-banking
relationship with Deutsche Bank (e.g., external legal counsel. client referral 0 Yes ..4 No
source, supplier of goods or services)?(f Yeedesaibe ) N/A
if applicable, indicate which bank officers have met Indicate whe e and when the client meeting(s) took place
:ne person..
Giant
Oient Place
Bank Officer Name(s) Bank Office Private Other Location (specify) Date
of Business:
Domicile:
Stewart Oldbeld 0 iii 6 28201?
0 0
0
0 0 0
• Wealth Details for this individual are not filled in, because they are the same as for the following person:
3B. Wealth Deltas (Only for parties requiring source of wealth description as indicated In Section 2)
Nature of the Individual's Business: Private investments
Primary Country of source of wealth/source of Funds? United States
Primary industry of source of Wealth/Source of
High Risk Financial Institutions
Funds?
.
Butiness Owner 0 Salary/Earnings 12 Investment •Inheritance :: "--,
Summarize Source of Wealth:
0 Other:
Further Desaibe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts. how did settler accumulate
wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level o'
SDNY_GM_00064280
https://dbforcepb.my.salesforce.enTher N30000000D9Di&... 11/14/2018
CONFIDENTIAL - PURSUANT TO FED. R.15Rar l -YENTI A L DB-SDNY-0027105
EFTA_00174786
EFTA01298895

KYC Print Page 6 of 23
profitability? Indicate type of business, countries of major activities, important business partners.) Jeffrey Edward Epstein (born
January 20, 1953) is an American financier and registered sex offender in the United States He worked at Bear Stearns early in his
career and then formed his own firm, J. Epstein 8 Co. He lives in the US Virgin Islands. Epstein taught calculus and physics at the
Dalton School in Manhattan from 1973 to 1975. Among his students was awn of Alan C. Greenberg, chairman of Bear Stearns
n 1978, Epstein started work as an options trader at Bear Stearns where he worked in the speaal products division. advising high-net-
worth clients on tax strategies. Proving successful in his financial career, in 1980 Epstein became a partner at Bear Stearns
n 1982. Epstein founded his own financial management firm, J. Epstein It Co.. managing the assets of clients with more than $1 billion
in net worth. In 1987, Leslie Wexner, founder and Mailman of Ohlo-based The Limited chain of women's clothing stores became a
well-known client. Wexner acquired Abercrombie 8 Fitch the following 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 tax advantages, based it on the island of St. Thomas in the U.S. Virgin Islands.
n 2003, Epstein bid to acquire New York magazine. Other bidders were advertising executive Donny Deutsch, Investor Nelson Peltz,
media mogul and publisher Mortimer Zudorman, who had the New York Daily News. and film producer Harvey Weinstein. They were
ultimately outbid by Bruce Wasserstein, a longtime Wa I Street Investor, who paid $55 million.
n 2004. Epstein and Zuckerman committed up to $25 million to finance Radar a celebrity and pop culture magazine founded by Meer
Roshan. Epstein and Zuckerman were equal partners I the venture. Roshan. as Its editor-In-chief, retained a small ownership stake.
'recently, Mr. Epstein founded Southern Trust Comps y Inc, a private consulting company that invests the assets of their clients and
gets thee revenue from th return of these investmen s. Southern Trust invests in different portfolios catered to their clients and makes
t new 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 assets(S): $50 MM - 100 MM
$1
Estimated Net Worth($): $500 MM Amount of assets planned to Invest with PWM(S): 2,300,000.00
Other Know Financial Institutions:
nstitution: Country: Est Assets Under Mgt:
nstitution: Country: Est Assets Under Mgt-
nstitution: Country: Est Assets Under Mgt.
Please indicate the family situation of the individual (marital status, other family members. etc.): N/A
SDNY_GM_00064281
Imps://dbforepb.my.salsforce.caThet lerVENTIAL130000000D9Ditz... 11/14/2018
CONFIDENTIAL - PURSUANT TO FED. R.VRINIMI DB-SDNY-0027106
EF1'A_00174787
EFTA01298896

KYC Print Page 7 of 23
One sheet must be established for EACH INDIVIDUAL PARTY In Section L AccountOwnershln Summa
3A. Individual Details (for all parties)
Individual's Name: Darren K I ndyke - Date of Seth: 2/19/1965
Country of Residence Jnied Dates Country of Otizenship: United States
Has client resided outside
of his/her country of
Address of primary nationality for 5 years or O yes ONO
residence:
more?
