document_description: The document contains a confidential message related to a legal matter, possibly involving the Southern District of New York (SDNY).


source: doj

document_description: The document contains confidential information related to a legal case, as indicated by the reference to Federal Rule of Criminal Procedure 6(e).

document_type: other


document_description: The document contains a confidentiality notice related to a legal matter, referencing Federal Rule of Criminal Procedure 6(e).


document_description: This document is marked as confidential under Federal Rule of Criminal Procedure 6(e). It contains sensitive information related to a legal matter, likely involving the Southern District of New York (SDNY).


document_description: The document appears to be related to EU corporate and regulatory disclosure requirements and is marked as confidential under Federal Rule of Criminal Procedure 6(e).


document_description: The document is marked as confidential under Federal Rule of Criminal Procedure 6(e) and contains identifiers related to the Southern District of New York.


document_description: This document is marked as confidential and is related to a legal matter, likely involving the Federal Rules of Criminal Procedure, specifically Rule 6(e). It includes reference numbers DB-SDNY-0092878, SDNY_GM_00239062, and EFTA01388930, indicating it is part of a legal case or investigation in the Southern District of New York.


document_description: The document is marked as confidential under Federal Rule of Criminal Procedure 6(e) and contains identifiers such as DB-SDNY-0092887, SDNY_GM_00239071, and EFTA01388931.


document_description: The document is marked as confidential and subject to Federal Rule of Criminal Procedure 6(e), indicating it is related to legal proceedings. It contains identifiers such as DB-SDNY-0092892, SDNY_GM_00239076, and EFTA01388932, which may be case or document numbers.


document_description: The document appears to be a confidential disclosure related to additional EU corporate matters, marked as confidential under Federal Rule of Criminal Procedure 6(e).


document_description: Invitation to an exclusive preview of Frieze New York hosted by Deutsche Bank Wealth Management, including event details and schedule.

title: Invitation-Only Preview of Frieze New York

document_type: correspondence

document_subtype: invitation

key_organizations:
Deutsche Bank
Frieze New York
Alexander Gray Associates


document_description: The correspondence is regarding a debit transaction of USD 45,866.00 from an account on February 1, 2018, by order of Legal Workstation BTCO USA, favoring Bank of America N.A., New York, for further credit to Alpha Group Capital LLC. The sender advises that they have contacted the beneficiary several times without a positive response and requests the remitter to contact the beneficiary directly to resolve the issue. The correspondence emphasizes avoiding duplication and quoting the reference number in future communications.

document_type: email


document_description: The document discusses a trade idea involving selling EURZAR-USDZAR correlation swaps at specified percentages. The rationale is based on high implied correlations and ZAR volatilities. The document includes historical data and graphs to support the trade idea.

title: DB FX Trade Idea: EURZAR-USDZAR Correlation Swap

document_subtype: trade idea


document_description: The report provides an earnings preview for US REITs in the third quarter of 2016, discussing market trends, sector-specific insights, and target price changes. It highlights a pullback in REIT valuations, potential rallies, and sector-specific expectations, including data centers, strip valuations, apartments, malls, offices, and healthcare.

title: US REIT 3Q16 Earnings Preview

key_people:
Vin Chao
Mike Husseini
Vlad Rudnytsky
Greg Schweitzer
Derek Johnston

document_subtype: financial report


document_description: The document provides an analysis of the US REIT market performance leading up to the third quarter of 2016. It discusses the broad-based sell-off since August 1, 2016, with the RMZ index dropping by almost 10% compared to a 1.3% drop for the S&P500. The document attributes the market weakness to uncertainty regarding interest rates, potential rate hikes, the U.S. election, and recession fears. It includes a table showing changes in various risk buckets since August 1, 2016, and discusses property sector performance, highlighting significant underperformance in Freestanding Retail and Data Centers.

title: US REIT 3Q16 Earnings Preview

document_type: tabular

key_organizations:
Deutsche Bank
SNL


document_description: The document provides an earnings preview for US REITs in the third quarter of 2016, discussing various sectors such as Strip REITs, Apartments, Malls, Office, and Healthcare. It highlights potential challenges and opportunities in these sectors, including the impact of the Sports Authority bankruptcy on Strip REITs, slowing trends in Apartments and Office sectors, and healthy fundamentals but soft investment volumes in Healthcare.

title: US REIT 3Q16 Earnings Preview

key_organizations:
DLR
RPT
RPAI
BRX
Sports Authority
Golfsmith
Deutsche Bank Securities Inc.


document_description: The document provides a schedule for the 3Q16 earnings calls for various US REITs, including expected earnings release dates, call times, dial-in numbers, and financial estimates for 3Q16 and FY16 FFO.

title: US REIT 3Q16 Earnings Preview

key_organizations:
Deutsche Bank
Prologis
SL Green Realty Corp.
Brixmor
American Campus Communities, Inc
AvalonBay Communities Inc.
Mack-Call Realty Corp.
Simon Property Group Inc.
Equity Residential
QTS Realty Trust
Boston Properties Inc.
Equity One Inc.
DDR Corp
Kilroy Realty Corp.
Digital Realty Trust
Independence Realty Trust
Ventas Inc.
Kimco Realty Corp.
Camden Property Trust
Macerich Co.
CyrusOne Inc.
General Growth Properties
Vornado Realty
Post Properties Inc.
Ramco-Gershenson Properties Trust
Regency Centers Corp.
Weltower, Inc.
Retail Properties of America
Taubman Centers Inc.
Paramount Group
Federal Realty Investment Trust
Spirit Realty Capital
Kennedy Wison
City Office
American Farmland
Medical Properties Trust


document_description: The document provides an analysis of the US Real Estate Investment Trust (REIT) market for the third quarter of 2016. It highlights trends in vacancy rates and rent growth across various property sectors including apartments, shopping centers, malls, offices, industrial, and senior housing. The report notes a general moderation in rent growth and steady vacancy rates, with specific data on each sector's performance.

title: US REIT 3Q16 Earnings Preview

key_locations: NYC DC

key_organizations:
Deutsche Bank
REIS
NIC


document_description: The document provides a financial analysis of US REITs, including index level performance, 1-month and year-to-date (YTD) returns for various market indices and risk buckets as of October 14, 2016. It includes data on the performance of different asset classes and risk categories, sourced from Deutsche Bank and SNL.


document_description: The document provides an earnings preview for US REITs in the third quarter of 2016, highlighting the impact of slowing job growth and new supply on rent growth. It includes performance data for various companies over different periods and discusses trends in effective rent growth and vacancy rates.

title: US REIT 3O16 Earnings Preview

key_organizations:
Deutsche Bank
REIS


document_description: The document provides a preview of the earnings for US REIT in the third quarter of 2016, including financial metrics such as earnings, FFQ/sh, and operating metrics like SS NOI growth, SS Revenue growth, and SS Expense growth. It also discusses expectations for SS NOI growth, updates on mergers, lease rates, and market conditions in key locations.

title: US REIT 3016 Earnings Preview

key_locations:
Atlanta
DC
Dallas
Tampa
Buckhead
Alexandria
Uptown Dallas
Parkside at Wade
Post Afton Oaks

key_organizations:
Deutsche Bank
PPS
MAA


document_description: The document provides a preview of the 2016 earnings for US REITs, specifically focusing on GGP. It includes actual and estimated financial metrics such as earnings, occupancy rates, and tenant sales. The document also discusses updates on various business activities and expectations, including deals, store closings, and development projects.

title: US REIT 2016 Earnings Preview

key_locations: Miami Norwalk

key_organizations:
GGP
Deutsche Bank
Thomson
SPG
ABG
PSUN
Sears


document_description: The document provides a preview of the 3Q16 earnings for US REITs, including financial metrics such as FFO/sh, occupancy rates, and tenant sales. It also includes updates on refinancing, potential developments, and partnerships.

title: US REIT 3Q16 Earnings Preview

key_locations:
Fresno
Corte Madera
Eastland
Carson, CA
Broadway Plaza
Fashion Outlets of Philadelphia
Country Club Plaza
Danbury
Freehold

key_organizations:
Deutsche Bank
MAC


document_description: The document provides an earnings preview for US REITs in the third quarter of 2016, focusing on shopping centers. It discusses the impact of store closures on internal growth and the importance of re-tenanting progress. The document includes performance data for various entities and shopping centers, as well as key topics and questions for the quarter.

title: US REIT 3Q16 Earnings Preview

key_organizations:
Deutsche Bank
Reis


document_description: The document provides an earnings preview for US REITs for the third quarter of 2016, including updates on market pricing, financing, leasing trends, and company strategies. It includes detailed tables with financial metrics and forecasts for BRX, as well as updates on redevelopment opportunities, asset market reduction, and leasing strategies.

title: US REIT 3Q16 Earnings Preview

document_date: October 6, 2016

key_organizations:
Deutsche Bank
BRX
Thomson


document_description: The document provides a preview of the 3016 earnings for US REIT, including detailed financial metrics and updates on various projects and market conditions. It includes tables comparing actual and projected earnings, leasing volumes, occupancy rates, and rent spreads. The document also discusses updates on specific development plans, the impact of Hurricane Matthew, and the acquisition and disposition market.

title: US REIT 3016 Earnings Preview

key_locations:
Harvard Square
Westwood
Westbury Plaza
Plaza Escuela

key_organizations:
Deutsche Bank
Thomson


document_description: The document is a preview of the 3Q16 earnings for US REITs, including a detailed table of financial metrics and expectations. It includes actual and estimated figures for earnings, FFO, leasing volumes, occupancy rates, rent spreads, and NOI growth. The document also discusses expectations for SS NOI moderation, updates on redevelopment plans, acquisition opportunities, and leasing updates.

title: US REIT 3Q16 Earnings Preview


document_description: The document provides an earnings preview for US REITs, highlighting performance metrics for various companies, year-to-date performance, and quarterly performance from 2Q15 to 2Q16. It discusses market rent growth trends, vacancy rates, and key topics for 3Q16, such as the health of the leasing environment and supply in major markets.

title: US REIT 3016 Earnings Preview

key_locations: NY DC Boston LA SF

key_organizations:
Deutsche Bank
SNL
Deutsche Bank Securities Inc.


document_description: The document provides an earnings preview for US REITs, specifically focusing on PGRE and SLG for the third quarter of 2016. It includes detailed financial metrics, occupancy rates, leasing volumes, and rent spreads. The document also discusses updates on vacant spaces, retail leasing plans, and the overall pace of leasing in NYC and D.C. Additionally, it mentions updates on funding plans for One Vanderbilt and SLG's leasing goals and potential sale of an office tower.

