Subject: Re: planning email for Patrick

EFTA01427444 Dataset 10 7 pages Download original PDF Download as text
Subject: Re: planning email for Patrick From: Stewart Oldfield Date: Mon, 25 Jun To: Steven Mattus Thanks. You think it's better to send before or after I sit with him? Stewart Oldfield, CFA, CAIA Director Deutsche Bank Deutsche Bank 345 P Tel. Mobi Email Trust Company Americas Wealth Management e• New York, NY 10154 Securities offered through Deutsche Bank Securities Inc. On Jun 25, 2018, at 6:41 PM, Steven Mattus rote: This is a great start! Reads like a CS MD application. Curious to hear what Patrick thinks, and if anything else is needed. Thanks for sharing. Best, Steve Steven Mattus From: Stewart Oldfield Date: Monday, Jun 25, 2018, 5:19 PM To: Steven Mattus Subject: planning email for Patrick As discussed. Please let me know what you think. Thanks for your help and guidance as always EFTA01427444 Career overview: 20yrs in banking overall 16yrs investment banking/capital markets (JPM and CS) 4 yrs private banking (DB) CFA and CAIA charterholder. Series 7,9,10,24,63 licenses JP Morgan Investment Bank (1998-2002) Debt capital markets/structured credit Credit Suisse Investment Bank (2002-2014) Equity derivatives, structured investments, liquid alternatives Covered private clients (via CS private bank) for 12yrs Ran single stock hedging business for 10yrs (2005-2014) Ran structured notes distribution to private bank (2007-2011) Led US sales effort of liquid alternative/quantitative strategies to family offices, insurance companies, pensions and fund-of-funds (2010-2014) Deutsche Bank (2014 to present) Had 2 competing DB offers in 2014 — Investment Banking (derivatives) and Asset Mgmt (liquid alts). Sought advice from Chip Packard, whom I had known for 12yrs Chip instead recruited me to join private bank, which was trying to become more investments -focused. Joined October 2014. I was initially teamed up with Paul Morris, who had joined from JPM 2yrs prior and was struggling. KCP was fairly new in 2014 and ISG was not yet formed. EFTA01427445 Paul had limited success and was asked to leave in 2016. At various times here, I have been offered positions as head of ISG or member of KCP Have never sold a share of DB stock Financial progress: 2014 revenues (Paul Morris)— $0.9mm 2015 revenues (combined w/ Paul) — $1.3mm 2016 revenues (w/ Paul until May) — $1.6mm 2016 NNA — negative. After winning $100mm in CDs, lost all during DOJ crisis 2017 revenues (Stew alone) - $1.7mm ($2.5mm exit run rate) 2017 NNA - $112mm 2018 revenues - $4mm annualized 2018 NNA - $211mm Client highlights: Third Lake — had major relationship breakthrough in 2016. Won $107mm in deposits in DBTCA across 18 accounts. All deposits and 16 accounts were gone by the end of the year due to the DOJ news (the two remaining open accounts had less than $1 in them). Family CIO also left in 2016. Rebuilt trust in DB throughout 2017. Opened 37 new accounts in 2017, ending year with $82mm in DBNY deposits. Have opened 16 more accounts for third generation of family and gained another $40mm in 2018. Total assets here are $122mm. Ashley Furniture — strong relationship with founding family (Wanek/Third Lake) led to introduction to corporate treasury staff. Won $175mm mandate EFTA01427446 for long-dated DBNY CDs Southern Financial — one of the most complicated client situations I've seen. They have been extremely vocal about our lack of trading capabilities since I joined. Withdrew large portion of assets during 2016 (not DOJ related). Client was offboarded by Global markets at the end of 2016 due to lack of profitability. Further internal issues nearly caused us to offboard the client completely. Client was quite close to Paul and viewed his departure as a negative. I've managed to salvage and massively improve this relationship in the last two years. To start, we won $50mm of deposits into DBNY in 2017. We've also turned around the GM/trading issues via KCP. Client has been re-onboarded and ISDA reestablished, and is now the largest trading counterparty of the KCP capital markets group. Current balances are —$230mm across brokerage and deposits. MCM — Worked closely with Terri and KCP to win fundraising mandate. Successfully convinced KCP to take on the 3PI mandate. After introduction was complete, worked to establish credit line with DB structured credit group. MCM has also been mandated by DB to assist with DOJ consumer relief settlement. Internal DB highlights: Banker partnerships — In 2017 I began to work more closely with Terri Sohrab which led to success with MCM and greater collaboration on several other accounts. My background and skill set are complementary to Terri's and we work well together. I've also worked a bit with Heather Kirby and Bruce McDermott. Recently, I've been working with Rosemary Vrablic and her team on an insurance premium finance trade for two of her clients, referred to the bank by one of my close relationships. Other bankers continue to seek me out to help on certain situations and I'm known as a team player. I think this is especially important in the current environment at the bank. Internal networks — I've become quite involved with our NextGen network and will continue to contribute to those efforts. I've sent clients to NextGen events since 2016 and attended the Innovation Summit with a client in 2017. Based on my involvement last year, I am part of the steering committee for 2018. I've helped Sarah with parts of the New York events and have discussed taking on a broader role with Paula Pullano. Finally, I've been involved with a global DB branding focus group. Corporate culture is very important to me and I would like to continue to get more involved. EFTA01427447 MDs who should be supportive of promotion Management: Salman Mandi Steve Mattus Kim Hart Andrew Gallivan Wealth Planning: Sam Petrucci ISG: Coley Jellinghaus KCP: Todd Stevens Dan Kaiser Xavier Avila Tazia Smith Daniel von Heyl (CFP) DPM: Larry Adam Paul Bartilucci EFTA01427448 Credit: Tom Clarke Nick Haigh Laura Farischon Pete Ferrara Deposits: Charlie Burrows Bankers: Terri Sohrab Bruce McDermott (based on KCP experience) Heather Kirby Deirdre Judge Rosemary Vrablic CIB: Several, can discuss Marketing: Paula Pullano Would like to get to know better: Fabrizio Campelli Balaji Prasanna Caroline Kitidis EFTA01427449 Bernd Amlung Christian Notting Deepak Puri James Pereira -Stubbs Others? <image003.png> Stewart Oldfield, CFA, CAIA Director Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue, New York, NY 10154 Email Securities offered through Deutsche Bank Securities Inc. EFTA01427450