Professon/ Occupation: Accountant Tax ID / SSN:
Current Employer: Southern Financial LLC Position/Title/Rank: Accountant
Address of employer: 16100 Red Hook Quarter B3 St Thomas Virgin Islands. U.S. 00802
Does the person work as senior executive of a 0R-recognized regulated entity in
the financial Industry? or an entity listed on a DB-recognised exchange? (Not O yes EZ No
a °shamble for operating entities
Is the individual a Politically Exposed Person (PEP)7(i( Yes, describe) NIA Oyes Ri No
To the best of your knowledge, is the individual related to an employee of the DB
ii
Family
El
Friendship Ea None
groupWi( Family or Friendship, describe) N/A
To the best of your knowledge, lathe individual party to a non-banking
relationship with Deutsche Bank (e.g.. external legal counsel. client referral yes ®No
source, supplier of goods or services)?fi( YeAdescribs ) NIA
ir applicable, indicate which bank officers have met Indicate where and when the client meeting(s) took place:
:ne person:
Client
Client Place
Bank Officer Name(s) Bank Office Private Other Location (specify) Date
of Business:
Domicile:
Stewart Oldfield 12/12/2016
q q q
O
i._.:Wealth Details for this individual are not filled in, because they are the same as for the following person
3B. Wealth Details (Only for parties requiring source of wealth desaiptton as ',Mica:ad in Section 2)
Nature of the Individuals Business
FYImary Country of source of wealth/source of Funds?
Primary Industry of source of Wealth/Source of
Funds?
O Bur:di:lessOwner ill Salary/Earnings O Investment O Inheritance/Gifts
Summarize Source of Wealth:
O Other:
SDNY_GM_00064282
Imps://dbforcepb.my.salesforce.ePIEN le etTI N30000000D9Dite... 11/14/2018
CONFIDENTIAL - PURSUANT TO FED. R.tRalt4t AL DB-SDNY-0027107
EFTA_00174788
EFTA01298897

KYC Print Page 8 of 23
Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate
wealth? For inheritance, h w did family accumulate w alth?For business owners, how long in business, how many employees level c'
profitability? Indicate type of business, countries of m jor activities, important business partners.)
Estimated Annual Income
Estimated amount of investable assets(S):
.5)
Estimated Net Worth(S): Amount of assets planned to invest with PWM(S)
Other Known Financial Institutions:
instkution: Country Est Assets Under Mgt
I nstkutlOn: Country: Est Assets Under Mgt:
institution: Country: Est Assets Under Mgt:
Please indicate the family situation of the individual (marital status. other family members, etc.):
SDNY_GM_00064283
littps://dbforcepb.my.salesforce.caThet l eppENoTtAt30000000D9Di&... 11/14/2018
CONFIDENTIAL - PURSUANT TO FED. R.VIRINISti DB-SDNY-0027108
EF1'A_00174789
EFTA01298898

KYC Print Page 9 of 23
One sheet must be established for EACH INDIVIDUAL PARTY in Section L AccountOwnetshl
3A. Individual Details (for all p rues)
Individual's Name: Erika Ke: ernals - Date of Birth: 10/13/1974
Country of Residence Wpm Islands U S Country of Otizenship: United States
Ras client resided outside
Aodress of primary o na f t h io is n lh al e it r y c f o o u r n 5 t r y y e o a f r s or Elves 10 No
residence:
more?
Profession/Occupation. Attorney Tax ID / SSN:
Current Employer: Kellerhals Ferguson Kroblin PLLC Position/Title/Rank: Attorney
Address of employer: 9100 Port of Sale Mall, Ste 15 St. Thomas Virgin Islands, U.S. 00802
Does the person work as senior executive of a DB-recognized regulated entity In
the financial industry? or an entity listed on a DB-recognised exchange? (Not 19 Yes 66 No
applicable for operating entities
is the individual a Politically Exposed Person (PEP)7(i/Yes, describe) N/A U Yes RI No
To the best of your knowledge, is the individual related to an employee of the DB
ii
Family a Friendship ga None
group?(I/ Family or Friendship. describe ) N/A
To the best of your knowledge, is the individual party to a non-banking
relationship with Deutsche Bank (e.g., external legal counsel, dient referral O Yes ..4 No
source, supplier of goods or services)?(if YeAdescribe ) N/A
it applicable, indicate which bank officers have met Indicate where and when the client meeting(s) took place'
:ne person:
Client
Client Place
Bank Officer Name(s) Bank Office: Private Other Location (specify) Date.
of Business:
Domicile:
D • •
O O
O O •
i._.:Wealth Details for this individual are not filled in, because they are the same as for the following person:
3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 21
Nature of the Individuals Business.