title: US REIT 3016 Earnings Preview

key_locations:
1633 Broadway
1301 Ave of the Americas
31 West 52nd St
1325 Ave of the Americas
NYC
D.C.
One Front Street
One Vanderbilt
16 Court St
Brooklyn

key_organizations:
PGRE
SLG
Deutsche Bank
Thomson


document_description: The document provides a preview of the 3Q16 earnings for US REITs, specifically focusing on VNO and KW. It includes financial metrics, updates on property developments, and management strategies. The document also discusses the impact of Brexit on UK assets and updates on acquisition and disposition pipelines.

title: US REIT 3016 Earnings Preview

key_locations:
New York City
Washington
West Coast
SoCal
UK
Europe

key_organizations:
Deutsche Bank
VNO
KW
KWE


document_description: The document provides a preview of the 3Q16 earnings for US REITs, focusing on HCN's performance metrics, growth trajectory, acquisitions, development pipeline, and market outlook. It includes detailed tables comparing actual and projected earnings and operating metrics for 2015 and 2016, as well as updates on senior housing projects and asset dispositions.

title: US REIT 3Q16 Earnings Preview

key_locations: UK Canada California Manhattan Chicago Atlanta

key_organizations:
Deutsche Bank
HCN
Thomson Reuters


document_description: The document provides a preview of the 3016 earnings for US REIT, including detailed financial metrics for VTR. It includes actual and estimated earnings, operating metrics, and updates on development projects and investments. The document also discusses future growth opportunities and updates on senior housing supply in various markets.

title: US REIT 3016 Earnings Preview

key_locations:
Atlanta
Denver
San Francisco
Sacramento

key_organizations:
Deutsche Bank
VTR
Wexford
Ardent
LHP
Kindred


document_description: The document provides an earnings preview for various US REITs, detailing updates to financial estimates for 2016 and 2017. It includes changes in FFO (Funds From Operations), NAREIT FFO, FAD (Funds Available for Distribution), and EBITDA for companies such as CONE, DLR, FRT, IRT, MPW, PGRE, VNO, and VTR. The updates reflect changes in equity sales offerings, leasing assumptions, development assumptions, debt repayment, share buyback pricing, acquisitions, and financing activities.

title: US REIT 3016 Earnings Preview

document_type: financial


document_description: A table listing various companies and their stock tickers, primarily focusing on REITs (Real Estate Investment Trusts) and other companies, sourced from Deutsche Bank.

title: US REIT 3016 Earnings Preview


document_description: The document discusses the strategic outlook for U.S. commercial real estate, highlighting market allocations and fundamentals. It emphasizes a preference for large coastal gateway markets like Boston and Los Angeles due to stronger rent and price appreciation. The document also notes caution towards markets with weaker fundamentals such as San Francisco and New York. It provides an analysis of regional markets, favoring smaller coastal cities with natural supply barriers. The document reports strong U.S. commercial real estate fundamentals with high occupancy levels and NOI growth as of the second quarter of 2016.

title: U.S. Real Estate Strategic Outlook

document_date: September 2016

key_locations:
Boston
Los Angeles
San Francisco
New York
Washington D.C.
Portland
Oakland
Orange County
San Diego
Fort Lauderdale
Seattle
Miami
Charlotte
Austin
Houston
Atlanta
Phoenix

key_organizations: NPI NCREIF


document_description: This document is a confidential report on the strategic outlook of U.S. real estate as of September 2016. It is marked as confidential pursuant to Federal Rule of Criminal Procedure 6(e).


document_description: The document provides an analysis of the apartment sector as of early 2016, highlighting a tight market with a slight increase in vacancy rates and a peak in rent growth. It discusses demographic trends supporting apartment demand, the impact of new supply on rent growth, and regional variations in rent growth. The document includes data on multifamily permits and forecasts for apartment fundamentals.

title: U.S. Real Estate Strategic Outlook

key_locations:
Dallas
Atlanta
Denver
Orange County
Portland
San Diego
San Francisco
San Jose
Oakland
New York
Boston

document_subtype: report

key_organizations:
CBRE-EA
Deutsche Asset Management
Census Bureau
National Association of Realtors
Nielsen Company
Axiometrics


document_description: This document provides an overview of Deutsche Asset Management's activities and disclaimers related to investment advice and risk. It outlines the legal entities involved in asset management across various countries and emphasizes the high-risk nature of real estate investments. The document is intended for professional investors and includes specific disclaimers for investors in Switzerland, the UK, Denmark, Finland, Norway, and Sweden.

title: 24 U.S Real Estate Strategic Outlook

key_locations:
United States
Germany
Australia
Japan
Hong Kong
Singapore
United Kingdom
Denmark
Finland
Norway
Sweden
Switzerland

key_organizations: Deutsche Asset Management (Hong Kong) Limited

key_organizations: Deutsche Asset Management (Asia) Limited

key_organizations: Deutsche Alternative Asset Management (UK) Limited

key_organizations: Deutsche Alternative Asset Management (Global) Limited


document_description: Bitcoin price data for 11/03/2016 and 11/03/2017, including last price, high, average, and low values.

document_subtype: financial data

key_organizations:
Deutsche Bank Wealth Management
DB Securities Inc


document_description: This document details a wire transfer involving Jeffrey Epstein. The transaction includes both incoming and outgoing messages with specific financial instructions and identifiers.

key_locations: Saint Thomas, United States Virgin Islands

document_subtype: wire transfer

key_organizations:
Deutsche Bank Trust Company Americas
Alior Bank
BTCO USA


document_description: This correspondence is a periodic review of high-risk accounts associated with J. Epstein Virgin Islands Foundation, Inc and Hyperion Air, LLC. It discusses the need for remediation, verification of responsible parties, and the status of tax-exempt status and registration. The document also mentions awaiting AML confirmation and the need for a SoS from the US Virgin Islands government registry.

title: 2018 Periodic Review of High Risked Accounts J. Epstein Virgin Islands Foundation, Inc & Hyperion Air, LLC

key_people:
Jeffrey Epstein
Darren K. Indyke
Erika Kellerhals
Harry Beller
Vijay Sawant

key_locations:
US Virgin Islands
Mumbai

document_subtype: email


document_description: This document is marked as confidential under Federal Rule of Criminal Procedure 6(e) and contains identifiers related to a legal case or investigation.


document_description: A confidential communication from Deutsche Bank regarding Key Client Partners (KCP) products and services, intended for sophisticated institutional investors. It emphasizes the need for internal approvals and client status with Deutsche Bank before executing any transactions. The document is for informational and discussion purposes only and prohibits unauthorized reproduction or redistribution.


document_description: This document is a trust agreement where Jeffrey E. Epstein is the grantor, and Darren K. Indyke and Richard Kahn are the trustees of the Butterfly Trust, established on December 27, 2006.

title: Butterfly Trust Agreement

key_people:
Jeffrey E. Epstein
Darren K. Indyke
Richard Kahn

document_type: legal

document_subtype: trust document


document_description: This document is a trust agreement dated December 21, 2006, between Jeffrey E. Epstein as Grantor, and Darren K. Indyke and Richard Kahn as Trustees. It outlines the transfer of property to the Trustees and defines terms related to the trust.

title: Trust Agreement between Jeffrey E. Epstein and Trustees

document_subtype: Trust Agreement


document_description: The document outlines definitions and dispositive provisions related to a trust agreement. It defines terms such as 'IN TRUST', 'pay', 'Trust', and 'Code'. The trustees have the discretion to distribute income or principal of the trust to specified individuals, including Ghislaine Maxwell.


document_description: The document outlines the powers and responsibilities of the Trustees in managing and distributing the assets of a Trust. It includes provisions for the distribution of Trust assets, the ability to add or remove beneficiaries, and the termination of the Trust. The Trustees have discretionary authority and are not accountable to any court or person for their decisions. The Trust is set to terminate 21 years after the death of the last survivor among the Grantor and Ghislaine N. Maxwell, unless terminated earlier by the Trustees.

document_subtype: Trust Document


document_description: The document outlines the terms of a trust agreement known as the 'BUTTERFLY TRUST,' organized under the laws of the State of New York but governed by the laws of the United States Virgin Islands. It specifies that the trust is irrevocable and not liable for any taxes, liabilities, debts, or claims against the Grantor or their estate. The document also includes a severability clause.

title: BUTTERFLY TRUST Agreement

key_locations:
State of New York
United States Virgin Islands


document_description: The document outlines the binding nature of agreements related to the Trust, the accountability of Trustees, and their administrative powers. It specifies that settlements have the force of a court order and that Trustees are not liable for the actions of others unless due to willful misconduct.

document_subtype: trust agreement


document_description: The document outlines the powers of trustees in managing the assets of a trust. It includes provisions for holding, investing, and reinvesting trust assets, engaging in various financial transactions, and dealing in financial instruments.


document_description: The document outlines the powers and responsibilities of Trustees in managing property, including the ability to mortgage, repair, alter, and improve properties, as well as to engage in financial activities related to stocks and securities.

document_type: property


document_description: This document is a Trust Agreement executed by Jeffrey E. Epstein as the Grantor and Darren K. Indyke and Richard Kahn as Trustees. It includes signatures from all parties involved.


document_description: A confidential legal document labeled 'Schedule A' with a monetary value of $100.00, marked as confidential under Federal Rule of Criminal Procedure 6(e).

document_subtype: confidential schedule


document_description: Notarized acknowledgments of signatures by Jeffrey E. Epstein and Darren K. Indyke on legal instruments.

key_people:
Jeffrey E. Epstein
Darren K. Indyke
Harry I. Beller

key_locations:
New York
Rockland County

document_subtype: notarized document


document_description: Amendment to the Butterfly Trust Agreement to add beneficiaries by trustees Darren K. Indyke and Richard Kahn, acknowledged by Jeffrey E. Epstein.

title: Butterfly Trust Addition of Beneficiaries

key_people:
Jeffrey E. Epstein
Darren K. Indyke
Richard Kahn
Harry I. Beller

document_subtype: Trust Agreement Amendment


document_description: The document is an addition of a beneficiary to the Butterfly Trust, executed by trustees Darren K. Indyke and Richard Kahn, with Jeffrey E. Epstein as the Grantor. The addition is made pursuant to the authority granted under Article Third, Paragraph B of the Trust Agreement dated December 27, 2006. The document is notarized by Harry I. Beller.

title: Butterfly Trust Addition of Beneficiary


document_description: Designation of Erika A. Kellerhals as successor trustee of the Butterfly Trust, effective upon the death, resignation, or removal of current trustees Darren K. Indyke and Richard Kahn. Acceptance by Erika A. Kellerhals and acknowledgment by Jeffrey E. Epstein, Grantor.

