Datasets:

robbd
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epstein-index


DB PWM GLOBAL KYC/NCA: PART A
KYC Case # : 01790820
One sheet must be established per relationship - list all accounts included in the relationship
1. Relationship Detalls
Status: 6. Approved
Relationship Name:
Relationship Manager:
SOUTHERN FINANCIAL RELATIONSHIP: 00000483290
Stewart Oldfield
Booking Center:
New York
• New PWM Relationship
E Existing PM Relationship
Relationship to PWM:
f existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: ***This KY
a periodic review for high risk remediation**
Original KYC1748087
opening new checking account with account title as Zorro Management LLC(House Act) and adding 2 new signors:
El Client Referral
• RM Prospect
• Intermediary/FIM
• Other Source (CIB, etc.)
How Was the Clients
Introduced? How long has the
RM personally known the
reached out seal end on 7/17 tral aea, a tapened under 2r la agement and ec e agnos to this.
Does Deutsche Bank pay a
retrocession or similar
compensation to a third party
for the Introduction of this
• Yes R
El No
(If Yes, describe):
List all existing and new accounts Involved in this relatlonship
Legal Entity
Account Name / Number
Accounts)
Opening Date (Intended/actual)
Zorro Management, LLC - Deposit-42966807
2
Zorro Management, LLC (House Acct) 42967439
12/20/2016
3/13/2017
LSJE, LLC - Deposit-42959295
4
Mort, Inc - Deposit-42959017
5
Jeepers Inc- Brokerage-N4G024935
Hyperion Air, LLC - Deposit-42953432
Plan D LLC - Deposits-42953467
2/25/2015
2/6/2015
9/23/2013
10/18/2013
10/18/2013
JEGE LLC - Deposits-42953475
JEGE Inc - Deposits-42953459
10/18/2013
10/18/2013
Who is the primary contact
person for the RM? (Note: This
erson needs to have signator
Darren Indyke
referred method of contac
DB-SDNY-0000213
USAP 2894176




One sheet must be established for each account to be opened
2. Account Ownership Summary
Zorro Management, LLC - Deposit
Act. Number (if avaitatie.)t.

purpose or this courth to manage day expenses are carpany account, custody services, long term investment, payment expense accounty the
DB Group: Same Booking Center (Indicate account number): 42966807
L DB Group: Other Booking Center (Indicate DB location and account detalls):
• Other Institution - (Indicate name & location):
• Physical Deposits (specify cash, securities, cheques, ..):
What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month?: 0-10
Inflows/outflows between 50k and 100k on a monthly basis
rain the expected volume of assets and currency for the account approx. 90 days after
485559.78
What is the expected volume of assets and currency for the account approx one year after
opening?

Does/will the client have Assets Under Management (AuM) within DB under Eur. 3М?
Ores No
Please list 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 account (> 1 can be selected).
If none of the check boxes apply, describe the party's relation to the account in the "Other" column.
Always describe the relationship between the parties in the last column.
Please drill down to the ultimate/underlying Beneficial Owner(s).
Legal Description
Account PIC
Entityof Source
Holder OwnerTrust /
Beneficialor Full
of Wealth
Founder of Owner
required
Significant Legal
Grantor/Settlor Founding Other
Intermediary Shareholder Representative
Donor
please
(FIM)
(>=25%)
describe
other roles
entity
and/or
(indicate
indicate
ownership
relationship
between
parties)
•
L
Parties
elated to
this account
Zorro
Management, M
LLC
Jeffrey E.
Epstein
Darren
Indyke
•
•
DB-SDNY-0000214
U$A92899177




2. Account Ownership Summary
Zorro Management, LLC (House Acct)
stew oldfield
Acct. Number ( availables: 42967439
yate the purpose of the age the portal expenses er the compa gount, usody series, ng term investment, payment/expense accounty? The
Indicate from where the assets are experted to arrive?
• De Group: Same Booking Center (indicate account number): 42967439
• DB Group: Other Booking Center (indicate DB location and account detalls):
• Other Institution - (Indicate name & location):
• Physical Deposits (specify cash, securities, cheques, .):
What Is the expected size and frequency of regular Inflows and outflows for the account (indicate estimated number and volume per month)?: 0-10
nflows/outflows of no more than 15k on a monthly basis
rat is the expected volume of assets and curency for the account apro. 0 days after
9906.52
loreat is the expected volume of assets and currency for the accoune approx. one year after
12000
Does/will the client have Assets Under Management (AuM) within DB under Eur. 3М?
Please list 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 account (> 1 can be selected)
If none of the check boxes apply, describe the party's relation to the account in the Other" column
: Always describe the relationship between the parties in the last column.
Please drill down to the ultimate/underlying Beneficial Owner(5)-
Legal Description
AccountPIC
Settlor of Ultimate SignatoryLimited Financial
Significant Legal
Grantor/Settlor FoundingOther
Entityof Source
Holder OwnerTrust /
Beneficialor Full
of Wealth
Founder of Owner
POA
POA
intermeday sha holler Representative
Donor
(please
(>=25%)
required
Foundation
describe
Non-PIC
other roles
entity
and or
(Indicate
indicate
ownership
relationship
(%)
between
parties)
Parties
elated to
this account
Zorro
Management, IZ
LLC
Jeffrey E.
Epstein
Darren
Indyke
5
•
•
•
DB-SDNY-0000215
U$AP2894178