Primary Country of source of wealth/source of Funds?
Primary industry of source of Wealth/Source of
Funds?
ll.] Busness Owner I Salary/Earnings O Investment [II Inheritance/Gifts
Summarize Source of Wealth:
D
Other:
SDNY_GM_00064284
Imps://dbforcepb.my.salesforce.caTher N30000000D9Di&... 11/14/2018
leFENTI
CONFIDENTIAL - PURSUANT TO FED. RIBRair A L DB-SDNY-0027109
EFTA_00174790
EFTA01298899

KYC Print Page 10 of 23
Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate
wealth? For inherkance, h w did family accumulate wealth?For business owners, how long in business, how many employees level c'
profitability? Indicate type of business, countries of m jor activities, important business partners.)
Estimated Mnual Income
Estimated amount of investable asset&S):
.5)
Estimated Net Worth(S): Amount of assets planned to invest with PWM(S)
Other Known Financial Institutions:
Institution: Country Est Assets Under Mgt
Instautlon: Country: Est Assets Under Mgt:
institution: Country: Est Assets Under Mgt:
Please indicate the family situation of the individual (marital status. other family members, etc.):
SDNY_GM_00064285
Imps://dbforcepb.my.salesforce.caThet N30000000D9Di&... 11/14/2018
CONFIDENTIAL - PURSUANT TO FED. R.VRINIM II2PENTI A L DB-SDNY-0027110
EFFA_00174791
EFTA01298900

KYC Print Page 11 of 23
One sheet must be established for EACH INDIVIDUAL PARTY hi Section 2. Account Ownership Summary
3A Individual Details (for all p rises)
Individuals Name: Harry Bever - Date of Bath: 5/9/1956
Country of Residence: United States Country of Otizenship: United States
Has client resided outside
of hisrher country of
Address of primary nationality for 5 years or O Yes Olio
residence:
more?
Profession/Occupation. Accountant Tax ID I UN:
Current Ern player: MIRK Associates Inc Position/Title/Rank: Accountant
Address of employer: 575 Lexington Avenue, 4th Floor Monsey NY United States 10022
Does the person work as senior executive of a 08-recognized regulated entity in
the financial industry? or a entity listed on a 08-recognised exchange? (Not IM Yes E6 No
applicable for operating ent ies
is the individual a Politically Exposed Person (F£P)7(if Yes, describe) NIA O Yes RI No
To the best of your knowledge, is the individual related to an employee of the DB ii Family Illi Friendship ga None
groupWil Family or Friends/70. describe) N/A
To the best of your knowledge, is the individual party to a non-banking rc
relationship with Deutsche Bank (e.g.. external legal counsel. client referral El Yes ...I No
source. supplier of goods or services)?(f Yeedescribe ) WA
ir applicable, indicate which bank officers have met Indicate where and when the client meeting(s) took place.
Vfle person:
Client
Client Flea
Bank Officer Name(s) Bank Office: Private Other Location (specify) Date
of Business:
Domicile:
O O ii
O O O
O O •
L.:Wealth Details for this individual are not filled in, because they are the same as for the following person:
3B. Wealth Details (Only for parties requiring source of wealth description as Indicated In Section 2)
Nature of the Individuals Business
Primary Country of source of wealth/source of Funds?
Primary industry of source of Wealth/Source of
Funds?
O i
B. s n ess 0 e, ^ 11S alary/Earnings O Investment nhe ri t a n ce / G ft s
Summaree Source of Wealth:
__ ..i Other.
SDNY_GM_00064286
littps://dbforcepb.my.salesforce.enTher leppENoTlift130000000D9Di&... 11/14/2018
CONFIDENTIAL - PURSUANT TO FED. R.VRIWitir DB-SDNY-0027111
EF1'A_00174792
EFTA01298901

KYC Print Page 12 of 23
Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate
wealth? For inherkance, h w did family accumulate w alth?For business owners, how long in business, how many employees level c•
profitability? Indicate type of business. countries of m jor activities, important business partners.)