title: Butterfly Trust Designation and Acceptance of Successor Trustee

key_people:
Darren K. Indyke
Richard Kahn
Erika A. Kellerhals
Jeffrey E. Epstein

document_subtype: Trust Designation and Acceptance


document_description: Designation of Harry I. Beller as successor trustee of the Butterfly Trust, effective upon the death, resignation, or removal of current trustees Darren K. Indyke and Richard Kahn. Acceptance by Harry I. Beller and acknowledgment by Jeffrey E. Epstein.

key_people:
Darren K. Indyke
Richard Kahn
Harry I. Beller
Jeffrey E. Epstein

document_subtype: Trust Designation


document_description: Darren K. Indyke resigns as Trustee of the Butterfly Trust, effective October 31, 2014. The resignation is acknowledged by Jeffrey E. Epstein, Richard Kahn, Erika A. Kellerhals, and Harry I. Beller.

title: Butterfly Trust Resignation of Trustee

key_people:
Darren K. Indyke
Jeffrey E. Epstein
Richard Kahn
Erika A. Kellerhals
Harry I. Beller

document_subtype: Resignation Letter


document_description: Richard Kahn resigns as Trustee of the Butterfly Trust, effective October 31, 2014. The resignation is acknowledged by Jeffrey E. Epstein, Darren K. Indyke, Harry L. Beller, and Erika A. Kellerhals.

title: Butterfly Trust Resignation of Trustee

key_people:
Richard Kahn
Jeffrey E. Epstein
Darren K. Indyke
Harry L. Beller
Erika A. Kellerhals

document_subtype: Resignation of Trustee


document_description: This document outlines the terms and conditions regarding the management and control of financial assets in primary and secondary accounts. It specifies the rights and obligations of the Debtor, Secured Party, and Intermediary, including conditions for transferring assets, entitlement orders, and the Notice of Sole Control.

document_subtype: contract


document_description: This document outlines the terms of a legal agreement regarding a Securities Account, including rights of set-off, choice of law, submission to jurisdiction, and conflict with other agreements. It specifies that the agreement and the Securities Account are governed by New York law, and any legal proceedings must be conducted in New York courts. The document also includes a jury trial waiver and stipulates that any amendments must be in writing and signed by all parties.

document_subtype: agreement


document_description: This document outlines the terms of a security agreement involving Southern Financial, LLC as the Debtor, Deutsche Bank AG as the Secured Party, and Deutsche Bank Securities, Inc. as the Intermediary. It includes provisions for notices, termination, and rights of affiliates.

key_people:
Jeffrey Epstein
Gedeon Pinedo
Nicholas Haigh

key_locations:
St. Thomas, US Virgin Islands
New York, NY

document_subtype: Security Agreement

key_organizations:
Southern Financial, LLC
Deutsche Bank AG
Deutsche Bank Securities, Inc.


document_description: This document is a counterparts agreement involving Southern Financial, LLC and Deutsche Bank AG. It outlines that the agreement may be executed in multiple counterparts, which together constitute one instrument. Key signatories include Jeffrey Epstein as Manager of Southern Financial, LLC, and representatives from Deutsche Bank AG and Deutsche Bank Securities Inc.

title: Counterparts Agreement

key_people:
Jeffrey Epstein
Cynthia Cutano
Paul E. Salvas
Thomas Hoddinott

document_subtype: Agreement

key_organizations:
Southern Financial, LLC
Deutsche Bank AG
Deutsche Bank Securities Inc.


document_description: This document is a disclaimer and confidentiality notice from Deutsche Bank, indicating that the communication may contain confidential or privileged information. It advises unintended recipients to notify the sender and destroy the communication. It also states that Deutsche Bank does not provide legal or tax advice.


document_description: The document contains a communication regarding IBAN and Swift details, asking if there is a problem with them. It includes confidentiality disclaimers and references to Deutsche Bank's disclosures.


document_description: Alan Brody requests Stewart to initiate KYC and onboarding for Paul Barrett to open a Pershing account in IWP (formerly KCP) with DVP away instructions. Paul Barrett can sign the KCP onboarding agreement for Alpha.

key_people:
Alan Brody
Paul Barrett
Stewart

key_organizations:
Deutsche Bank Wealth Management
KCP
IWP
Alpha


document_description: This document is marked as confidential and is related to a legal matter, likely involving the Southern District of New York (SDNY). It is produced in native format and is subject to confidentiality under Federal Rule of Criminal Procedure 6(e).


document_description: This document is a confidential communication from Deutsche Bank, containing disclaimers about the confidentiality and privileged nature of the information. It includes a link for EU corporate and regulatory disclosures and a disclaimer that Deutsche Bank does not provide legal or tax advice.


document_description: This document is an amendment agreement dated October 20, 2017, between Deutsche Bank AG and Southern Financial, LLC. It amends the ISDA Master Agreement originally dated October 28, 2013. Key amendments include the voiding of a previous termination agreement, changes to ownership maintenance requirements, and financial conditions related to Party B's net worth and total assets.

title: Amendment Agreement between Deutsche Bank AG and Southern Financial, LLC

document_subtype: Amendment Agreement

key_organizations:
Deutsche Bank AG
Southern Financial, LLC


document_description: An Amendment Agreement executed by Deutsche Bank AG Southern Financial, LW, with placeholders for signatures and titles.


document_description: This document is marked as confidential and is related to a legal matter, likely involving the Southern District of New York (SDNY). It references Federal Rule of Criminal Procedure 6(e), which pertains to grand jury secrecy.


document_description: This document is a bank statement from Deutsche Bank Trust Co. Americas for Southern Financial LLC, covering the period from May 1, 2019, to May 31, 2019. The statement shows a beginning balance of $156,947.36, with deposits and other credits totaling $51,000.00, and outgoing money transfers resulting in an ending balance of $0.00.

key_locations:
New York, NY
St. Thomas, USVI
Boca Raton, FL

document_subtype: Bank Statement

key_organizations:
Deutsche Bank Trust Co. Americas
Southern Financial LLC
Citibank, N.A.
Charles Schwab and Co Inc
Harlequin Dane LLC


document_description: The document discusses VKO puts as a cost-efficient hedge against market downturns with low realized volatility. It compares VKOs to D&O puts and highlights the benefits of VKOs in terms of cost and theta collection. The document includes historical data on realized volatility and variance budgets.


document_description: A wire payment of $8723.23 sent to Caterpillar was returned due to the closure of the account used for the payment. The funds need to be credited to a different account.

document_subtype: wire transfer

key_organizations:
Deutsche Bank Trust Company Americas
Deutsche Bank Wealth Management
Deutsche Bank Securities Inc.
Caterpillar


document_description: This document is a confidential communication from Deutsche Bank, containing disclaimers about the confidentiality and privileged nature of the information. It advises unintended recipients to notify the sender and destroy the communication. It also includes a disclaimer that Deutsche Bank does not provide legal or tax advice.


document_description: This document is marked as confidential and is related to a legal matter, likely involving the Southern District of New York (SDNY). It is produced in native format and is subject to Federal Rule of Criminal Procedure 6(e), which pertains to grand jury secrecy.


document_description: Deutsche Bank's research report on Digital Realty Trust, dated 28 October 2016, maintains a 'Buy' rating with a price target of $108. The report discusses a rebound in bookings, updates on financial estimates, and valuation risks. Key changes include a slight decrease in FFO estimates for 2016 and updates to the 2017 outlook. The report highlights the company's performance, leasing activities, and market sentiment.

title: Deutsche Bank Markets Research - Digital Realty Trust

key_people:
Vin Chao
Mike Husseini

key_locations:
North America
United States
London

document_subtype: Research Report

key_organizations:
Deutsche Bank
Digital Realty Trust


document_description: The document provides highlights from Digital Realty Trust's third quarter of 2016, including land acquisitions in Ashburn, VA, Garland, TX, and Franklin Park, IL, expansion plans in Chicago, and a rebound in annualized bookings. It also announces the appointment of Daniel Papes as SVP of Global Sales and Marketing.

title: Digital Realty Trust 3Q16 Highlights

key_people:
Daniel Papes
Matt Miszewski

key_locations:
Ashburn, VA
Garland, TX
Franklin Park, IL
Chicago

key_organizations:
Digital Realty Trust
Deutsche Bank Securities Inc.


document_description: The document provides a recap of Digital Realty Trust's earnings for the third quarter of 2016, including income statements, operating metrics, and guidance updates. It compares actual figures with estimates and consensus, highlighting discrepancies and providing explanations for variances. Key financial metrics such as FFO/sh, leasing volumes, and occupancy rates are detailed, along with guidance for the remainder of 2016.

title: Digital Realty Trust Earnings Highlight

key_organizations:
Digital Realty Trust
Deutsche Bank
Thomson


document_description: Digital Realty Trust plans to issue a British Pound denominated bond offering as part of its FX hedging strategy.


document_description: This document contains important disclosures related to Digital Realty Trust, including financial relationships and ownership interests by Deutsche Bank and its affiliates. It includes a disclosure checklist with recent stock prices and specific disclosure codes indicating various financial interactions and interests.

title: Important Disclosures for Digital Realty Trust


document_description: This document contains historical and current analyst recommendations for Digital Realty Trust, including target price changes and ratings by Vincent Chao, CFA, from Deutsche Bank Securities Inc. The document outlines changes in recommendations and target prices from November 2013 to October 2016.

title: Analyst Recommendations for Digital Realty Trust


document_description: This document is a research report prepared by Deutsche Bank AG or its affiliates, discussing REITs and Digital Realty Trust. It outlines the bank's position on trading securities, potential conflicts of interest, and the independence of its research department. The report emphasizes that opinions and projections are subject to change and do not necessarily reflect Deutsche Bank's views. It also highlights the risks associated with financial instruments and the impact of macroeconomic fluctuations.

title: Deutsche Bank Research Report on REITs and Digital Realty Trust


document_description: List of key personnel and international locations for Deutsche Bank AG.

key_people:
David Folkerts-Landau
Raj Hindocha
Michael Spencer
Steve Pollard
Anthony Kleiman
Paul Reynolds
Dave Clark
Pam Finelli
Andreas Neubauer
Stuart Kirk

key_locations:
Sydney, NSW, Australia
London, United Kingdom
Frankfurt am Main, Germany
Kowloon, Hong Kong
Tokyo, Japan
New York, NY, United States of America

key_organizations:
Deutsche Bank AG
Deutsche Securities Inc.
Dautsche Bank Securities Inc.


