EFTA00286421Set 9
44p14,595w
CRD Num ].assigned by FINRA's CRD system or by the
IARD system, your CRD number:
If your firm does not have a CRD number, skip this Item ... provide the CRD
number of one of your officers, employees, or affiliates.
F. Principal Office and Place of Business
(1) Address (do not use a P.O. Box):
Number and Street ... number ("CRD Numbibsigned by FINRA's CRD system or by the
LARD system, your CRD number:
If your firm does not have a CRD number, skip this Item
https://www.justice.gov/epstein/files/DataSet%209/EFTA00286421.pdf
EFTA01079277Set 9
2016-03-30185p86,831w
ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS
Primary Business Name: ROCKEFELLER & CO., INC. CRD Number:
Annual Amendment - All Sections Rev. 10/2012
3/30/2016 2:42:23 PM
WARNING: Complete this ... exempt reporting adviser, your SEC file number:
E. If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system. your CRD number ... your firm does not have a CRD number. skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.
F. Principal Office
https://www.justice.gov/epstein/files/DataSet%209/EFTA01079277.pdf
EFTA01078403Set 9
75p21,345w
exempt reporting adviser, your SEC file number:
E. If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the LARD system,
your CRD number ... your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of
your officers, employees, or affiliates.
F. Principal Office ... Date: MM/DD/YYYY
JOSHUA L LEVY 05/14/2014
Printed Name: Title:
JOSHUA L LEVY PARTNER
Adviser CRD Number:
NON-RESIDENT INVESTMENT ADVISER EXECUTION PAGE
You must complete the following Execution Page
https://www.justice.gov/epstein/files/DataSet%209/EFTA01078403.pdf
EFTA01372360Set 10
2018-03-301p640w
REPORT BY EXEMPT REPORTING ADVISERS
Primary Business Name: CERBERUS SUB-ADVISORY I, LLC CRD Number: 168018
Annual Amendment - All Sections Rev. 10/2017
3/30/2018 3:29:22 PM
WARNING: Complete this ... your CIK numbers:
No Information Filed
E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number ... your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01372360.pdf
EFTA01358572Set 10
2017-05-241p582w
REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS
Primary Business Name: GOLDENTREE ASSET MANAGEMENT LP CRD Number: 112753
Other-Than-Annual Amendment - All Sections Rev. 10/2012
5/24/2017 ... exempt reporting adviser, your SEC file number:
E. If you have a number ("CRD Number) assigned by the FINRA's CRD system or by the IARD system, your CRD number ... your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.
F. Principal Office
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01358572.pdf
CORP.
(c) If the prime broker is registered with the SEC, its registration number:
CRD Number (if any):
(d) Location of prime broker's office used principally by the private ... custodian is a broker-dealer, provide its SEC registration number (if any)
CRD Number (if any):
If the answer to 25(a) is "yes," respond to questions (b) through ... custodian is a broker-dealer, provide its SEC registration number (if any)
CRD Number (if any):
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0046624
CONFIDENTIAL SDNY
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01358683.pdf
prime broker is registered with the SEC, its registration number:
8 - 129
CRD Number (if any):
361
(d) Location of prime broker's office used principally by the private fund ... prime broker is registered with the SEC, its registration number:
8 - 43724
CRD Number (if any):
28432
(d) Location of prime broker's office used principally by the private fund ... custodian is a broker-dealer, provide its SEC registration number (if any)
8 - 41342
CRD Number (if any):
19714
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01358745.pdf
custodian is a broker-dealer, provide its SEC registration number (if any)
CRD Number (if any):
1
If the answer to 25(a) is "yes," respond to questions (b) through ... custodian is a broker-dealer, provide its SEC registration number (if any)
8 - 41342
CRD Number (if any):
19714
If the answer to 25(a) is "yes," respond to questions ... custodian is a broker-dealer, provide its SEC registration number (if any)
8 - 129
CRD Number (if any):
361
If the answer to 25(a) is "yes," respond to questions
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01358613.pdf
prime broker is registered with the SEC, its registration number:
8 - 43724
CRD Number (if any):
28432
(d) Location of prime broker's office used principally by the private fund ... custodian is a broker-dealer, provide its SEC registration number (if any)
8 - 41342
CRD Number (if any):
19714
If the answer to 25(a) is "yes," respond to questions ... custodian is a broker-dealer, provide its SEC registration number (if any)
8 - 129
CRD Number (if any):
361
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01358759.pdf
custodian is a broker-dealer, provide its SEC registration number (if any)
8 - 41342
CRD Number (if any):
19714
If the answer to 25(a) is "yes," respond to questions ... custodian is a broker-dealer, provide its SEC registration number (if any)
8 - 129
CRD Number (if any):
361
If the answer to 25(a) is "yes," respond to questions ... custodian is a broker-dealer, provide its SEC registration number (if any)
8 - 43724
CRD Number (if any):
28432
Administrator
Yes No
26. (a) Does the private fund
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01358737.pdf
prime broker is registered with the SEC, its registration number:
CRD Number (if any):
(d) Location of prime broker's office used principally by the private fund (city, state ... CORP.
(c) If the prime broker is registered with the SEC, its registration number:
CRD Number (if any):
(d) Location of prime broker's office used principally by the private
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01358736.pdf
prime broker is registered with the SEC, its registration number:
CRD Number (if any):
(d) Location of prime broker's office used principally by the private fund (city, state ... CORP.
(c) If the prime broker is registered with the SEC, its registration number:
CRD Number (if any):
(d) Location of prime broker's office used principally by the private
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01358612.pdf
rime broker is registered with the SEC, its registration number:
CRD Number (if any):
(d) Location of prime broker's office used principally by the private fund (city, state ... CORP.
(c) If the prime broker is registered with the SEC, its registration number:
CRD Number (if any):
(d) Location of prime broker's office used principally by the private
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01358599.pdf
CAPITAL INC.
ii.
(c) e broker is registered with the SEC, its registration number:
CRD Number (if any):
(d) Location of prime broker's office used principally by the private ... rime broker is registered with the SEC, its registration number:
s
CRD Number (if any):
■
(d) Location of prime broker's office used principally by the private fund (city, state
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01358758.pdf
CORP.
(c) If the prime broker is registered with the SEC, its registration number:
CRD Number (if any):
(d) Location of prime broker's office used principally by the private ... custodian is a broker-dealer, provide its SEC registration number (if any)
CRD Number (if any):
If the answer to 25(a) is "yes," respond to questions (b) through
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01358697.pdf