Estimated Amual Income
Estimated amount of investable assets(s):
S)
Estimated Net Worth(S): Amount of assets planned to invest with PWM(S)
Other Known Financial Institutions:
Institution: Country: Est Assets Under Mgt
institution: Country: Est Assets Under Mgt:
institution: Country: Est Assets Under Mgt:
Mean indicate the family situation of the individual (marital status. other family members, etc.):
SDNY GM_00064287
Imps://dbforcepb.my.salesforce.ca Ther lerpENTIONLI30000000D9Di&-... 11/14/2018
CONFIDENTIAL - PURSUANT TO FED. R.VARtenr DB-SDNY-0027112
EFTA_00174793
EFTA01298902

KYC Print Page 13 of 23
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. AccountOwnership Summar
3A Individual Details (for all parties)
Individual's Name: Paul S. Barrett - Date of Beth: 3/9/1974
Country of Residence; United States Country of Otizenship: United States
Has client resided outside
of hisrher country of
Address of primary nationality for 5 years or Oyes 10 No
residence:
more?
Profession/Occupation. Investment Advisor Tax ID 1 SSN:
Current Ern Moyer: J.P. Morgan Securities LLC Position/Title/Rank: Investment Advisor
Address of employer: 277 Park Ave New York NY United States 10172
Does the person work as senior executive of a DB-recognized regulated entity in
tne financial industry? or a entity listed on a DB-recognised exchange? (Not III Yes 12- No
applicable for operating entities
I g the individual a Politically Exposed Person (FEP)flif Yes. describe) N/A U Yes RI No
To the best of your knowledge, is the individual related to an employee of the DB
ii
Family Illi Friendship Eia None
groupWif Family or Friends/70. describe) N/A
To the best of your knowledge, is the individual party to a non-banking
relationship with Deutsche Bank (e.g.. external legal counsel. client referral 0 Yes .4 No
source, supplier of goods or services)?(if Yesiescribe ) N/A
:' applicable, indicate which bank officers have met Indicate where and when the client meeting(s) took place.
yne person:
Giant
Giant Place
Bank Officer Name(s) Bank Office Private Other Location (specify) Date
of Business:
Domicile:
D El ii
0 0
0 • •
i_i Wealth Details for this individual are not filled in, because they are the same as for the following person:
3B. Wealth Details (Only for parties requiring source of wealth description as Indicated In Section 2)
Nature of the Individuals Business
Primary Country of source of wealth/source of Funds?
Primary industry of source of Wealth/Source of
Funds?
0 Bueness Owner q Salary/Earnings 0 Investment 0 I nheritance/Gfts
Summarize Source of Wealth:
0 Other:
SDNY_GM_00064288
Imps://dbforcepb.my.salesforce.cagN N30000000D9Di8c... 11/14/2018
leetTI
CONFIDENTIAL - PURSUANT TO FED. R.VRiffrie A L DB-SDNY-0027113
EF1'A_00174794
EFTA01298903

KYC Print Page 14 of 23
Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate
wealth? For inheritance, h w did family accumulate w alth?For business owners, how long in business, how many employees level c'
profitability? Indicate type of business. countries of m jor activities, important business partners.)
Estimated Annual Income
Estimated amount of Investable assets(5):
S)
Estimated Net Worth(S): Amount of assets planned to invest with PWM(S)
Other Known Financial Institutions:
Institution: Country: Est Assets Under Mgt
Institution: Country: Est Assets Under Mgt:
institution: Country: Est Assets Under Mgt:
I
Please indicate the family situation of the individual (marital status. other family members, etc.):
SONY GM_000642119
Intp bforcepb.my.salesforce.ePer lerVENTIONLI30000000D9Di&-... 11/14/2018
CONFIDENTIAL - PURSUANT TO FED. R.VIRA stl DB-SDNY-0027114
EFTA_00174795
EFTA01298904

KYC Print Page 15 of 23
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. AccountOwnership Summar
3k Individual Details (for all parties)
Individual's Name: Lawrence Paul Msoski Jr - Date of Birth: 2/5/1960
Country of Residence: United States Country of Otizenship: United States
Has client resided outside
Address of primary o na f t h io is n t a h l e it r y c f o o u r n 5 t r y y e o a f r s or O Yes E NO
residence:
more?