2. Account Ownership Summary
LSJE, LLC - Deposit
Acct. Number (i availate):.

protect act man a mortal ernese hear cou, urdy serves, ng tem westmen, parent ense cung? the
DE Group: Same Booking Center (Indicate account number): 42959295
• DB Group: Other Booking Center (indicate DB location and account detalls):
• Other Institution - (Indicate name & location):
• Physical Deposits (specify cash, securities, cheques, ...):
What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: 0-10
Inflows/outflows of $0-$30k on a monthly basis
opent is the expected volume of assets and currency for the account approx. 90 days after

opening the expected volume of asses and currency for the account approx one year after
| 350000
currency
Does/will the client have Assets Under Management (AuM) within DB under Eur. 3М?
• Yes No
Please list all parties related to the account.
For each party:
Check if a source of wealth description is required for the party.
• Check the appropriate bax to describe the relationship of the party to this account (> 1 can be selected).
If none of the check boxes apply, describe the party's relation to the account in the "Other" column.
: Always describe the relationship between the parties in the last column.
Please drill down to the ultimate/underlying Beneficial Owner(5)-
Legal Description
AccountPIC
Settlor of Ultimate Signatory Limited Financial
Significant Legal
Entityof Source
Holder OwnerTrust /
Beneficiallor Full
POA
of Wealth
Founder of Owner
PDA
intermedlary hareholder presentate Crater seton undininer
please
required
Foundation
entity
other roles
and/or
(indicate
indicate
ownership
relationship
between
(parties)
2
Parties
elated to
this
account
LSJE, LLC
Jeffrey E.
Epstein
Darren
Indyke
L
•
•
•
•
•
•
•
•
•
DB-SDNY-0000216
U$AP2894179




2. Account Ownership Summary
Mort, Inc - Deposit
Acct. Number (i avanadet

protect race man a mortal ernest hear cou, undy serves, ng tem westmen, parent ense cung? the
• DB Group: Same Booking Center (indicate account number): 42959017
• DB Group: Other Booking Center (indicate DB location and account detalls):
• Other Institution - (Indicate name & location):
• Physical Deposits (specify cash, securities, cheques, ...):
What is the expected size and frequency of regular inflows and outflows for the account (Indicate estimated number and volume per month)?: 0-5 Inflows/outflows
of less than $10k on monthly basis
vraing the expected wolume of assets and currency for the account approx. 90 days after
4853.12
opening the expected volume of asses and currency for the account approx one year after
6500
currency
Does/will the client have Assets Under Management (AuM) within DB under Eur. 3М?
Please list all parties related to the account.
For each party:
Check if a source of wealth description is required for the party.
• Check the appropriate bax to describe the relationship of the party to this account (> 1 can be selected).
: Always describe the relationship between the parties in the last column.
If none of the check boxes apply, describe the party's relation to the account in the "Other" column
Please drill down to the ultimate/underlying Beneficial Owner(5)-
Legal Description
AccountPIC
Settlor of Ultimate Signatory Limited Financial
Significant Legal
Entityof Source
Holder OwnerTrust /
Beneficiallor Full
POA
of Wealth
Founder of Owner
PDA
intermediary harshade kepresentate rantr/stion unding her"
please
required
Foundation
entity
other roles
and/or
(indicate
indicate
ownership
relationship
between
parties)
2
Parties
elated to
this
account
Mort, Inc
Jeffrey E.
Epstein
Darren
Indyke
L
•
•
•
•
•
•
DB-SDNY-0000217
USAP 2894180




2. Account Ownership Summary
Jeepers Inc- Brokerage
Act. Number (ir available: NAG024935
protect act man a ote arise team acum, undy serves, ng te en, parent ense cong? the
• DE Group: Same Booking Center (Indicate account number): N4G024935
• DB Group: Other Booking Center (indicate DB location and account detalls):
• Other Institution - (Indicate name & location):
• Physical Deposits (specify cash, securities, cheques, ...):
What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: 0/10
Inflows/outflows of less than $5k a month
opent is the expected volume of assets and currency for the account approx. 90 days after

opening the expected volume of asses and currency for the account approx. one year after
| 3149993
Does/will the client have Assets Under Management (AuM) within DB under Eur. 3М?
• Yes WINo
Please list all parties related to the account.
For each party:
Check if a source of wealth description is required for the party.
• Check the appropriate bax to describe the relationship of the party to this account (> 1 can be selected).
: Always describe the relationship between the parties in the last column.
It none of the check boxes apply, describe the party's relation to the account in the "Other" column.
Please drill down to the ultimate/underlying Beneficial Owner(5)-
Legal Description
AccountPIC
Settlor of Ultimate Signatory Limited Financial
Significant Legal
Grantor/Settlor Founding Other
Entityof Source
Holder Owner Trust /
Beneficiallor Full POA
Intermediary Shareholder Representative
Donor
Kplease
of Wealth
Founder of Owner
(FIM)
»=259)
describe
required
Foundation
Non-PIC
other roles
and/or
Kindicate
indicate
ownership
relationship
between
parties)
•
4
5
•
•
Parties
elated to
this
account
Jeepers,
Inc
Jeffrey E.
Epstein
Darren
Indyke
Jean Anne
Brennan
Wiebracht
Harry
Beller
•
•
•
•
•
L
•
•
•
•
•
•
•
•
DB-SDNY-0000218
U$A92894181




2. Account Ownership Summary
Hyperion Alr, LLC - Deposit
Acct. Number (if available:

yurpose of theraceunt tita manage g, montly expenses ent, dony account, custody services, long term investment, payment/expense account? Th
o manage the monthly expenses of the company
• DB Group: Same Booking Center (indicate account number): 42953432
• De Group: Other Booking Center (indicate DB location and account detalls):
• Other Institution - (Indicate name & location):
• Physical Deposits (specify cash, securities, cheques, ...):
What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: 0-3 Inflows/outflows
on a bi monthly basis of less than $5k
What is the expected volume of assets and currency for the account approx. 90 days after
100291.79
opening the expected volume of asses and currency for the account approx one year after
93500
(cumency
Does/will the client have Assets Under Management (AuM) within DB under Eur. ЗМ?
Please list 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 account (> 1 can be selected).
If none of the check boxes apply, describe the party's relation to the account in the "Other" column
: Always describe the relationship between the parties in the last column.
Please drill down to the ultimate/underlying Beneficial Owner(5)-
Legal Description
AccountPIC
Settlor of ultimate Signatory Limited Financial
Significant Legal
Grantor/Settlor Founding Other
Entityof Source
Holder OwnerTrust /
Beneficiallor Full
POA
of Wealth
Founder of Owner
PDA
Intermediary Shareholder Representative
Donor
please
*>=25%)
required
Foundation
describe
Non-PIC
entity
other roles
and/or
(indicate
indicate
ownership
relationship
between
parties)
•
•
Parties
elated to
this
account
Hyperion
Air, LLC
Jeffrey E.
Epstein
Darren
Indyke
Harry
Beller
•
•
•
•
•
•
•
L
•
•
DB-SDNY-0000219
USA92894182