document_description: Deutsche Bank's research report on CyrusOne, rated as 'Buy', discusses the company's leasing activity, CEO transition, and financial outlook. The report highlights strong demand, despite a negative market sentiment due to a CFO transition. Key financial metrics and forecasts for 2016 and 2017 are provided, along with valuation and risks. The target price is adjusted from $59 to $57.

title: Deutsche Bank Markets Research on CyrusOne

key_organizations:
Deutsche Bank
CyrusOne


document_description: The document provides updated estimates, valuation, and risks for CyrusOne REITs. It includes revised financial estimates for 2016 and 2017, a lowered target price, and discusses key risks related to development efforts and operational challenges.

title: CyrusOne REITs Estimates, Valuation, and Risks

document_date: 31 October 2016

key_organizations:
CyrusOne
Deutsche Bank Securities Inc.


document_description: This document is a research report prepared by Deutsche Bank AG or its affiliates, discussing REITs and CyrusOne. It includes disclaimers about the reliability of the information, potential conflicts of interest, and the independence of the Deutsche Bank Research Department. The report emphasizes that it is for informational purposes only and not an offer to buy or sell financial instruments.

title: Deutsche Bank Research Report on REITs and CyrusOne


document_description: This document discusses the risks associated with derivative transactions, including market, counterparty default, and illiquidity risks. It emphasizes the importance of expert legal and financial advice before entering such transactions. The document also highlights the risks in foreign exchange transactions and the impact of macroeconomic shocks on fixed income instruments. It includes disclaimers and regulatory information for Deutsche Bank in various jurisdictions.

key_locations:
United States
Germany
United Kingdom
Hong Kong

key_organizations:
Deutsche Bank
Deutsche Bank Securities Incorporated
European Central Bank
BaFin
Prudential Regulation Authority
Financial Conduct Authority


document_description: A financial report distributed by Deutsche Bank AG, specifically targeting Professional Clients as defined by the Dubai Financial Services Authority. It includes disclaimers for retail clients in Australia and New Zealand, emphasizing the need for a Product Disclosure Statement (PDS) and targeting wholesale clients. The document is confidential and subject to legal restrictions on reproduction and distribution.

key_locations:
Dubai International Financial Centre
Australia
New Zealand

key_organizations:
Deutsche Bank AG
Dubai Financial Services Authority
Deutsche Bank Securities Inc.


document_description: Deutsche Bank's research report on Medical Properties Trust (MPW) highlights a weak 3Q performance by Adeptus Health Inc., a major tenant, leading to a sell-off in MPW shares. The report discusses the financial impact of Adeptus's issues on MPW, including a potential 11% hit to 2017 FAD estimates. Despite risks, the report maintains a 'Buy' rating for MPW, with a revised target price of $15. Key risks include ongoing DOJ investigation of Prime Healthcare and government reimbursement risks.

title: Medical Properties Trust Alert

key_locations:
Dallas
Houston
Colorado
San Antonio
Austin

key_organizations:
Deutsche Bank
Medical Properties Trust
Adeptus Health Inc
Prime Healthcare


document_description: Deutsche Bank initiates coverage on Medical Properties Trust with a 'Buy' rating, citing its attractive long-term consolidation potential in the hospital space, discounted relative value, and a 6% dividend yield. The report highlights the potential for increased institutional ownership and hospital consolidation, driven by industry trends and the sale/leaseback model. The target price is set at $17 per share, with a 15% expected return including dividends. Key risks include interest rate sensitivity and regulatory risks.

title: Deutsche Bank Markets Research - Medical Properties Trust

key_people:
Vin Chao
Vlad Rudnitsky

key_locations:
North America
United States

key_organizations:
Deutsche Bank
Medical Properties Trust


document_description: The document discusses the valuation of Medical Properties Trust (MPW), highlighting its current trading position, dividend yield, and target price. MPW trades at a wider-than-historical discount compared to its peers due to operational risks in the acute care hospital space. The document suggests reasons for MPW to trade in line with historical valuations, including earnings upside from acquisitions and improvements in business scale. A target price of $17 per share is established, based on a 14.3x multiple of the 2017 AFFO estimate, with a 15% expected total return. The document also discusses the appropriateness of an earnings multiple-based approach over NAV for target pricing.

title: Valuation of Medical Properties Trust

key_organizations:
Medical Properties Trust
Deutsche Bank Securities Inc.


document_description: The document is a portfolio review of Medical Properties Trust, focusing on their investments in the hospital sector as of the first quarter of 2016. It details the types of properties owned, including general acute care hospitals, long-term acute care hospitals, rehabilitation hospitals, and medical office buildings. The document includes tables showing the distribution of assets and revenue by property type and investment type.

title: Portfolio Review - Medical Properties Trust

key_locations: US Germany Italy Spain UK

key_organizations:
Medical Properties Trust
Deutsche Bank


document_description: The document discusses the elevated government reimbursement risk for Medical Properties Trust (MPW) due to its focus on hospitals with a high government payor mix. It also covers MPW's international diversification strategy, highlighting its investments in Western Europe, particularly Germany and the UK.

title: Medical Properties Trust - Elevated Government Reimbursement Risk and International Diversification

key_locations:
United States
Western Europe
Germany
United Kingdom
Bath, England


document_description: The document provides an analysis of Medicare reimbursement rates for inpatient and outpatient services over several years, highlighting trends in hospital financials and margins. It includes tabular data on reimbursement rates for general acute care, LTACHs, and IRFs from 2000 to 2016. The document also discusses hospital revenue growth and margin trends, noting stability in EBITDA margins and challenges posed by the Affordable Care Act.

title: Medical Properties Trust Reimbursement Rates and Financial Overview

key_organizations:
Medical Properties Trust
American Hospital Association
Deutsche Bank Securities Inc.


document_description: The document provides a tabular representation of U.S. hospital revenue and margin trends from 1995 to 2014, along with a discussion on the impact of the Affordable Care Act (ACA) on uncompensated care costs and hospital financials. It highlights the reduction in uncompensated care costs due to the ACA and Medicaid expansion, and discusses the implications of these changes on hospital expenses and reimbursement rates.

title: U.S. Hospital Revenue and Margin Trends

key_locations:
United States
Washington D.C.

key_organizations: US Department of Health and Human Services


document_description: The document discusses the shift in Medicare payment models from a fee-for-service system to bundled payments, aiming to coordinate care and generate cost savings. It highlights the Bundled Payment for Care Improvement (BPCI) and Comprehensive Care for Joint Replacement (CJR) programs, detailing their start dates, participation, geography, duration, clinical episodes, and number of participants. The report also touches on site-neutral payments, suggesting a reduction in reimbursement rates for outpatient procedures to match those of physician's offices.


document_description: The document discusses the growth opportunities for Medical Properties Trust (MPW) through long-term net leases and acquisitions. It highlights the potential for internal growth through rent escalators and the impact of recent sales and capital raises. The document also outlines the strong acquisition pipeline in the U.S. and Europe, emphasizing the sale/leaseback model's benefits. It notes the potential for increased acquisition activity due to improved liquidity and cost of capital. Additionally, it discusses the impact of managed care consolidation on hospital consolidation.


document_description: The document provides a debt maturity schedule for Medical Properties Trust, detailing the amounts due each year from 2016 to 2020 and thereafter. It also includes a peer debt comparison table, comparing various financial metrics such as net debt, EBITDA, and debt ratios among different companies. The document highlights the liquidity position of Medical Properties Trust post the sale of Capella operating company, noting the available credit line and cash on the balance sheet.


document_description: The document is a financial statement for Medical Properties Trust, detailing adjusted funds from operations, normalized FFO, share-based compensation, debt costs amortization, and other financial metrics for the years 2014 to 2018. It includes data on total revenue, interest income, property-related expenses, net income, taxes, depreciation and amortization, interest expense, EBITDA, shares, and dividends.


document_description: This document is a financial report prepared by Deutsche Bank AG regarding REITs and Medical Properties Trust. It includes disclaimers about the reliability of the information, potential conflicts of interest, and the independence of the Deutsche Bank Research Department. The report discusses the potential for Deutsche Bank to act as principal or agent in transactions related to the securities discussed, and highlights the variability in recommendations due to differing methodologies and time horizons. It also emphasizes the risks associated with financial instruments, including currency exchange risks and interest rate fluctuations.


document_description: The document outlines Adelante Capital Management's investment philosophy and performance metrics for their real estate investment trusts (REITs) as of the third quarter of 2016. It details their investment selection process, focusing on core institutional real estate property types and avoiding narrowly focused specialty real estate companies. The document includes performance data for different time periods and compares Adelante's performance against the S&P US REIT and peer group quartiles.


document_description: This document is a glossary of financial terms related to real estate investment trusts (REITs) as of the third quarter of 2016. It includes definitions and explanations of key financial metrics such as Alpha, Beta, Excess Return, R-Squared, Standard Deviation, Sharpe Ratio, Sortino Ratio, and Information Ratio. These metrics are used to assess the performance and risk of investment portfolios.


document_description: The document provides detailed information about the Deutsche Real Estate Securities Fund, including portfolio and risk statistics as of March 30, 2016, top holdings as of September 20, 2016, and sector allocations. It outlines the fund's inception date, number of holdings, total net assets, beta, average market cap, and standard deviation. The document also lists the portfolio management team and their industry experience, fund information including class, symbol, and CUSIP, and top holdings with their respective allocations. Additionally, it discusses the fund's sector allocations and security type distribution. The document includes a disclaimer about the risks associated with investing in the fund and provides contact information for Deutsche Asset Management.


document_description: The document is a financial analysis of US REITs for the third quarter of 2016, focusing on various sectors such as Strip REITs, Apartments, Malls, Office, and Healthcare. It discusses valuation trends, market risks, and sector-specific challenges and opportunities.


document_description: The document provides a schedule for the 3Q16 earnings calls for various US Real Estate Investment Trusts (REITs). It includes expected earnings release dates, call times, dial-in numbers, and financial forecasts for both 3Q16 and FY16. The data includes company names, stock symbols, and financial estimates such as FFO (Funds From Operations) and EPS (Earnings Per Share).


document_description: The document provides an earnings preview for US REITs, highlighting macroeconomic forecasts and financial estimates. It includes Deutsche Bank's revised GDP growth projections for 2016 and 2017, as well as expectations for the 10-year yield and key interest rates. The document also presents historical and forecasted data on real GDP growth, unemployment rates, and compensation per employee.