Profession/Occupation: Manager Tax ID I SSN:
Current Employer: Hyperion Air LLC Positionadle/ Rank: Manager
Address of employer: 8100 Red Hook, Quarter B3 S. Thomas Virgin Islands, U.S. 00802
Does the person work as senior executive of a OB-recognized regulated entity in
the financial industry? or a entity listed on a 08-recognised exchange? (Not II Yes EZ 43
applicable for operating entities
Is the individual a Politically Exposed Person (PEP)P(ll Yes, describe) NIA U Yes RI No
ii U
To the best of your knowledge, is the individual related to an employee of the DB Family Friendship Eta None
groupWil Family or Friendship. describe) NIA
r T e o la t t h io e n b s e h s ip t o w f i t y h o u D r e k u n ts o c w h l e e d B g a e n , k is (e t . h g e ., i e nd xt iv e i r d n u a a l l l e p g a a rt l y c o to u n a s n e o l. n c - l b ie a n n t k r i e n f g e rral O Yes .4 No
source, supplier of goods or services)7(if YeAdescribe ) NIA
it applicable, indicate which bank officers have met Indicate where and when the client meeting(s) took place.
:he person:
Oient
giant Place
Bank Officer Name(s) Bank Office PrNate ness: Other Location (specify) Date
of Busi
Domicile:
0 ii •
O O O
O • •
i._.:Wealth Details for this individual are not filled in, because they are the same as for the following person:
3B. Wealth Details (Only for parties requinng source of wealth description as indicated in Section 21
Nature of the Individuals Business.
Primary Country of source of wealth/source of Funds?
Primary industry of source of Wealth/Source of
Funds?
O Business Owner ill Salary/Earnings O Investment EJ I nh e rit a n cei G ft s
Summarize Source of Wealth:
O Other:
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Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate
wealth? For inheritance, h w did family accumulate wealth?For business owners. how long in business, how many employees level o'
profitability? Indicate type of business, countries of major activities, important business partners.)
Estimated Annual Income
Estimated amount of Investable assets(S):
41
Estimated Net Worth(S): Amount of assets planned to invest with PWM(S)
Other Known Financial Institutions:
institution: Country. Est Assets Under Mgt
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Please indicate the family situation of the individual (marital status. other family members, etc.):
One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary
3C. Legal Entity Details (For all Legal Entities)
Legal Entity Name: J. Epstein Virgin Islands Foundation. Inc -
RIFounclationiAssociallon (.J Private Investment
0 Trust 0 Corn pany
Type of Entity: El Estate . Partnership PININne fe E".2Y Pnilanthropic/Otaritable 0
Commercial
Type of Entity Other Purpose of Entity
(specify): Other (specify)
Date of
Country of Vrgin Islands, V.S. 7/1412000
incorporation /
incorporationfregistration:
registration:
Identified on Customer Profile No
Volcker Status: Volcker Flag:
6100 Rod Hook Quarter B3 St, Thomas 00802 Virgin
Address (City, street, post U.S. TIN/El N:
stands, U.S.
code):
Provide a description of th entity's organizational structure, Its ownership structure and its Top Mans ement. For trusts/foundations.
include information about evocabilityeettlor and beneficiaries.etc.:
This is a 501 (c)3 foundation with Jeffrey Epstein serving as the President.
Darren Indyke serves as VP and Erika Kellerhals as Secretary/Treasurer. The signors on this account are Jeffrey Epstein, Darren Indyke
and Paul Barrett
Please indicate how ownership of the legal entity is reflected: Articles of Incorporation
• Special attention: Bearer Shares- Indicate where shares are custodied:
Describe the chain from the direct owner of the entity to the ultimate beneficial owner Woof She unit persons): This isa 501 (c)3
foundation with Jaffrey Epstein serving as the President.
Darren Indyke serves as VP and Erika Kellerhals as Secretary/Treasurer. The signors on this amount ere Jeffrey Epstein, Darren Indyke
and Paul Barrett
To the best of your knowledge, is the entity party to a non-banking relationship
with Deutsche Bank (e.g external legal counsel, client referral source, supplier of D
goods or services)?'. Yes No
NIA
Describe Haire of Entity's Primary Business and Investment Activities
J. Epstein Virgin Islands Foundation Inc aka Enhanced Education isa private
Nature of the business. nonprofit foundation which is organized exclusively for charitable. educational and
scientific purposes
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Countries where business is transacted Virgin Islands, U.S.