2. Account Ownership Summary
Plan D LLC - Deposits
Acct. Number ( available).

protect act man a mortal reset her cou, undy serves, ng tem westmen, parent ense cung? the
• DB Group: Same Booking Center (indicate account number): 42953467
• DB Group: Other Booking Center (indicate DB location and account detalls):
• Other Institution - (Indicate name & location):
• Physical Deposits (specify cash, securities, cheques, ...):
What is the expected size and frequency of regular inflows and outflows for the account (Indicate estimated number and volume per month)?: 0-5 Inflows/outflows
between $10k and $150k on a monthly basis
opent is the expected volume of assets and currency for the account approx. 90 days after
229030.42
opening the expected volume of asses and currency for the account approx. one year after
160650.00
currency
Does/will the client have Assets Under Management (AuM) within DB under Eur. 3М?
• Yes No
Please list all parties related to the account.
For each party:
Check if a source of wealth description is required for the party.
• Check the appropriate bax to describe the relationship of the party to this account (> 1 can be selected).
It none of the check boxes apply, describe the party's relation to the account in the Other" column.
: Always describe the relationship between the parties in the last column.
Please drill down to the ultimate/underlying Beneficial Owner(5).
Legal Description
AccountPIC
Settlor of Ultimate Signatory Limited Financial
Significant Legal
Grantor/Settlor FoundingOther
Entityof Source
Holder Owner Trust /
Beneficialor Full
of Wealth
Founder of Owner
PDA
POA
Intermediary Shareholder Representative
Donor
please
(*=25%)
required
Foundation
describe
Non-PIC
entity
other roles
and/or
Kindicate
indicate
ownership
relationship
between
parties)
•
•
Parties
elated to
this
account
Plan D,
LLC
Jeffrey E.
Epstein
Darren
Indyke
Harry
Beller
•
•
•
•
•
•
•
L
•
DB-SDNY-0000220
USA92894183




2. Account Ownership Summary
JEGE LLC - Deposits
Acct. Number (i available).

protect race man a mortal ernest hear cou, undy serves, ng tem westmen, parent ense cung? the
• DB Group: Same Booking Center (indicate account number): 42953475
• DB Group: Other Booking Center (indicate DB location and account detalls):
• Other Institution - (Indicate name & location):
• Physical Deposits (specify cash, securities, cheques, ...):
What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: 0/10
Inflows/outflows of up to $100k on a monthly basis
vraing the expected volume of assets and currency for the account approx. 90 days after
176381.00
opent is the expected volume of assets and currency for the account approx. one wear after

Does/will the client have Assets Under Management (AuM) within DB under Eur. 3М?
•Yes VINo
Please list all parties related to the account.
For each party:
Check if a source of wealth description is required for the party.
• Check the appropriate bax to describe the relationship of the party to this account (> 1 can be selected).
In none of the check boxes apply, describe the party's relation to the account in the "Other" column.
: Always describe the relationship between the parties in the last column.
Please drill down to the ultimate/underlying Beneficial Owner(5)-
Legal Description
AccountPIC
Settlor of Ultimate Signatory Limited Financial
Significant Legal
Grantor/Settlor Founding Other
Entityof Source
Holder Owner Trust /
Beneficiallor Full
of Wealth
Founder of Owner
PDA
POA
Intermeday hareholder Representative
Donor
Kplease
(>=25%)
required
Foundation
describe
Non-PIC
entity
other roles
and/or
Vindicate
indicate
ownership
relationship
between
parties)
•
Parties
elated to
this
account
JEGE, LLC
Jeffrey E.
Epstein
Darren
Indyke
Harry
Beller
•
•
•
•
•
•
L
•
DB-SDNY-0000221
USA92894184




2. Account Ownership Summary
JEGE Inc - Deposits
Acct. Number (i available.
* 42953459
pose of the account ts to manager, mortfle management, advisory account, custody services, ng-term investment, payment/expense accounty? T
manage the monthly expenses of the compa
DB Group: Same Booking Center (indicate account number): 42953459
• De Group: Other Booking Center (indicate DB location and account detalls):
• Other Institution - (Indicate name & location):
• Physical Deposits (specify cash, securities, cheques, ...):
What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: 0-5 Inflows/outflows
of less than $5k on a monthly basis
What is the expected volume of assets and currency for the account approx. 90 days after
opening?
963187.55
opening the expected volume of asses and currency for the account approx one year after

Does/will the client have Assets Under Management (AuM) within DB under Eur. ЗМ?
•Yes No
Please list all parties related to the account.
For each party:
Check it a source of wealth description is required for the party
• Check the appropriate bax to describe the relationship of the party to this account (> 1 can be selected)
If none of the check boxes apply, describe the party's relation to the account in the Other" column.
: Always describe the relationship between the parties in the last column.
Please drill down to the ultimate/underlying Beneficial Owner(5)-
Legal Description
AccountPIC
Settlor of Ultimate Signatory Limited Financial
Significant Legal
Grantor/Settlor FoundingOther
Entityof Source
Holder Owner Trust /
Beneficiallor Full
POA
of Wealth
Founder of Owner
PDA
Intermediary Shareholder Representative
Donor
Kplease
[>=25%)
required
Foundation
describe
Non-PIC
entity
other roles
and/or
Kindicate
Indicate
ownership
relationship
between
parties)
•
•
Parties
elated to
this
account
JEGE, Inc
Jeffrey E.
Epstein
Darren
Indyke
Harry
Beller
•
•
•
•
•
•
L
•
DB-SDNY-0000222
USA92894185