document_description: The document provides an analysis of the US Real Estate Investment Trust (REIT) market for the third quarter of 2016. It highlights the resilience of private market pricing despite various economic uncertainties and market concerns. The report notes a decline in investment volumes and tightening lending standards but emphasizes a healthy financing environment and attractive risk/reward opportunities in US commercial real estate (CRE). It includes tabular data on national investment volume growth and cap rate trends, showing weak investment volumes and cap rate declines.


document_description: The document provides a preview of the US REIT sector's earnings for the third quarter of 2016, focusing on the apartment sector. It highlights the impact of slowing job growth and new supply on rent growth, presents performance data for various REITs, and discusses trends in rent growth, vacancy rates, and SS NOI growth.


document_description: The document provides a financial preview of US REIT 3016 earnings, focusing on CPT's results. It includes actual and estimated financial metrics for 2015, 2016, and projections for 3016. Key metrics include FFO/share, SS NOI growth, SS Revenue growth, SS Expense growth, and occupancy rates. The document also discusses updates on Houston and DC markets, asset dispositions, and development expectations.


document_description: The document provides a preview of the 3016 earnings for ACC, including financial metrics such as FFOM/sh, SS NOI growth, and development starts. It includes actual and estimated figures for 3015, 2016, and 3016, as well as updates on non-core asset portfolio dispositions, academic year lease-up, and development pipeline. The document also discusses national supply trends and ACC's market share in development deliveries.


document_description: The document provides a preview of the US REIT 3Q16 earnings, focusing on various aspects such as shadow development/redevelopment pipelines, updates on major retailers like Macy's and Sears, and retailer conditions in tourist-heavy markets. It includes detailed financial metrics and forecasts for SPG, as well as updates on joint ventures, store closings, and asset sales. The document also discusses the outlook for specific projects and market trends.


document_description: The document provides a preview of the 3Q16 earnings for US REIT 3016, including financial metrics such as FFO/sh, occupancy rates, and tenant sales. It includes actual and estimated figures for 3Q15, 3Q16, and 2016, as well as updates on refinancing, development projects, and partnerships. The document also discusses potential outlet development in Carson, CA, department store health, and development plans with the Sears JV.


document_description: The document provides an earnings preview for US REITs in the third quarter of 2016, focusing on shopping centers. It discusses the impact of store closures on internal growth and the importance of re-tenanting. The document includes performance data, vacancy rates, and rent growth statistics. Key topics include development outlook, retailer health, and exposure to specific companies like Logans Roadhouse and Golfsmith.


document_description: The document provides a preview of the 3rd quarter 2016 earnings for US REITs, focusing on market trends, financial metrics, and strategic updates. It includes updates on disposition market pricing, CMBS and financing markets, cap rate trends, and changes in retail and grocery sectors. The document also previews BRX's 3Q16 results, including earnings, FFO/sh, leasing volumes, and occupancy rates. Additionally, it discusses redevelopment opportunities, plans to reduce single asset markets, and updates on leasing strategies and SEC investigations.


document_description: The document provides a preview of the 3Q16 earnings for US REITs, focusing on FRT's financial performance. It includes detailed tables comparing actual and estimated financial metrics such as FFO/share, leasing volumes, and occupancy rates for 2015 and 2016. The document also discusses potential acquisition opportunities, updates on redevelopment projects, and provides guidance for the fiscal year 2017.


document_description: The document provides a preview of the 3Q16 earnings for US REITs, specifically focusing on RPAI. It includes detailed financial metrics such as earnings, FFO/sh, operating metrics, and leasing volumes. The document also discusses updates on disposition progress, leasing activities, and acquisition plans.


document_description: The document provides a preview of the 3Q16 earnings for US REITs, focusing on CIO's financial performance. It includes actual and estimated figures for earnings, FFO/sh, and core FFO/sh, as well as operating metrics such as occupancy rates and leasing volumes. The report also discusses updates on acquisition pipelines, investor demand, market conditions, and specific tenant decisions. Deutsche Bank has updated its financial models and target price for CIO based on recent developments.


document_description: The document is a financial report previewing the earnings of US REIT 3016, specifically focusing on VNO's 3Q16 results. It includes detailed financial metrics such as FFO/sh, occupancy rates, and rent spreads for NYC and DC offices. The report also discusses updates on various projects and financial estimates for 2016 and 2017. Additionally, it provides a preview of KW's 3Q16 results, including management plans, Brexit impact, and acquisition pipelines.


document_description: The document provides an earnings preview for US REITs, focusing on data centers. It includes performance metrics for various data centers over one month and year-to-date, net absorption in key markets, and financial data for specific companies. The report discusses market trends, M&A opportunities, and the impact of cloud adoption on leasing.


document_description: The document provides an earnings preview for US REITs in the third quarter of 2016, focusing on industrial topics such as supply updates, Brexit impacts, investor appetite, e-commerce demand, and asset pricing. It includes a detailed preview of PLD's 3Q16 results, with metrics on earnings, leasing volume, occupancy, rent spread, and NOI growth. The document also discusses FX outlook, fund inflows, development updates, rental trends, cap rate and vacancy trends, and disposition plans.

title: US REIT 3Q16 Earnings Preview

key_locations: UK Europe U.S. Houston Columbus Poland

key_organizations:
Deutsche Bank
PLD


document_description: The document provides an earnings preview for US REITs, focusing on healthcare entities and their performance. It includes tables showing the 1-month performance of various healthcare entities and their overall performance. The document also discusses senior housing occupancy and rent growth, highlighting trends and concerns in the market. It provides data on construction starts and occupancy rates, with insights into the implications for the sector.

title: US REIT 3016 Earnings Preview

key_organizations:
Deutsche Bank
SNL
NIC MAP Data and Analysis Service


document_description: The document is a financial report previewing the earnings of US REITs for 3016. It includes a table with various financial data points and identifiers, possibly related to different REITs or financial metrics. The document is marked as confidential and is associated with Deutsche Bank Securities Inc.


document_description: The document is a research report on US REITs for Q3 2016, including an earnings preview, equity ratings, and analyst certification. It provides a summary of equity ratings and banking relationships, along with important disclosures and analyst certification.

title: US REIT 3O16 Earnings Preview

key_organizations:
Deutsche Bank
Deutsche Bank Securities Inc.


document_description: This document is a financial report distributed by Deutsche Bank AG, providing an earnings preview for US REITs in 2016. It includes information on the scope of activities under the DFSA license, and is intended for professional clients in Dubai, Australia, and New Zealand. The report emphasizes the need for retail clients in Australia to review a Product Disclosure Statement before acquiring any financial product.

title: US REIT 3016 Earnings Preview

key_organizations:
Deutsche Bank AG
Dubai Financial Services Authority


document_description: Cynthia Rodriguez requests information from Richard Kahn regarding a flagged incoming wire of $22,500,000 from BV70 LLC. She inquires about the purpose of the wire, the relationship between the client and BV70 LLC, the type of products/services provided by BV70 LLC, and whether such activity is expected to continue.

key_people:
Leon Black
Richard Kahn
Cynthia Rodriguez

document_subtype: email

key_organizations:
BV70 LLC
Southern Trust Company
HBRK Associates Inc.


document_description: Grayscale photograph of a man in a suit and tie with short, dark hair, looking towards the camera. The background is dark and out of focus.

document_type: media


document_description: This document is a Borrower Security and Pledge Agreement between Southern Financial LLC (Debtor) and Deutsche Bank AG (Lender). It outlines the terms under which the Debtor assigns, pledges, and grants a security interest in various assets to the Lender as collateral for financial obligations. The agreement includes representations and warranties by the Debtor regarding its legal standing and authority to enter into the agreement.

title: Borrower Security and Pledge Agreement

key_people:
Southern Financial LLC
Deutsche Bank AG

document_subtype: Security and Pledge Agreement

key_organizations:
Southern Financial LLC
Deutsche Bank AG


document_description: This document is an agreement executed by Southern Financial LLC, with Jeffrey Epstein as the contact for notices. It includes confidential information and is marked pursuant to Federal Rules of Criminal Procedure.


document_description: Schedule A lists affiliates of Deutsche Bank AG, including its branches, affiliates, and subsidiaries. Schedule B lists confidential securities information.

title: Schedule A and B

document_subtype: Schedule

key_organizations:
Deutsche Bank AG
Deutsche Bank Trust Company Americas
DB Structured Products, Inc.
DB Private Clients Corp.
Deutsche Bank AG, London Branch
Deutsche Bank Securities, Inc.
Southern Financial LLC


document_description: Guidelines for advance rates on equity and mutual fund shares, specifying that shares valued under $10.00 will not be accepted as collateral.

document_subtype: financial guidelines

key_organizations:
NYSE
AMEX
NASDAQ
AluMal Funds


document_description: Invitation to Frieze New York 2018, hosted by Deutsche Bank Wealth Management, with exclusive entry and unlimited access to the fair. Preview day on May 2, 2018, at Randall's Island Park, New York.

title: Frieze New York 2018 Invitation

key_people:
Fabrizio Campelli
Ana Zamora

document_subtype: event invitation


document_description: A memo from DB regarding the Swaps Protocol, advising clients to consult their own legal advisors and complete necessary sections of the protocol. It includes instructions for returning the completed sections and notes the importance of timely submission to continue entering swaps with DB.

document_subtype: memo


document_description: This document is an addendum to a swap trading relationship agreement between DB and the Client, detailing the rights and obligations related to swap transactions, portfolio reconciliation, and portfolio compression. It outlines the procedures for valuation of swaps and the communication of valuation amounts.

document_subtype: Swap Agreement Addendum

key_organizations: DB CFTC


document_description: The document outlines various regulatory notifications and confidentiality agreements between DB and the Client. It includes details on transaction data disclosure, rights to require segregation of funds, and limitations under the Dodd-Frank Act. It also covers confidentiality clauses allowing DB to disclose confidential information under certain conditions.

document_subtype: regulatory notification

key_organizations:
DB
CFTC
US Department of Justice
FDIC


document_description: This document is an addendum that may be executed and delivered in counterparts, including by facsimile or email transmission. Each counterpart will be deemed an original.

document_subtype: Addendum


document_description: This document is a client information form related to swap agreements. It requests details about the client, including legal name, address, email, and occupation. It also inquires about the presence of a swap agent and whether the client's swaps are guaranteed by another entity. The document mentions the requirement for a CFTC Interim Compliant Identifier or Legal Entity Identifier.

document_subtype: Swap Addendum Annex

key_organizations: CFTC DB


document_description: This document outlines provisions for non-US person counterparties in relation to swap transactions with Deutsche Bank (DB). It includes additional representations for non-US persons, such as whether the client is an affiliate conduit, if their obligations are supported by a US person guarantee, and their EMIR counterparty status. The client must complete and return this part if they are not a US person.