Number of employees 5
3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2)
Primary Country of source of wealth/source of
United States
Funds?
Primary industry of source of Wealth/Source of
High Risk Financial institutions
Funds?
Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assetWliabilities):
The initial donation came from Jeffrey Epstein's personal funds. These funds have then been infested and reinvested as the source of
income for the foundation. The profits the foundation gets from these investments are then reinvested or donated to charitable
endeavors
Estimated gross receipts p.a.(5). 400,000.00
Estimated net profit pa. (5): 250,000.00
Estimated investable assets (5): < 51 MM
Potential Amount to be invested with PWM (5): 300 000 00
Other Known Financial Institutions:
Institution: Country. Est. Assets Under Mgt
Institution: Country Est. Assets Under Mgt.
institution: Country. Est. Assets Under Mgt
One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary
3C. Legal Entity Details (For an Legal Ent it es)
Legal Entity Name: Hyperion M. LW- 00000457225
0
R}P rivate Investment
0 Foundation/Association CI Trust ®Company
Type of Entity: Purpose 0
D 0 of Entity: Philanthropic/Charitable
Estate Partnership
Commercial
Type of Entity Other Purpose of Entity
(specify): Other (specify):
Date of
Country of Virgin Islands, U.S. 10119/2012
incorporation /
incorporation/registration:
registration:
Identified on Customer Profile No
Volcker Status: Volcker Flag:
6100 Red Hook, Quarter 83 St, Thomas 00802 Virgin
Address (city, street, post U.S. TIN/El N:
Wands. U.S.
code):
Provide a description of lb entity's organizational structure, its ownership structure and Its Top Management. For trustsifoundabons,
include information about evocability.settlor and beneficiaries,etc.:
Single member LLC. Jeff re Epstein is sole member/owner. The signors on this account are Jeffrey Epstein, Harry Seller and Darren
Indyke
Please indicate how ownership of the legal entity is reflected: Operating Agreement
0 Special attention: Soarer Shares- Indicate where shares are custodied:
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Describe the chain from the dnd owner of the entity to the ultimate beneficial owner (if not the same persons): Single member LLC
Jeffrey Epstein is sole memberlowner. The signors on this account are Jeffrey Epstein, Harry Beller and Darren Indyke
To the best of your knowledge. is the entity party to a non-banking relationship
with Deutsche Bank (e g external legal counsel, client referral source. supplier of 0 No 2
Goods or services)/ Yes
WA
Describe Nature of Entity's Primary Business and Investment Activities
This is a company formed to hold funds for the taxes and payments of one o'
Nature of the business Jeffrey Epstein's airplanes. This LLC was formed to eventually take over parr Cr',,.
for Hyperion Air Inc. Hyperion Air Inc will be closed within a year
Countrieswhere business is transacted. Virgin Islands, U.S.
Number of employees: 1
3D. Wealth ProThe (Only for parties requiring source of wealth description as indicated in Section 2)
Primary Country of source of wealth/source of
United States
Funds/
Primary industry of source of Wealth/Source of
High Risk Financial Institutions
Funds?
Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets-Inabilities):
This is a company formed to hold funds for the taxes and payments of one of Jeffrey Epstein's airplanes. This LLC was formed to
eventually take over payments for Hyperion Air Inc. Hyperion Air Inc will be closed within a year. Initial capital contribution of $1,000
from Jeffrey Epstein. All funds for this company come from Jeffrey Epstein's source of wealth.
Estimated gross receipts p.a.(5): 1,000 000.00
Estimated net profit p.a. (5): 500,000.00
Estimated investable assets (5): <51 MM
Potential Amount to be invested with PWM (5): 150,000.00
Other Known Financial Institutions:
Institution: Country: Est Assets Under Mgt
Institution: Country: Est Assets Under Mgt
Institution: Country: Es: Assets Linos, Vs;
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DB PWM GLOBAL KYCINCA: US/ LatAm/ I orl PART B
Relationship Name SOUTHERN FINANCIAL RELATIONSHIP
Gel S 8 4864 7 • Overall Risk - HIGH, Entity Risk - MEDIUM, Industry Risk - HIGH, Country Risk - MEDIUM,
Risk Rating Comments Product Risk - MEDIUM. GC S a 487225 • Overall Risk - HIGH. Entity Risk - MEDIUM. Industry Risk - HIGH.