ne sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summar
Country of Residence:
Darren Indyke -
USA
Date of Birth:
Country of Citizenship:
Has client resided outside o
Address of primary residence:
Profession/Occupation:
Lawyer
Current Employer:
Southern Financial LLC
Address of employer:
575 Lexington Ave, 4th Fl Livingston NY United States 10022
loes the person work as senior executive of a DB-recognized regulated entity in the financi
dustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitle
Tax ID / SSN:
Position/Title/Rank:
• Yes EiNo
Is the individual a Potically Exposed Person (PEP)? (if Yes, describe.)
•Yes
To thy are of out, deterge, the individual related to an employe of the De group if
O Family
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 source, supplier of goods or services)?
(if Yes, describe )
•Yes
M No
USA
• Yes No
•Friendship None
If applicable, indicate which bank officers have met the person:
Indicate where and when the dient meeting(s) took place:
Bank Officer Name(s)
Stewart Oldfield
Bank Office:
Client Private
Domicile:
Olent Place of
Other Location (specify):
Business:
•
Date:
12/12/2016
J 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 Individual's Business:
Primary Country of source of wealth/source of Funds?
Primary Industry of source of Wealth/Source of Funds?
Summarize Source of Wealth:
•Business Owner salary/Earnings investment Inheritance/Gifts other:
Puter ecle fore were seal the is of eat for each of the same la, for eve, re did set cause real on erase a
activities, Important business partners.)
Estimated Annual Income($):
Estimated amount of investable assets$):
Estimated Net Worth($):
Amount of assets planned to invest with PM $):
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.):
DB-SDNY-0000223
USAP2893186




DB-SDNY-0000224
USAP2891187




ne sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summar
Country of Residence:
USA
Address of primary residence:
Profession/Occupation:
Manager
Current Employer:
Zoro Management
Address of employer:
St Thomas United States
loes the person work as senior executive of a DB-recognized regulated entity in the financi
dustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitle
Date of Birth:
Country of Citizenship:
Has client resided outside of
for 3 years or of atonality
Tax ID / SSN:
Position/Title/Rank:
• Yes EiNo
Is the individual a Potically Exposed Person (PEP)? (if Yes, describe.)
•Yes
VINo
USA
• Yes No
Manager
To thy are of out, deterge, the individual related to an employe of the De group if
•Family
•Friendship None
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 source, supplier of goods or services)?
•Yes
(if Yes, describe )
M No
If applicable, indicate which bank officers have met the person:
Indicate where and when the dient meeting(s) took place:
Bank Officer Name(s)
Bank Office:
Client Private
Domicile:
Olent Place of
Business:
Other Location (specify):
•
Date:
J Wealth Detalls 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 Individual's Business:
Primary Country of source of wealth/source of Funds?
Primary Industry of source of Wealth/Source of Funds?
Summarize Source of Wealth:
•Business Owner salary/Earnings investment Inheritance/Gifts other:
Puter ecle fore were seal the is of eat for each of the same la, for eve, re did set cause real on erase a
activities, Important business partners.)
Estimated Annual Income($):
Estimated amount of investable assets$):
Estimated Net Worth($):
Amount of assets planned to invest with PM $):
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.):
DB-SDNY-0000225
USAP2893188




DB-SDNY-0000226
USAP 2891189




ne sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summar
Country of Residence:
USA
Address of primary residence:
Profession/Occupation:
Manager
Current Employer:
Zorro Management LLC
Address of employer:
USVI United States
loes the person work as senior executive of a DB-recognized regulated entity in the financi
dustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitle
Date of Birth:
Country of Citizenship:
Has client resided outside of
for 3 years or of atonality
Tax ID / SSN:
Position/Title/Rank:
• Yes EiNo
Is the individual a Potically Exposed Person (PEP)? (if Yes, describe.)
•Yes
USA
• Yes No
Manager
To thy are of out, deterge, the individual related to an employe of the De group if
•Family
•Friendship None
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 source, supplier of goods or services)?
•Yes
(if Yes, describe )
M No
If applicable, indicate which bank officers have met the person:
Indicate where and when the dient meeting(s) took place:
Bank Officer Name(s)
Bank Office:
Client Private
Domicile:
Olent Place of
Business:
Other Location (specify):
•
Date:
J Wealth Detalls 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 Individual's Business:
Primary Country of source of wealth/source of Funds?
Primary Industry of source of Wealth/Source of Funds?
Summarize Source of Wealth:
•Business Owner salary/Earnings investment Inheritance/Gifts other:
Puter ecle fore were seal the is of eat for each of the same la, for eve, re did set cause real on erase a
activities, Important business partners.)
Estimated Annual Income($):
Estimated amount of investable assets$):
Estimated Net Worth($):
Amount of assets planned to invest with PM $):
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.):
DB-SDNY-0000227
USAP2895190




DB-SDNY-0000228
USAP 2891191




e sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa
1. Individual Details (for all partie
Country of Residence:
Harry Beller-
USA
Address of primary residence:
Profession/Occupation:
Accountant
Current Employer:
HBRK Associates, Inc
Address of employer:
575 Lexington Avenue, 4th Floor Monsey NY United States 10022
ses the person work as senior executive of a DB-recognized regulated entity in the financ
Justry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entit
Date of Birth:
Country of Citizenship:
Has clent resided outside of
for ye country of atonality,
Tax ID / SSN:
Position/Title/Rank:
USA
• Yes No
• Yes No
Is the individual a Potically Exposed Person (PEP)? (if Yes, describe.)
•Yes
To thy are of out, deterge, the individual related to an employe of the De group if
•Family
•Friendship None
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 source, supplier of goods or services)?
(if Yes, describe )
•Yes
M No
If applicable, indicate which bank officers have met the person:
Indicate where and when the dient meeting(s) took place:
Bank Officer Name(s)
Bank Office:
Client Private
Domicile:
Olent Place of
Business:
Other Location (specify):
•
Date:
J Wealth Detalls 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 Individual's Business:
Primary Country of source of wealth/source of Funds?
Primary Industry of source of Wealth/Source of Funds?
Summarize Source of Wealth:
•Business Owner salary/Earnings investment Inheritance/Gifts other:
Puter ecle fore were seal the is of eat for each of the same la, for eve, re did set cause real on erase a
activities, Important business partners.)
Estimated Annual Income($):
Estimated amount of investable assets$):
Estimated Net Worth($):
Amount of assets planned to invest with PM $):
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.):
DB-SDNY-0000229
USAP2893192