document_subtype: Swaps Protocol Agreement


document_description: The document outlines procedures for resolving discrepancies and disputes between parties involved in Relevant Transactions. It includes provisions for alternative processes, changes in status, and the use of agents or third-party service providers. The document also details a dispute identification and resolution procedure.

document_subtype: contract

key_organizations:
TriOptima AB
DB


document_description: This document outlines additional provisions for clients identified as Affiliate Conduits or having a guarantee from a US person. It modifies and supplements the contracts used by the Client and Deutsche Bank (DB) to document their swaps. The document specifies the use of a Deemed ISDA 2002 Master Agreement governed by English law, and details the process for notices and the handling of events of default or termination events.

key_organizations: International Swaps and Derivatives Association, Inc.


document_description: This document is Part C of the Swaps Protocol, executed by Deutsche Bank AG and an unnamed client swap vehicle. It includes placeholders for signatures and details of authorized signatories from both parties.


document_description: This document contains statements for Swap Agents, Qualified Independent Representatives, and fiduciaries to sign and return to DR. It includes representations and warranties related to swap communication events and compliance with CFTC external business conduct rules.

document_subtype: Swap Agent Statements

key_organizations: DR CFTC


document_description: A document related to the qualification of a guarantor as an 'eligible contract participant' under CFTC regulations, specifically referencing CFTC Letter No. 12-17. The document includes checkboxes for different qualifications and fields for the guarantor's name, signature, title, and date, all of which are empty.

document_subtype: CFTC Compliance Document


document_description: This document outlines the portfolio reconciliation procedures between Deutsche Bank (DB) and a US client. It defines key terms such as Data Delivery Date, Data Reconciliation, Discrepancy, Discrepancy Threshold Amount, Material Terms, Portfolio Data, SDR Data, and Valuation. The procedures involve comparing portfolio data and SDR data against each party's records to identify and resolve discrepancies.

document_subtype: procedures

key_organizations:
Deutsche Bank
CFTC


document_description: This document outlines the procedures for data reconciliation and portfolio data delivery between DB and the Client. It specifies the requirements for reconciliation dates, the process for one-way delivery of portfolio data, and the handling of valuation differences below a certain threshold. It also includes provisions for resolving discrepancies in portfolio data.


document_description: The document outlines procedures for data delivery and portfolio reconciliation between parties, including notification requirements for changes in reconciliation frequency and the use of third-party agents.


document_description: The document defines various terms related to financial and commodity regulations, including Benefit Plan ECP, Cleared, Commodity Pool, Commodity Pool ECP, Data Delivery Date, Data Reconciliation, Derivative, and Dispute. It outlines the criteria for entities to qualify under these definitions, particularly focusing on asset thresholds and regulatory compliance.


document_description: This document provides definitions and explanations of various financial and legal terms related to swaps, financial institutions, and regulatory acts. It includes definitions for terms such as ERISA, Exchange Act, Exempt Small Financial Institution, and Financial Entity.

document_subtype: legal definitions

key_organizations:
SEC
CFTC
Federal Deposit Insurance Corporation
Farm Credit System
Federal Credit Union
Federal Reserve


document_description: The document provides definitions and explanations related to financial regulations and terms, including 'Hedging Individual ECP,' 'Hedging or Mitigating Commercial Risk,' 'Insurance Company,' and 'Insured Depository Institution.' It outlines the criteria and conditions under which swaps are considered hedging or mitigating commercial risk according to CFTC regulations and other accounting standards.

key_organizations:
CFTC
Federal Deposit Insurance Corporation


document_description: This document outlines the definitions and requirements related to Portfolio Reconciliation and Risk Mitigation Techniques for OTC derivative transactions, as per EMIR regulations. It includes definitions for terms such as Portfolio Reconciliation Requirements, PR Due Date, PR Fallback Date, PR Period, PR Requirement Start Date, Private Fund, and Qualified Independent Representative.


document_description: This document outlines the requirements for documenting swaps under section 4s(i) of the Commodity Exchange Act (CEA) and defines 'US Person Categories' for compliance purposes. It also defines 'Valuation Amount' in the context of swaps between a client and Deutsche Bank (DB).

key_locations:
United States
District of Columbia
Puerto Rico
US Virgin Islands

document_subtype: legal definition and compliance document

key_organizations:
United States
Deutsche Bank


document_description: The document discusses the recent technical movements in US equities, highlighting the impact of VIX ETPs and their rebalancing requirements on market volatility. It notes the implications of these dynamics on volatility spikes and investor behavior, as well as the role of CTA, risk-parity, and vol control funds in the market. The document also mentions changes in dealers' options positioning and its effects on equity volatility.


document_description: This document is marked as confidential under Federal Rule of Criminal Procedure 6(e) and contains identifiers related to a legal case or investigation in the Southern District of New York.


document_description: The document contains a description of a person with their face obscured, wearing a V-neck sweater under a blazer. It is marked as confidential under Federal Rule of Criminal Procedure 6(e).


document_description: This document is marked as confidential and is related to a legal matter under the jurisdiction of the Southern District of New York (SDNY). It references Federal Rule of Criminal Procedure 6(e), which pertains to the secrecy of grand jury proceedings.


document_description: A disclosure statement from Deutsche Bank indicating that the communication may contain confidential or privileged information and is not intended to provide legal or tax advice. It includes a confidentiality notice and a link for additional EU corporate and regulatory disclosures.


document_description: An inquiry regarding a wire transfer from HSBC involving $6,186,980.68. The email seeks information about the ultimate originator of the funds and mentions a previous response about a different wire of $23 million. The correspondence is between Deutsche Bank's PWM AML Compliance and Zbynek Kozelsky, with a request for further information to close the inquiry.

key_people:
Zbynek Kozelsky
Cynthia Rodriguez
Stewart Oldfield
Vahe Stepanian
Joshua Shoshan
Donald Summer
Cherie Quigley

document_subtype: email correspondence

key_organizations:
Deutsche Bank
HSBC SECURITIES SERVICES (IRELAND) DAC
HSBC BANK USA, NATIONAL ASSOCIATION


document_description: An inquiry regarding the origin of a wire transfer related to THE HAZE TRUST account. The email discusses a $6,186,980.68 wire from HSBC SECURITIES SERVICES (IRELAND) DAC at HSBC BANK USA, NATIONAL ASSOCIATION, and clarifies that the funds originated from Southern Trust Company, Inc through Bank of New York for an art purchase by Jeffrey Epstein.

key_people:
Cynthia Rodriguez
Jeffrey Epstein
Joshua Shoshan
Donald Summer

document_subtype: email

key_organizations:
HSBC SECURITIES SERVICES (IRELAND) DAC
HSBC BANK USA
Southern Trust Company, Inc
Bank of New York
Deutsche Bank


document_description: Zbynek "Ziggy" Kozelsky requests the PB KYC to be sent for setting up a process.

key_organizations:
Deutsche Bank Securities Inc.
Deutsche Bank Wealth Management


document_description: This document is a KYC (Know Your Customer) periodic review for Jeffrey Epstein's relationship with Deutsche Bank. It includes details about the relationship, accounts involved, and signatories. The review is for high-risk remediation and involves adding signers to existing accounts.

title: DB PWM GLOBAL KYC/NCA PART A

key_people:
Jeffrey Epstein
Stewart Oldfield
Darren Indyke
Harry Beller

document_subtype: KYC Document

key_organizations: J. Epstein Virgin Islands Foundation, Inc


document_description: This document provides a summary of the account ownership for Southern Trust Company, Inc., including account purpose, expected asset inflows and outflows, and related parties.

title: Account Ownership Summary for Southern Trust Company, Inc.

key_people:
Jeffrey E. Epstein
Stewart Oldfield
Darren Indyke
Harry Beller
Jean Anne Brennan Wiebracht

key_organizations:
Southern Trust Company, Inc.
DB Group


document_description: This document provides a summary of account ownership and related details for accounts associated with Jeffrey Epstein. It includes information about the purpose of the accounts, expected inflows and outflows, and related parties.

key_people:
Jeffrey Epstein
Stewart Oldfield
Harry Beller
Darren Indyke

document_subtype: KYC (Know Your Customer) Document


document_description: A Know Your Customer (KYC) document containing information about financial institutions, their countries, and estimated assets under management. It also requests information about the family situation of individuals.


document_description: Know Your Customer (KYC) document for Darren Indyke, detailing personal, professional, and financial information as part of account ownership summary.

key_locations:
USA
New York, NY

key_organizations:
Southern Financial LLC
Deutsche Bank


document_description: Know Your Customer (KYC) document for Jeffrey E. Epstein, detailing personal, professional, and financial information.

key_people:
Jeffrey E. Epstein
Bill Clinton
Prince Andrew
Alan C. Greenberg

key_locations:
Little St James, Saint Thomas, USVI
St. Thomas, United States

key_organizations:
Southern Financial LLC
Bear Stearns
J. Epstein & Co.
Deutsche Bank


document_description: This document provides Know Your Customer (KYC) information for Southern Financial LLC, a company associated with Jeffrey Epstein. It includes financial estimates, legal entity details, and business activities.

key_organizations:
Southern Financial LLC
Southern Trust Company Inc
Deutsche Bank


document_description: The document is a KYC (Know Your Customer) form related to legal cases and client information. It includes details about court cases involving Erika Kellerhals, a civil action case, and other legal inquiries about the client, such as criminal convictions and associations with sanctioned countries.

key_people:
Erika Kellerhals
James P Carroll
Dawn Prosser

key_organizations:
Deutsche Bank AG
Supermarket Source Inc


document_description: KYC comments and approvals for entities associated with Jeffrey Epstein, including Southern Financial, LLC, Southern Trust Company, Inc, Jeffrey Epstein, and J. Epstein Virgin Islands Foundation, Inc. The document includes comments on the KYC process, risk factors, and approvals from various professionals.

key_people:
Jeffrey Epstein
Bill Clinton
Prince Andrew
Kshitij Golani
Cynthia Rodriguez
Stewart Oldfield
Andrew F Gallivan
Yoonsun Chung

document_subtype: KYC Comments and Approvals


document_description: Invitation to Paul Barrett for entry into the Deutsche Bank Wealth Management Lounge at Frieze with a personalized QR code. The lounge location is on the river side of the South entrance to the Fair at Randall's Island Park.

key_locations:
Randall's Island Park
South entrance to the Fair

key_organizations:
Deutsche Bank Wealth Management
Frieze


document_description: This document is marked as confidential and is related to a legal matter, likely involving the Southern District of New York (SDNY). It references Federal Rule of Criminal Procedure 6(e), which pertains to grand jury secrecy.


