EPSTEIN
page 4 / 382 . OCR, unverified
What lathe expected volume of assets and currency for the
account approx. 90 days after opening?
207,814.91
I Currency
I USD
What is the expected volume of assets and currency for the
account approx. one year after opening?
207,814.91
I Currency
I USD
Does/will the client have Assets Under Management (AuM) within
D8 under Eur. 3M?
O Yes 72 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 part 's relation to the account in the "Other" column.
•
Always describe the relationship between the partie in the last column.
•
Please drill down to the ultimaterunderNing Beneficial Owner(s .
_egal
Entity
bertription
3f Source
3f Wealth
reouired
Parties related to
his account
Account
Holder
?IC
Dwner
Settlor of
Trust /
Founder of
Foundation
Jltimate
Beneficial
Owner
Signatory
)r Full
POA
_imited
VA
Financial
ntermediary
:FIM)
Significant
Shareholder
(3. r25%)
Non-PIC
entity
,indicate
ownership
)6)
Other (please
iescribe other
roles andror
ndicate
alat ionship
3,theeen parties)
I
O
E
Jeffrey E. Epstein I
O O
v
../
Sole Member of
Neptune LLC
D
Harry Beller
O
O
O
Li
bei
Li -3
O
Darren K Indyke O
•
[ 7
ii--
g
•
O
RI iY.
Neptune, U.0
M
O
L
O
O
• El
Richard D. Kahn
_ O
O
— O
in
O O
Va^age, c'
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
CONFIDENTIAL
DB-SDNY-0091277
SONY GM_00237461
EFTA01387979
--- SOURCE: IMAGES__0056__EFTA01387980.txt ---
METADATA_SOURCE: IMAGES0056
METADATA_FILENAME: EFTA01387980.pdf
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One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summar
30. Individual Details (for all parties)
Individual's Name:
Date of Birth.
Country of Residence'
Country of Citizenship
Has client resided outsice
of ha/her country of
Address of primary
nationality for 5 years or
residence-
more?
yes .i. No
Profession, Occupation:
Tax ;D
SSN
Current Employer:
N/A
Position/Title/Rank:
N A
Address of employer:
N/A
Does the person work as senior executive of a DB-recognized regulated entity in
he financial Industry? or an entity bated on a 0B-recognised exchange? (Not
pplicable for operating entities
ales kw/. No
Is the individual a Politically Exposed Person (F£P)?(11 Yes, desaibe) N/A
Yes
...4
r
No
To the best of your knowledge, is the individual related to an employee of the DB
groupyd Family or Friendship, dewily) NIA
Family
Friendship
Vi 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)7(d Yes,deseribe ) N/A
Yes
No
If applicable. indicate which bank officers have met
the person'
Indicate where and when the client meeting(s) took place
Bank Officer Name(s)
Bank Office
Client
Private
Domicile
Client Place
of Business
Other Location (soecify!
Dare
•
•
D
El
L....iWealth Details for this individual are not filled xi because they are the same as for the following person.
3S. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2)
Nature of the Individual's Business:
Homemaker Solely relies on income from her wife who is a Interior Designe,
Primary Country of source of wealth/source of Funds? united Sates
Primary industry of source of Wealth/Source of
Funds?
Other
Summarize Source of Wealth:
D Bulimia Owner ga Salary/Earnings • Investment 0 Inhentance/Gifts
Other:
Further Desaibe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate
wealth? For inheritance. how did family accumulate wealth?For business owners, how long in business, how many employees. level of
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
CONFIDENTIAL
DB-SDNY-0091278
SONY GM_00237482
EFTA01387980
--- SOURCE: IMAGES__0056__EFTA01387981.txt ---
METADATA_SOURCE: IMAGES0056
METADATA_FILENAME: EFTA01387981.pdf
----------------------------------------
agitability? Indicate type of business. countries of major
IM (existing DEtashand previously kyc approved) which
legal address for
in he USVI but th
and solely relies on the income of her wife
activities, important business partners)
used to work to
is
em s ew ork Oty home. The
d a
no longer manages the NYC home
She has relied on her wife's income for the past 3 years.
Estimated Annual Income
(3):
Estimated amount of investable assets($):
<$1 MM
Estimated Net Worth(s):
<$1 MM
Amount of assets planned to invest with PWM($):
20,000.00
Other Known Financial Institutions:
Institution:
Country:
Es Assets Under Mgt.
Institution:
Country:
Es: Assets Under Mgt