📷 Images in this document (7 detected; 6 largest described)

AI-generated factual descriptions of embedded images (llava:13b). These are searchable across the corpus.

[Image 1] The image appears to be a photograph of a printed document, possibly a letter or a report. The text is too small to read clearly, but it seems to be a formal document with a header and a footer. There are no visible names, dates, places, or logos that can be discerned from this image. The document is printed on a white paper, and the text is in black ink. The document is slightly tilted to the lef [Image 2] The image appears to be a photograph of a printed document, possibly a financial report or a business update. The document contains text with various figures and dates, such as "2016," "2017," "2018," and "2019." It lists revenue figures and mentions "Paul," "Mike," and "Steve." There are also references to "DDO," "DDO," and "DDO," which could be abbreviations for different departments or entities [Image 3] The image appears to be a photograph of a printed document, specifically a resume or career summary. The document lists various career experiences and qualifications, including job titles, dates of employment, and descriptions of responsibilities and achievements. There are also sections for education and professional certifications. The text is organized in a structured format, typical of a profe [Image 4] The image shows a printed email with a subject line that reads "Subject: planning for Patrick." The email is addressed to a recipient whose name is redacted. The body of the email contains a message that is redacted, and there are several lines of text that are redacted as well. The email appears to be a professional communication, possibly related to work or business planning. The sender's name i [Image 5] The image shows a text document with a list of names and roles, likely related to a project or organization. The names are listed in a structured format, with each name followed by a role or position. The document appears to be a list of contributors or participants, possibly for a project or event. The text is clear and legible, and the document seems to be a formal or professional record. [Image 6] The image appears to be a photograph of a printed document, specifically a letter or an email. The document contains text that is too small to read clearly, but it includes the names of individuals and possibly some organizational information. The visible text includes the names "Bernhard Lang," "Christian Deppe," "Patrick," and "James Farrell." There are also references to "CATA," "CATA," and "CA