DB-SDNY-0000230
USAP2894193




ne sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summar
Country of Residence:
Jeffrey E. Epstein - 00000483289
USVI
Address of primary residence:
Litte Saint James Saint Thomas 00802
Profession/Docupation:
Self Empolyed
Current Employer:
Southern Financial LLC
Address of employer:
6100 Red Hook Quarter B3 St. Thomas United States 00802
loes the person work as senior executive of a DB-recognized regulated entity in the financi
ndustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitie
| Date of Birth:
Country of Citizenship:
as client resided outside
us 5 years or morational
Tax ID / SSN:
Position/Title/Rank:
Ores No
i the individual a Politically Exposed Person (PEP)? (i Yes, describe) close relationship with Bill
M Yes
linton and Prince Andres
To the best of your, delege, is the individual related to an employe of the De group (ir
•Family
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 source, supplier of goods or services)?
•Yes
(if Yes, describe )
1/20/1953
USA
• Yes No
President
•Friendship None
M No
If applicable, indicate which bank officers have met the person:
Indicate where and when the dient meeting(s) took place:
Bank Officer Name(s)
stew oldielf
Bank Office:
Client Private
Domicile:
Olent Place of
Business:
Other Location (specify):
Date:
6/28/2017
J Wealth Detalls 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 Individual's Business:
Primary Country of source of wealth/source of Funds?
Primary Industry of source of Wealth/Source of Funds?
Summarize Source of Wealth:
•Business Owner salary/Earnings investment Inheritance/Gifts other:
Puter ecle soured were real the is of eat french of the sauces la, for eve red set cause rest for cera mad.
activities, Important business partners.)
Estimated Annual Income($):
Estimated amount of investable assets$):
Estimated Net Worth($):
Amount of assets planned to invest with PM $):
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.):
DB-SDNY-0000231
USAP2893194




DB-SDNY-0000232
USAP 2891195




ne sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summar
A. Individual Details (for all parties
Country of Residence:
Jean Anne Brennan Wiebracht -
USVI
Address of primary residence:
Profession/Docupation:
Finance
Current Employer:
Southern Financial, LLC
Address of employer:
6100 Red Hook Quarter, B3 St, Thomas United States 00802
oes the person work as senior executive of a DB-recognized regulated entity in the financi
dustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitle
| Date of Birth:
Country of Citizenship:
as client resided outside
or 3 years or of eational
Tax ID / SSN:
Position/Title/Rank:
912/1960
USA
• Yes No
• Yes EiNo
Is the individual a Potically Exposed Person (PEP)? (if Yes, describe.)
•Yes
To the bet of youp, delete, is the malidual red to an employee of the De group (ir
•Family
•Friendship None
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 source, supplier of goods or services)?
(if Yes, describe )
•Yes
M No
If applicable, indicate which bank officers have met the person:
Indicate where and when the dient meeting(s) took place:
Bank Officer Name(s)
Bank Office:
Client Private
Domicile:
Olent Place of
Business:
Other Location (specify):
•
Date:
J Wealth Detalls 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 Individual's Business:
Primary Country of source of wealth/source of Funds?
Primary Industry of source of Wealth/Source of Funds?
Summarize Source of Wealth:
•Business Owner salary/Earnings investment Inheritance/Gifts other:
Puter ecle fore were seal the is of eat for each of the same la, for eve, re did set cause real on erase a
activities, Important business partners.)
Estimated Annual Income($):
Estimated amount of investable assets$):
Estimated Net Worth($):
Amount of assets planned to invest with PWM($):
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.):
DB-SDNY-0000233
USAP2893196




one shet must be established for EACH LEGAL ENITY legation count sun ega ente
Legal Entity Name:
Type of Entity:
Zomo Management, LLC - 00000550331
•Foundation/ Assolation Trust l Company Estate
Purpose of Entity:
• Partnership
private Investment O
Philanthropic/Charitable commendal
Type of Entity Other (specify):
LLC
Corporation/registration:
USA
pure spect:
regate norporation 12/1442016
Volcker Status:
Identified on Customer Profile
Volcker Flag:
No
Address (city, street, post
6100 Red Hook Quarter, B3 St. Thomas; USVI 00802 United
code):
States
U.S. TINEIN:

Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about
revocability,settior and beneticares, etc.:
Jeffrey Epstein is the sole manager and owner of this entity.
Signors on this account will be:
Jeffrey Epstein
Darren Indyke
Signors on the house acct are:
Jeffrey Epstein
Darren Indyke
Please indicate how ownership of the legal entity is reflected:
- Special attention: Bearer Shares - Indicate where shares are custodied:
Describe the chain from the direct owner of the entity to the ultimate beneficial owner (if not the same persons. Jeffrey Epstein is the sole manager and owner of
Signors on this account will be:
Jeffrey Epstein
Darren Indyke
Signors on the house acct are:
Jeffrey Epstein
Darren Indyke
To the ge of a legal edge, is entire party to eat of greatner with erse.
Describe Nature of Entity's Primary Business and Investment Activities
Nature of the business:
Countries where business is transacted:
USA
Number of employees:
1+
Yes • No M
area state rolan core eye on any formed to run and operate lates sodased
3D. Wealth Profile (Only for partles requiring source of wealth description as Indicated in Section 2)
Primary Country of source of wealth/source of Funds?
Primary industry of source of Wealth/Source of Funds?
Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities):
This company is funded by Jeffrey Epsteln's personal wealth
Estimated gross receipts ($):
Estimated net profit • ($):
1,000,000.00
1,000,000.00
DB-SDNY-0000234
U$AP2893197