document_description: Outgoing money transfers from RMC Electric to Wells Fargo on May 3, 2019, with amounts of $1,000.45, $2,327.25, and $1,583.60.

document_subtype: wire transfer

key_organizations:
RMC Electric
Wells Fargo
Deutsche Bank


document_description: Confidential communication intended for the addressee, possibly attorney-client privileged, and owned by Darren K. Indyke, PLLC. Unauthorized use, disclosure, or copying is prohibited.


document_description: The document is a daily deposit report detailing large, zero, and negative balances for various accounts as of June 12, 2019. It includes account names, categories, and balances, highlighting significant balances for entities such as The Jockey Club and Todd R. Wanek and Karen A. Wanek.

title: RM0082289 Daily Deposit Report

key_people:
Todd R. Wanek
Karen A. Wanek

document_subtype: financial report

key_organizations:
The Jockey Club
Equibase Company
Ashley Holdings Inc.
Ashley Homestores Ltd
SSW 2007 LLC


document_description: The document contains financial data related to various LLCs, trusts, and individuals, listing their account balances and categories. It includes large, zero, and negative balances for different entities.

key_people:
Shari Wagner
Kati Forsythe
Todd R. Wanek
Karen A. Wanek
Travis Wagner
Cameron Wanek
Mara Wagner
Leah Kubis
Rahul Vaid
Gabrielle E. Wanek

key_organizations:
KWF 2007 LLC
CRW 2007 LLC
GEW 2007 LLC
Shari Wagner 2014 GRAT
Kati Forsythe 2014 GRAT
Wanek Trust of 2000
Ashley Holdings Inc
Keyhole Partners, LLC
Third Lake Partners, LLC
Addison at Millenia Holdings, LLC
Mizner Court Holdings, LLC
Solstice Loop Holdings, LLC
Sabal Club Holdings, LLC
San Marco Holdings, LLC
Sun Lake Multifamily Holdings, LLC
Verona Apartments Holdings, LLC
Summer Cove Holdings, LLC
Marina Landing Holdings, LLC
Ashley Furniture Industries Inc
Ashley Homestores Ltd
Ashley Real Estate, LLC
Ashley Global Retail, LLC
Lake Point Holdings LLC
Southern Aggregate Transport Services
Trimbarnes Family Ltd


document_description: The document contains financial information related to various trusts and companies, including account numbers, names, categories, and balances. It lists large, zero, and negative balances for entities such as Shari Wagner, Robert S Forsythe, Laura A Forsythe, Kati Wanek-Forsythe, Ronald & Joyce Wanek, Ashley Holdings Inc, and others. The document is marked as confidential and is related to a federal criminal procedure.

key_people:
Shari Wagner
Robert S Forsythe
Laura A Forsythe
Kati Wanek-Forsythe
Ronald & Joyce Wanek
Gabrielle E. Wanek

key_organizations:
Ashley Holdings Inc
Ashley Furniture Industries Inc
Ashley Homestores Ltd
Ashley Real Estate, LLC
Ashley Distribution Services Ltd
Ashley Global Retail, LLC
Keyhole Partners, LLC


document_description: The document is a daily deposit report listing large, zero, and negative balances for various accounts as of May 20, 2019. It includes account names, categories, and balances, with notable entries for Jeffrey Epstein and several LLCs and trusts.

title: RM0082289 Daily Deposit Report

key_people:
Jeffrey Epstein
Nancy DeVane
Michael DeVane
Mara Wagner
Leah Kubis

key_organizations: Kati Wanek-Forsythe 2012 Irrevocable Trust


document_description: The document contains two tables listing financial account information. The first table includes account numbers, names, categories, and balances for various entities, including individuals, LLCs, and trusts. The second table highlights large, zero, and negative balances, with repeated entries for some accounts. The document is marked as confidential and is related to financial data, possibly for legal or investigative purposes.


document_description: The document contains two tables listing financial account information. The first table includes account numbers, names, and balances for various entities, with repeated entries for some accounts. The second table lists large, zero, and negative balances for different accounts, with some entries marked with categories. The document is marked as confidential and is related to a legal proceeding under Federal Rule of Criminal Procedure 6(e).


document_description: The document contains financial data related to various trusts and companies, including balances and transactions. It lists large, zero, and negative balances for entities such as Shari Wagner 2012 Irrevocable Trust, Robert S Forsythe Revocable Trust, Ashley Holdings Inc, and others. The data includes account names, categories, and balance amounts.

key_people:
Shari Wagner
Travis Wagner
Robert S Forsythe
Laura A Forsythe
Kati Wanek-Forsythe
Todd R Wanek
Ronald & Joyce Wanek
Leah Kubis
Gabrielle E. Wanek


document_description: This document is marked as confidential under Federal Rule of Criminal Procedure 6(e) and contains identifiers related to a legal case or investigation, likely within the Southern District of New York (SDNY).


document_description: Andrew King discusses the process of sending an introductory email once materials are received, offering the option for Frank to send it or for the recipient to send it themselves with pre-approved language.

key_people:
Andrew King
Frank


document_description: This document is a brochure providing information about the qualifications and business practices of iCapital Advisors, LLC, registered as an investment adviser with the SEC. It includes contact information and a disclaimer about the SEC's endorsement.

title: iCapital Advisors, LLC Form ADV Part 2A

key_locations: 60 East 42nd Street, 26th Floor, New York, NY 10165, USA

document_subtype: Form ADV Part 2A

key_organizations: United States Securities and Exchange Commission


document_description: This document is an amendment to iCapital's brochure for 2018, updating the previous version from March 31, 2017. It includes routine updates, changes to investor servicing fees, diligence scope on certain funds, and business relationships with Fidelity Brokerage Services LLC. It also notes the acquisition of a private equity access fund platform from Deutsche Bank by iCapital's parent company.

title: iCapital Advisors, LLC Form ADV Part 2A

key_organizations:
iCapital Advisors, LLC
Institutional Capital Network, Inc.
Fidelity Brokerage Services LLC
Deutsche Bank
iCapital Securities, LLC


document_description: This document is a Form ADV Part 2A for iCapital Advisors, LLC, detailing their investment advisory services for various private equity and hedge funds. It lists numerous funds managed by iCapital, including Private Equity Global Select Master Fund series, Private Equity Asia Select Fund series, and others. The document outlines iCapital's role in providing investment advice to these funds, which are exempt from registration under the Investment Company Act of 1940 and the Securities Act of 1933. It also describes the structure and purpose of the Private Access Funds and Direct Investment Funds managed by iCapital.

document_subtype: Investment Advisory Document

key_organizations: Opportunistic Real Estate and Infrastructure Select Fund

key_organizations: iCapital-OrbiMed Royalty Opportunities II Access Fund

key_organizations: iCapital-Apollo Structured Credit Recovery Access Fund

key_organizations: iCapital-Warburg Pincus Private Equity XII Access Fund

key_organizations: Royalty Investment Fund Limited Partnership


document_description: The document is a Form ADV Part 2A for iCapital Advisors, LLC, detailing investment strategies, management fees, and assets under management. It includes information about various funds managed by iCapital, their investment minimums, and management fees. The document also provides details on the ownership structure of Institutional Capital Network, Inc., the parent company of iCapital, and mentions Michael Stanton as the Chief Compliance Officer.

title: iCapital Advisors, LLC Form ADV Part 2A

key_organizations:
iCapital Advisors, LLC
Institutional Capital Network, Inc.
Georgetown University Endowment


document_description: The document outlines the management and investor servicing fees associated with iCapital Advisors, LLC, including details on payments to underlying managers, service providers, and organizational expenses. It specifies the conditions under which management fees may be waived or reduced, and describes the investor servicing fee and other fees related to underlying funds. The document also mentions the engagement of service providers like Dynasty Securities, LLC, and the organizational expenses each fund will bear.

title: iCapital Advisors, LLC - Form ADV Part 2A

key_organizations:
iCapital Advisors, LLC
Dynasty Securities, LLC
Georgetown University Endowment


document_description: This document outlines the expenses related to the formation and operation of the Private Access Fund and Direct Investment Funds managed by iCapital Advisors, LLC. It details the types of expenses that these funds will bear, including management fees, organizational expenses, legal and audit fees, and other operational costs. The document also mentions the costs associated with offering memoranda, regulatory filings, and insurance premiums.

key_organizations:
iCapital Advisors, LLC
Georgetown University Endowment


document_description: The document outlines the expenses, performance-based fees, types of clients, and side agreements related to iCapital Advisors, LLC. It details the investment expenses, performance-based compensation, and client types, including high net worth individuals and institutional investors. It also discusses the use of side letters for additional rights to certain investors.


document_description: The document outlines iCapital Advisors' investment strategies and due diligence processes for Private Access Funds and Direct Investment Funds. It details the methods of analysis, investment strategies, and risk of loss, focusing on providing investors access to select fund managers at lower investment minimums. The due diligence process includes quantitative and qualitative assessments, market mapping, benchmarking, and comprehensive evaluations of fund managers.

title: iCapital Advisors, LLC Form ADV Part 2A

document_subtype: investment strategy document


document_description: The document outlines iCapital Advisors, LLC's due diligence process for evaluating investment opportunities, specifically focusing on internal rate of return, multiple on invested capital, and other financial metrics. It describes a five-stage process for hedge fund selection, involving market opportunity assessment, manager identification, initial diligence, deep dive diligence with Castle Hall Alternatives Inc., and final approval by the iCapital Investment Committee.

document_subtype: investment due diligence report

key_organizations:
iCapital Advisors, LLC
Castle Hall Alternatives Inc.


document_description: This document outlines the investment selection process and associated risks for iCapital Advisors, LLC, particularly focusing on Private Access Funds and the potential risks involved in investing in securities. It emphasizes the importance of due diligence and the potential for conflicts of interest, fraudulent behavior, and operational weaknesses that may lead to substantial losses. The document advises prospective investors to consult professional advisers and review legal documents before investing.

title: Form ADV Part 2A - iCapital Advisors, LLC

document_subtype: investment advisory document

key_organizations:
Georgetown University Endowment
iCapital Advisors, LLC


document_description: This document outlines the risks and conflicts of interest associated with investing in Private Access Funds managed by iCapital Advisors, LLC. It highlights potential issues such as lack of diversification, higher fees, illiquidity, and the possibility of losing the entire investment. The document also discusses the relationship between Private Access Funds and Underlying Funds, including the lack of control iCapital has over the management of Underlying Funds and the potential for sponsor misconduct.