ILIII
Country Risk MEDIUM, Product Risk - HIGH.
Booking Center tai NY O Offshore • Moderate :;-, i High Risk
/ Offshore Rik
(Compliance Signature)
O DB Employee O 08 Managed PIC DOB is Trustee. Co-Tiu ee O Bearer Shares
4. Attachments I
A. Type of Photo ID Provided Drivers license SI Passport O National/Sate ID ❑Other
Darren Indyke • GC.S /I 486405
B. C se h a e r c c k h l e is s t i o s f a n t a ta m ch e e s d (i ndividuals and/or entities) that were submitted for database RI Yes O No
C. Please indicate the results of the database searches performed
RDC searches complete ga Yes O No negative results found RI Yes O No
PCR checks complete Eyes q No negative results found '' Yes • No
R es O O E0
OFAC checks complete No negative results found Yes No
Ell S searches complete (Lexis/Nexis, Factiva, Reuters, Dow
Jones, D&B) Yes O No negative results found ®Yes • No
R
Denial Orders checks complete Yes • No negative results found O Yes 74 No
Martindale-Hubbell searched (Lawyers/Law Firms only) R Yes ONo negative results found El Yes Ed No
0 Please summarize any negative results from the database searches indicated above J Epstein Virgin lidands Foundation Inc:
• No adverse information in Google results for J. Epstein Virgin Islands Foundation Inc News relates to tax return and nothing
negative. Negative news relates to Jeffrey Epstein's sex offence which are cleared already Attached clearances in this case.
- No court cases
Hyperion Ai LLC
• No adverse information In Google media results. Hyperion Air LLCs name is just mentioned in the Aircraft Newly Registered list on
antonakis.co.uk website
- No negative media
• No court cases
Jeffrey Edward Epstein:
- Adverse results in Google relates to Jeffrey's Sex offence in the past which are cleared already. Attached clearances in the case
• Negative media relates to the sex offence in the past which are already cleared. (KYC 6 - 01790655)
• Court cases relates to Jeffreys sex offence in the part which is already cleared, another (Gerber Et Al V. The Financial Trust
Company Et Al) is a recent ongoing dvil lawsuit pertaining to fraud which has been dismissed (attached document), but part of
normal business operations for this client. And in one of the case he's neither defendant nor plaintiff. He's just named as a
respondent and the case is immaterial in nature
- Criminal Filings relates to sex offence which is already cleared in the past
- RDC alert found • Sex offences in the past which has been cleared - Clearance attached
Darren Indyke:
• Negative news in Google does not pertain to Darren. It relates to Jeffrey Epstein's Foundation and Jeffrey Epstein's sex offence In
the past which are already cleared
• Court case mentioned in Google search relates to Jeffrey Epstein's sex offence in the past which has been cleared already. Darren is
just an attorney for Jeffrey in the case.
- Fircosoft alert has been cleared by AML Compliance. Clearance attached.
Harry Beller:
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- No adverse information in Google media results for our RP Harry Beller. Hits are False positives - on a scientist and an UN
Orthopedic doctor
• No negative media
• Harry Beller is the plaintiff in the court case, also it has been disposed.
Enka Kellerhals
- No negative media
- No court cases
Southern Trust Company Inc.
• No negative media
- No court cases
The Financial TruS Company
• Negative news in research is false positive and immaterial in nature The hit is on IRA Financial Trust Company and not our SOW
entity The Financial Trust Company.
• Court case pertains to First Financial Trust Company and not our SOW entity The Financial Trust Company
Paul S Barrett.
- No negative media
• No adverse results in Google search Those are false hits. There's a match in one news, but he's just mentioned as an Investment
advisor
• No court cases
- RDC alert found - False positives. does not pertain to our client. Age and location mismatch. Clearance attached.