Estimated investable assets ($):
$1 MM - 2 MM
Potential Amount to be invested with PWM ($):
Other Known Financial Institutions:
Institution:
Institution:
Institution:
Country:
Country:
Est. Assets Under Mgt:
Est. Assets Under Migt:
Country:
Est. Assets Under Mgt:
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:
Type of Entity:
LSJE, LLC - 00000499733
•Foundation/Association Trust El Company Estate
•Partnership
Purpose of Entity:
private Investment
Philanthropic/Charitable Commerdal
Type of Entity Other (specify):
(corporation/registration:
USA
Pete bor pration 10/27/2011
Volcker Status:
Determination Required
Volcker Flag:
No
Address (city, street, post
6100 Red Hook Quarter, B3 St. Thomas 00802 United States
U.S. TIN/EIN:
66-077615
code):
Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, Include Information about
revocability, settlor and benefidarles, etc.:
LSJE Is a single member LLC. Jeffrey Epstein Is the sole owner and member. He owns 100% of the 100 shares Issued. The signors on this account are Jeffrey
Epstein and Darren Indyke
Please indicate how ownership of the legal entity is reflected:
• Special attention: Bearer Shares - Indicate where shares are custodied:
Describe the chain from the direct owner of the entity to the ultimate beneficial owner (if not the same persons:
Tanth eg of goal legal counsel, then tete pal so to ce, supple of goat or hip with Deutsche
Describe Nature of Entity's Primary Business and Investment Activities
Nature of the business:
LSJE, LLC was established for purposes of maintaining payroll and maintenance related expenses
of Jeffrey Epstein's private residence. No business purpose.
Countries where business is transacted:
USA
Number of employees:
1
3D. Wealth Profile (Only for partles requiring source of wealth description as indicated in Section 2)
Primary Country of source of wealth/source of Funds?
Primary industry of source of Wealth/Source of Funds?
Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/labilities):
Sure from tire st, a cald or pos of martin part and mine repes of tie pens pirate resence.
Estimated gross receipts ($):
Estimated net profit • ($):
Estimated investable assets ($):
100,000.00
$2 MM - 5 MM
Potential Amount to be invested with PWM ($):
Other Known Financial Institutions:
DB-SDNY-0000235
USAP2893198




Institution:
DB
/ Country:
LUSA
| Est. Assets Under Mgt:
|200,000.00
Institution:
Institution:
Country:
Est. Assets Under Mgt:
Est. Assets Under Mgt:
Country:
One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary
3C. Legal Entity Detalls (For all Legal Enties)
Legal Entity Name:
Type of Entity:
Mort, Inc - 00000487266
•Foundation/Association Trust El Company •Estate
•partnership
Purpose of Entity:
private Investment
Philanthropic/Charitable Commerdal
Type of Entity Other (specify):
Purpose of Entity
Other (specify):
ountry c
corporation/registration
USVI
rage of corporation / 4/12/2011
Volcker Status:
Determination Required
Volcker Flag:
No
Address (city, street, post
6100 Red Hook Quarter, B3 St, Thomas 00802 United States
U.S. TIN/EIN:
66-0765963
code):
Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about
revocability, settlor and beneficarles, etc.:
Corporation with 1000 Issued. All issued shares are owned by Jeffrey Epstein. Jeffrey Epstein is the President and sole shareholder and owner. The signors on this
account are Jeffrey Epstein and Darren Indyke
Please indicate how ownership of the legal entity is reflected:
/ Special attention: Bearer Shares - Indicate where shares are custodied:
Describe the chain from the direct owner of the entity to the ultimate beneficial owner (if not the same persons:
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 goods or services)?:
Yes •NoM
Describe Nature of Entity's Primary Business and Investment Activities
Nature of the business:
Investment holding company. A private company that is used to hold investements that the sole
owner, Jeffrey, would like to keep separate from other investments
Countries where business is transacted:
USVI
Number of employees:
2
3D. Wealth Profile (Only for partles requiring source of wealth description as indicated in Section 2)
Primary Country of source of wealth/source of Funds?
Primary industry of source of Wealth/Source of Funds?
Capta contention so one ey pane shet or equale suma drase lates:
Estimated gross receipts • ($):
Estimated net profit ($):
100,000.00
100,000.00
<$1 MM
Estimated investable assets ($):
Potential Amount to be invested with PWM ($):
Other Known Financial Institutions:
Institution:
Institution:
Country:
Country:
USA
Est. Assets Under Mgt:
Est. Assets Under Mgt:
100,000.00
Institution:
Country:
One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary
Est. Assets Under Mgt:
DB-SDNY-0000236
U$AP2894199




3C. Legal Entity Detalls (For all Legal Entities)
Legal Entity Name:
Type of Entity:
Jeepers, Inc - 00000486423
•Foundation/Association Trust l Company Estate Purpose of Entity:
•Partnership
private Investment •
Philanthropic/Charitable Commerdal
Type of Entity Other (specify):
Country of
incorporation/registration:
United States Virgin Island
rested corporation 81872003
Volcker Status:
Determination Required
Volcker Flag:
No
Address (city, street, post
6100 Red Hook Quarter B3 St, Thomas 00802 United States
U.S. TIN/EIN:
66-0629193
code):
Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, Include Information abour
revocability, settlor and benefidarles, etc.:
Jeffrey Epstein is the sole shareholder of Jeepers Inc. The signors on this account are Jeffrey Epsteln, Jeanne Brennan, 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 chain from the direct owner of the entity to the ultimate beneficial owner (iF not the same persons:
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 goods or services)?:
Yes ONoM
Describe Nature of Entity's Primary Business and Investment Activities
Nature of the business:
Jeepers Inc is a private company that holds investments of its owner, Jeffrey Epstein.
Countries where business is transacted:
USA, USVI
Number of employees:
3D. Wealth Profile (Only for partles requiring source of wealth description as indicated in Section 2)
Primary Country of source of wealth/source of Funds?
Primary industry of source of Wealth/Source of Funds?
Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities):
Jeepers Inc was started to hold the personal investments of Jeffrey Epstein. The company began with 1,000 shares of common stock at no par value. Its revenue
comes from the gains of the investments It holds.
Estimated gross receipts ($):
400,000.00
Estimated net profit _ ($):
200,000.00
Estimated investable assets ($):
Potential Amount to be invested with PWM ($):
Other Known Financial Institutions:
Institution:
DB
<$1 MM
Country:
USA
Est. Assets Under Mgt:
200,000.00
Institution:
Institution:
Country:
Country:
ne sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summar
C. Legal Entity Detalls (For all Legal Entitie
Est. Assets Under Mgt:
Est. Assets Under Mgt:
Legal Entity Name:
Type of Entity:
Hyperion Air, LLC - 00000487225
•Foundation/Assolation Trust Company Estate
•Partnership
Purpose of Entity:
private Investment
Philanthropic/Charitablecommerdal
DB-SDNY-0000237
U$A92891200