document_description: The document outlines the terms and conditions related to capital contributions by investors to Private Access Funds managed by iCapital Advisors, LLC. It details the responsibilities of investors, potential penalties for non-compliance, and the lack of direct rights or recourse against the Underlying Fund. It also discusses the non-obligation of iCapital to provide investment advice or manage the funds exclusively.


document_description: The document is a Form ADV Part 2A from iCapital Advisors, LLC, related to Georgetown University Endowment. It discusses various financial and tax implications for investors in Private Access Funds, including tax liabilities, illiquidity of investments, economic and market risks, and consequences of default. It highlights the need for investors to obtain tax filing extensions and the potential for tax-exempt investors to recognize unrelated business taxable income (UBTI).


document_description: The document is a Form ADV Part 2A from iCapital Advisors, LLC, related to the Georgetown University Endowment. It discusses the handling of defaulted capital contributions, the structure and liabilities of series limited partnerships, and the reliance on sub-advisers for fund management.


document_description: The document is a Form ADV Part 2A from iCapital Advisors, LLC, discussing various investment risks associated with funds, including general economic and market conditions, equity securities risks, and investments in non-U.S. issuers. It highlights the potential decline in value of investments due to market volatility, issuer-specific factors, and risks unique to foreign investments.


document_description: The document discusses the investment strategies and associated risks of certain funds managed by iCapital Advisors, LLC, including investments in American Depositary Receipts (ADRs), European Depositary Receipts (EDRs), Global Depositary Receipts (GDRs), and securities in emerging markets. It highlights the risks of investing in non-U.S. securities, including political, economic, and foreign exchange risks, as well as the potential volatility and liquidity issues in emerging markets. The document also addresses the impact of foreign currency fluctuations on fund investments.


document_description: The document discusses various financial risks associated with investments, including currency exchange rate fluctuations, credit risk, concentration risk, and settlement risk. It highlights how these factors can affect the value and performance of investment funds.


document_description: The document discusses various risks associated with investing in certain types of securities, including small or medium-sized companies, illiquid investments, convertible securities, and participation certificates. It highlights the potential for greater risk and price volatility, liquidity issues, and counterparty risk.


document_description: The document outlines the financial strategies and risks associated with the Georgetown University Endowment managed by iCapital Advisors, LLC. It discusses cash position risk, leverage, and derivatives risk, highlighting the potential impacts on the fund's value and investment returns.


document_description: The document discusses various financial risks associated with investment funds managed by iCapital Advisors, LLC. It covers the risks of derivatives, warrants, stock purchase rights, and debt securities, including high yield securities or 'junk bonds.' The document highlights the speculative nature and potential volatility of these investments.


document_description: The document discusses various risks associated with investments, particularly focusing on default risk, interest rate risk, and the use of swaps. It highlights the potential for greater price volatility and liquidity issues with lower-rated bonds, the sensitivity of debt instruments to interest rate changes, and the risks associated with swaps, including counterparty default and market liquidity.

title: Form ADV Part 2A


document_description: The document is a Form ADV Part 2A for iCapital Advisors, LLC, detailing investment strategies, risks, and affiliations. It discusses the risks associated with investing in Real Estate Investment Trusts (REITs) and cybersecurity risks for private equity funds. It also provides information on iCapital's affiliations, including its relationship with iCapital Securities, a registered broker-dealer, and Gen II Fund Services, a fund administrator.

key_organizations:
iCapital Advisors, LLC
Georgetown University Endowment
iCapital Securities, LLC
Institutional Capital Network, Inc.
Gen II Fund Services, LLC
Gen II Hedge Fund Services


document_description: The document outlines the relationships and potential conflicts of interest involving iCapital Advisors, LLC, its investors, and associated financial institutions. It discusses the ownership interests of BNY Capital Corporation, BlackRock, Credit Suisse, Morgan Stanley, and UBS in iCapital's parent company, Institutional Capital Network, Inc. It also covers iCapital's Code of Ethics, which aims to prevent conflicts of interest and insider trading.

key_organizations:
iCapital Advisors, LLC
BNY Capital Corporation
Institutional Capital Network, Inc.
BlackRock, Inc.
Credit Suisse Group AG
Morgan Stanley Smith Barney
UBS Financial Services


document_description: The document outlines the Code of Ethics for iCapital Advisors, LLC, detailing employee investment restrictions, participation in client transactions, and conflicts of interest. Employees must obtain authorization for personal investments and are discouraged from frequent trading. iCapital serves as an investment adviser to various funds, with potential conflicts of interest arising from compensation structures and investment activities.

key_organizations:
iCapital Advisors, LLC
iCapital Securities, LLC
Georgetown University Endowment


document_description: The document outlines potential conflicts of interest, fee structures, valuation methods, educational programs, and privacy policies related to iCapital Advisors, LLC. It discusses the involvement of management persons in soliciting investment advisers, the fee structure for brokerage limited partners, and the valuation of fund assets. It also covers educational programs for financial advisers and the privacy policy for investors' personal information.

key_organizations:
iCapital Advisors, LLC
iCapital Securities
Institutional Capital Network


document_description: This document outlines the brokerage practices, account review processes, and client referral policies of iCapital Advisors, LLC. It details the firm's approach to achieving best execution in securities transactions, the role of Sub-Advisers in Direct Access Funds, and the use of 'soft dollar' credits. It also describes the periodic review of fund performance and the distribution of financial statements to investors. Additionally, it covers the role of iCapital Securities, LLC in private placements and the compensation structure for third-party broker-dealers.

key_organizations:
Georgetown University Endowment
iCapital Advisors, LLC
iCapital Securities, LLC


document_description: The document outlines the investment management and custody practices of iCapital Advisors, LLC, including collaboration with Fidelity Brokerage Services LLC and National Financial Services LLC. It details compensation arrangements, custody rules, and investment discretion policies.

key_organizations:
iCapital Advisors, LLC
Fidelity Brokerage Services LLC
National Financial Services LLC
Institutional Capital Network, Inc.


document_description: The document outlines iCapital Advisors, LLC's policies on voting client securities and financial information. It specifies that iCapital does not anticipate owning equity securities with voting rights in Private Access Funds and delegates proxy voting for Direct Investment Funds to a Sub-Adviser. It also mentions the establishment of a Proxy Voting Policy for certain investments and provides financial disclosures indicating no impairments or bankruptcy history.

key_organizations:
iCapital Advisors, LLC
Private Access Funds
Direct Investment Funds
Sub-Adviser


document_description: This document is a Brochure Supplement for iCapital Advisors, LLC, providing information about key personnel including Eileen Duff Blalock, Phil Pool, John Robertshaw, Daniel Vene, and Nicholas Veronis. It supplements the iCapital Advisors, LLC's Form ADV Brochure.

title: FORM ADV PART 2B: Brochure Supplement

key_people:
Eileen Duff Blalock
Phil Pool
John Robertshaw
Daniel Vene
Nicholas Veronis
Michael Stanton

key_locations: 60 East 42nd Street, 26th Floor, New York, NY 10165

document_subtype: Brochure Supplement


document_description: This document provides information about Eileen Duff Blalock's educational background, business experience, disciplinary information, other business activities, additional compensation, and supervision details as part of iCapital Advisors, LLC's Form ADV Part 2B.

title: Form ADV Part 2B for Eileen Duff Blalock

key_people:
Eileen Duff Blalock
Michael Stanton

key_locations:
Georgetown University
University of Delaware

document_subtype: Form ADV Part 2B

key_organizations:
iCapital Advisors LLC
iCapital Network
Credit Suisse
Donaldson, Lufkin & Jenrette
iCapital Securities LLC


document_description: This document provides the educational background and business experience of Mr. Phil Pool, a member of iCapital Advisor's investment committee and Co-Founder and Chairman of iCapital Network. It includes his previous roles, educational qualifications, and current business activities. It also states that Mr. Pool has not been subject to any disciplinary events and outlines his supervision and compensation details.

title: Phil Pool - Educational Background and Business Experience

key_people:
Phil Pool
Michael Stanton

key_locations:
London
New York
Chicago

key_organizations: Donaldson, Lufkin & Jenrette Securities Corporation


document_description: This document is a Form ADV Part 2B for John C. Robertshaw, detailing his educational background, business experience, disciplinary information, other business activities, additional compensation, and supervision details. Mr. Robertshaw is a Special Advisor to iCapital Network and has a history with Credit Suisse and Donaldson, Lufkin & Jenrette.

title: Form ADV Part 2B for John C. Robertshaw

key_people:
John C. Robertshaw
Michael Stanton

key_locations:
Georgetown University
Yale University

key_organizations:
iCapital Advisors LLC
Credit Suisse Securities (USA) LLC
iCapital Network
iCapital Securities LLC
Donaldson, Lufkin & Jenrette
Salomon Brothers


document_description: This document is a Form ADV Part 2B for Daniel Vene, detailing his educational background, business experience, disciplinary information, other business activities, additional compensation, and supervision. Mr. Vene is a member of Capital Advisor's investment committee and a Co-Founder of iCapital Network. He has a background in finance and marketing from Cornell University and holds various financial licenses. The document confirms no disciplinary actions against him and outlines his supervisory structure.

title: Form ADV Part 2B for Daniel Vene

key_people:
Daniel Vene
Michael Stanton

key_locations:
Georgetown University
Cornell University

key_organizations:
iCapital Advisors LLC
iCapital Network
Fir Tree Partners
Eaton Partners
Thomson Financial
PREA
NCREIF


document_description: This document provides the educational background, business experience, and other relevant information about Nicholas Veronis, a member of iCapital Advisor's investment committee and Co-Founder of iCapital Network. It includes details about his previous roles, disciplinary information, other business activities, additional compensation, and supervision.

title: iCapital Advisors, LLC - Form ADV Part 2B

key_people:
Nicholas Veronis
Michael Stanton

key_organizations:
iCapital Advisors, LLC
iCapital Network
Veronis Suhler Stevenson
Atlas Advisors
The Boston Business Journal
The Star-Ledger
Newhouse Newspapers
Trinity College


document_description: This document is marked as confidential under Federal Rule of Criminal Procedure 6(e) and contains identifiers related to a legal case or investigation in the Southern District of New York.


document_description: This document is the amended and restated limited partnership agreement for Glendower Access Secondary Opportunities IV (U.S.), L.P., a Delaware Limited Partnership. It outlines the terms and conditions under which the limited partner interests are held, including restrictions on transferability and resale, and the requirement for general partner consent for any transfer of interests.

title: Amended and Restated Limited Partnership Agreement of Glendower Access Secondary Opportunities IV (U.S.), L.P.

document_subtype: Limited Partnership Agreement