Enhanced Education
• Hits on Google are on the term "Enhanced Education' and not on our entity's former name
- Negative media hits are on the term 'Enhanced Education' and not on our entity's former name
• Court cases have term 'Enhanced Education" included. the hit is not on our entity's former name
Lawrence Paul Visoski Jr
- No negative media
• No court cases
To the best of your knowledge. has the client ever been convicted of a criminal
E offense? :V iYes 11N o
To the best of your knowledge. has the customer ever been involved in any past
litigation against Deutsche Bank AG or any of its subsidiaries or is the customer
F threatening litigation against Deutsche Bank AG or any of its subsidiaries? (If YOS, Li Yes LV.JI No
provide details below and contact Quality Mgt. (LatAmant7) or the Regulatory
Control Group and notify Compliance immediately)
Does the client or related party have any finanaal or other assoctation I interactions
G within countries or regimes sanctioned by the Office of Foreign Assets Control D yes ['21No
(OFAC)?
Does the them or related party have any finanaal or other association/ interactions
H within high risk countries? .Yes No
I Corporate Documentation Attached (Legal Entities Only) WI Yes ri No .71 Not Applicable
J. Undisclosed Principal Form Complete (Intermediaries Only) n Yes ri No Not Applicable
K. If Lexistelexis Search Results. Corporate Documents or Other Supporting Documentation is not in English. please provide an English
summary of the nature/contents of the non-English Documentation:
L. Special Risk Factors
,..„ _....,.
Does the account have Nexus to Special Risk Countries? Li Yes kJ No
Is the account structure unusually complex? L] Yes WIN*
Is there any indication the client set up a non operating
company expressly for the purpose of transferring shares to E Yes r"- Q.-No
third parties?
Is there any indication this could be a prohibited busness
I Yes ."!1: No
relationship?
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Are the bearer shares identified subject to acceptable controls? Ej yes qisse
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M. Case Comments
Created By Date Comments
Mayur Rathod 9:24/118 3 16 AM No material changes confirmation 'email- attached in the case.
This KYC serves as Periodic Review for the following existing clients'
1) J Epstein Virgin Islands Foundation Inc.
(2) Hyperion Air LLC
Risk factors include'
Source of Wealth (SOW) Indudry: Financial Management
PEPiRCA- Jeffrey Epstein. UBO 8 SOW. is considered an RCA based on his dose relationship
With Bill Clinton and Prince Andrew.
• Media- Negative media related to Jeffrey Epstein has been previously reviewed and escalated
for reputations' flak concerns. Prior approval to proceed with the relationship may be found
Jeana Milligan 11114'118 3:16 PM under KYC 01082293. including a stipulation to review further if new media is identified
Accordingly, approval from the Divisional Control Officer is attached to this KYC in regards to a
recently filed (and dismissed) court case (Please see clearances for more details)
We are comfortable signing•off on this KYC for the following reasons.
• Information and supporting documents required by our AML Policy were provided and
reviewed. As a result, we have a reasonable understanding of the purpose of the account and
expected transaction activity.
• The source of wealth was sufficiently detailed and appears plausble.
• We performed due diligence searches on all parties and did not find the names searched to be
n any sanctions lists
Banker last spoke to Rchard Kahn. CFO of Epstein's family office on 1st Nov 2018 confirming
Mayur Rathod 11/131118 8:20 AM
o material changes to this KYC
ONSHORE APPROVALS
Client Facing Professional (CFP) Stewart Oldfield .Signature) 10/15/2018
Stewart Oldfield
Office Director/Business Head. Andrew F Gallivan .Signature) 10115/2018
Andrew F Gallivan
Regional Office Director. (Signature)
AML Business Risk
(Signature)
AML Compliance:
(Signature)
Jeana Milligan Jeana Milligan 11' t412018
LATAM/INTERNATIONAL APPROVALS
Client Facing Professional (CFP) (Sgnature)
Account Manager (Signature)
Gobal Market Team Head (Sgnature)
(GMTH)/Sub-Market Team Head
SsmTH)
AML Business Risk (Signature)
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PRIVATE WEALTH MANAGEMENT POLICY STATEMENT.• Deutsche Bank Private Wealth
Management (PWM) worldwide is committed to professionally serve the interests ofi ts clients. To do
so, Client Facing Professionalsl(I) 's) should establish andm aintain business relationships
only with persons who sail* 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
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 ofm y 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 clings) and that I have followed all the
procedures relating to account opening as described in the PWM Americas Procedures and the PWM
Global KYC Policy
(1) Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors, Product
Officers, Brokers, Client Managers, etc.
Deutsche Bank Americas New York
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