Type of Entity Other (specify):
Purpose of Entit
Other (specify)
Country of
Incorporation/registration:
US Virgin Islands
Pages of corporation 10/19/2012
Volcker Status:
Determination Required
Volcker Flag:
No
Address (city, street, post
6100 Red Hook, Quarter B3 St, Thomas 00802
U.S. TIN/EIN:
66-0795359
code):
Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about
revocability, settior and benefidarles, etc.:
Single member LLC. Jeffrey Epstein is sole member/owner. The signors on this account are Jeffrey Epstein, 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 chain from the direct owner of the entity to the ultimate beneficial owner (If not the same persons:
To the go of a legal edge, tent party to rebe greatner with erse.
/ Yes •NoM
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 of Jeffrey Epstein's
Nature of the business:
airplanes. This LLC was formed to eventually take over payments for Hyperion Air Inc. Hyperior
Air Inc will be closed within a yea
Countries where business is transacted:
USA, USVI
Number of employees:
1
3D. Wealth Profile (Only for partles requiring source of wealth description as indicated in Section 2)
Primary Country of source of wealth/source of Funds?
Primary industry of source of Wealth/Source of Funds?
Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities):
This Is a company formed to hold funds for the taxes and payments of one of Jeffrey Epstein's alrplanes. 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 $1,000 from Jeffrey Epstein. All funds for this company come from
effrey Enstein's source of wealth.
Estimated gross recepts ($):
Estimated net profit ($):
1,000,000.00
500,000.00
Estimated investable assets ($):
<$1 MM
Potential Amount to be invested with PWM ($):
Other Known Financial Institutions:
Institution:
Institution:
Institution:
Country:
Country:
Country:
One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary
3C. Legal Entity Details (For all Legal Entities)
Est. Assets Under Mgt:
Est. Assets Under Mgt:
Est. Assets Under Mgt:
Legal Entity Name:
Type of Entity:
Plan D, LLC - 00000487219
foundation/Association Trust Company Estate Purpose of Entity:
•partnership
private Investment O
Philanthropic/Charitable commerdal
Type of Entity Other (specify):
US Virgin Islands
10/19/2012
DB-SDNY-0000238
USA92899201




| Country of
incorporation/registration:
| regist corporation / |
Determination Required
Volcker Status:
Volcker Flag:
No
Address (city, street, post
6100 Red Hook, Quarter B3 St, Thomas 00802 United States U.S. TIN/EIN:
66-0795246
code):
Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, Include information about
revocability,settior and beneficarles, etc.:
Single member LLC. Sole member Is Jeffrey Epstein. The signors on this account are Jeffrey Epsten, 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 chain from the direct owner of the entity to the ultimate beneficial owner (if not the save persons:
ank eg. of ernal legal counsel, chent reterral sotre, supplek of gods ortiries Deutsche
Yes L Not
Describe Nature of Entity's Primary Business and Investment Activities
Nature of the business:
LLC created to hold funds to pay for costs assoclated with one of Jeffrey Epstein's planes
Countries where business is transacted:
USA, USI
Number of employees:
3D. Wealth Profile (Only for partles requiring source of wealth description as indicated in Section 2)
Primary Country of source of wealth/source of Funds?
Primary industry of source of Wealth/Source of Funds?
Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities):
amera tere stes to pay for costs associated with one of Jeffrey Epstein's planes. Initial contribution of 51,000 from Jeffrey Epstein and all source of funds
Estimated gross receipts ($):
1,000,000.00
Estimated net profit • ($):
500,000.00
Estimated investable assets (S):
<$1 MM
Potential Amount to be invested with PWM (S):
Other Known Financial Institutions:
Institution:
Country:
Est. Assets Under Mgt:
Institution:
Institution:
Country:
Country:
One sheet must be established for EACH LEGAL ENTITY In Section 2. Account Summary
3C. Legal Entity Detalls (For all Legal Entitles)
Est. Assets Under Mgt:
Est. Assets Under Mgt:
Legal Entity Name:
Type of Entity:
JEGE, LLC - 00000487216
•Foundation/Association Trust & Company Estate
•partnership
Purpose of Entity:
private Investment O
Philanthropic/Charitable commerdal
Type of Entity Other (specify):
contration/ registration:
USVI
rest no praton 10/19/2022
Volcker Status:
Determination Required
6100 Red Hook, Quarter B3 St, Thomas 00802 United States
Volcker Flag:
U.S. TIN/EIN:
No
66-0795442
DB-SDNY-0000239
USAP2891202




Address (city, street, post
code):
Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include Information about
revocability,settior and benefidarles, etc.:
Single member LLC. Jeffrey Epstein is the sole member. The signors on this account are Jeffrey Epstein, 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 chain from the direct owner of the entity to the ultimate beneficial owner (if not the same persoras:
Take get of your legal counsel, then neera stre, supple of goats or her ith reutsche
Yes ONoM
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 of Jeffrey Epstein?
Nature of the business:
airplanes. This LLC was formed to eventually take over payments for JEGE Inc. JEGE Inc will be
closed within a year
Countries where business is transacted:
USA, USVI
Number of employees:
1
3D. Wealth Profile (Only for partles requiring source of wealth description as indicated in Section 2)
Primary Country of source of wealth/source of Funds?
Primary Industry of source of Wealth/Source of Funds?
Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities):
Initial funding of $1,000 from sole member Jeffrey Epstein. All corporate assets come from contributions made by the sole owne
Estimated gross receipts ($):
100,000.00
Estimated net profit
($):
100,000.00
<$1 MM
Estimated investable assets ($):
Potential Amount to be invested with PWM ($):
Other Known Financial Institutions:
Institution:
IDB
Country:
USA
Est. Assets Under Mgt:
100,000.00
Institution:
Country:
Est. Assets Under Migt:
Institution:
Country:
One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary
3C. Legal Entity Detalls (For all Legal Entities)
Est. Assets Under Mgt:
Legal Entity Name:
Type of Entity:
JEGE, Inc - 00000487244
•Foundation/Assocation Trust El Company Estate
•Partnership
Purpose of Entity:
private Investment O
Philanthropic/Chantable •commerdal
Type of Entity Other (specify):
Country of
Incorporation/registration:
USA
regist no oration 19/7/2000
Volcker Status:
Determination Required
Volcker Flag:
No
Address (city, street, post
6100 Red Hook, Quarter B3 St, Thomas 00802 United States
U.S. TIN/EIN:
51-0405649
code):
Provide a description of the entity's organizational structure, Its ownership structure and its Top Management. For trusts/foundations, include information about
revocability, settlor and beneficarles, etc.:
Jeffrey Epstein is the sole owner. The signors on this account are Jeffrey Epstein, Harry Beller and Darren Indyke
Please indicate how ownership of the legal entity is reflected:
DB-SDNY-0000240
USA92899203




• Special attention: Bearer Shares - Indicate where shares are custodied:
Describe the chain from the direct owner of the entity to the ultimate beneficial owner (if not the same persons:
To the of you kel cogs is the enterat to a spank or goats or even eutsche ves 1 o
Describe Nature of Entity's Primary Business and Investment Activities
Nature of the business:
Holds funds to pay for costs associated with an alrplane owned by Jeffrey Epstein.
Countries where business is transacted:
Number of employees:
USa, USI
1
3D. Wealth Profile (Only for partles requiring source of wealth description as indicated in Section 2)
Primary Country of source of wealth/source of Funds?
Primary industry of source of Wealth/Source of Funds?
aron pral ins of er can set one bian the or are sure a er asiate of wealth.
Estimated gross recepts • ($):
1,000,000.00
Estimated net profit ($):
1,000,000.00
Estimated investable assets (S):
<$1 MM
Potential Amount to be invested with PWM (S):
Other Known Financial Institutions:
Institution:
Institution:
Country:
Est. Assets Under Mgt:
Country:
Est. Assets Under Mgt:
Institution:
Country:
Est. Assets Under Mgt:
DB-SDNY-0000241
USA92891204




DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART B
Relationship Name
Risk Rating Comments:
SOUTHERN FINANCIAL RELATIONSHIP
Booking Center
VINY
NY/Offshore
Dofshore
•Moderate High Risk
Yoonsun Chung
Risk
•De Employee
L DB Managed PIC
• D8 is Trustee/Co-Trustee
(Compliance Signature)
1O Bearer Shares
4. Attachments
A Type of Photo ID Provided
Drivers License Passport National/State ID _ other
B. Checklist of names (Individuals and/or entities) that were submitted for database searches is attached Yes •No
C. Please indicate the results of the database searches performed
D.
E.
RDC searches complete
Yes No
negative results found
-Yes •No
PCR checks complete
Yes
•No
negative results found
•Yes ENo
OFAC checks complete
M Yes
UNO
negative results found
Dres No
BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones,
Yes
•NO
negative results found
•Yes No
Denial Orders checks complete
M Yes
•No
negative results found
Ores ENo
Martindale-Hubbell searched (Lawyers/Law Firms only)
•Yes ZINo
negative results found
•Yes • No
Please summarize any negative results from the database searches indicated above:
In the attached legal proceedings, one is a false positive for Jeffrey S
stein (not Jeffrey E. Epstein) and the other contains no new information. The case relates to jurisdiction over disclosing correspondence from a previous tria
that was addressed in previous KYC case 01790655.
The named plaintiff for
is referencing a
court cases regarding
of Detroit, Michigan and
residing in Los Angeles, CA and not
residing in New Mexico. Same with ti
wil suit from New Jersey. These are false positives and not a match with the
in this kc.
The civil case found in
research is also a false positive as it lists the defendant as Gordan Brice of San Bernadino CA and not Brice M. Gordan
from New Mexico that is noted in this KYC
To the best of your knowledge, has the dient ever been convicted of a criminal offense?
•Yes M No
To the best of your knowledge, has the customer ever been involved in any past litigation against
F.
Deutsche Bank AG or any of its subsidiaries or is the customer threatening Wtigation against Deutsche Yes M No
Bank AG or any of its subsidiaries? (If Yes, provide detais below and contact Quality Mgt.
(LatAm/Int?) or the Regulatory Contra/ Group and notify Compliance immediately)
G.
Does the client or related party have any financial or other association / interactions within countries
or regimes sanctioned by the Office of Foreign Assets Control (OFAC)?
Does the client or related party have any financial or other association/ Interactions within high risk
Corporate Documentation Attached (Legal Entities Only)
EYes ONo Not Applicable
Undisclosed Principal Form Complete (Intermediaries Only)
•Yes No Not Applicable
If Lexis/Nexis 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:
Special Risk Factors
Does the account have Nexus to Special Risk Countries?
Is the account structure unusually complex?
s there any indication the client set up a non operating company expressi
or the purpose of transferring shares to third partles
Is there any indication this could be a prohibited business relationship?
•Yes /No
Ores No
Ores ENo
DB-SDNY-0000242
USAP2895205




Are the bearer shares identified subject to acceptable controls?
•Yes No
•Yes DiNo
DB-SDNY-0000243
USA92894206




Created By
Cynthia Rodriguez
Date
715/117 5:11 PM
M. Case Comments
Comments
tient was contacted via phone on 6/28/2017 to confim there are no material changes to his single member LC
Kshitij Golani
8/18/117 3:36 PM
• Information and supporting documents required by our AML Policy were provided and reviewed; and as a resul
we have an understanding of the structure of the accountholders, their purpose, the purpose of the accounts an
Client Facing Professional (CFP):
Office Director/Business Head:
Regional Office Director:
AML Business Risk:
[stewart oldfield
Andrew F Gallivan
ONSHORE APPROVALS
(5ignature
stewart oldfiel
(Signature)
Andrew F Gallivar
(Signature
(Signature)
6/29/2017
7/5/2017
AML Compliance:
Kshitil Golani
Yoonsun Chung
Client Facing Professional (CFP):
Global Market Team Head (GMTH)/Sub-
Market Team Head (SMTH):
AML Business Risk:
(Signature)
Kshitly Golani
Yoonsun Chung
LATAM/INTERNATIONAL APPROVALS
(Signature)
(Signature)
(Signature)
(Signature)
8/18/2017
8/18/2017
AML Compliance:
(Signature)
DB-SDNY-0000244
USA9 2893207




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 of
suitability, 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 clients) 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 Z
DB-SDNY-0000245
USAP 2893208