EFTA01296884Set 10
2017-06-1661p23,043w
NAME SEARCHED: Neptune, LLC
PWM 81S-RESEARCH performed due diligence research in accordance with the standards set by AML Compliance for your business. We completed thorough searches
on your subject ... EFTA01296884
OFAC RESULTS
RDC:
Cc, J.Ir.:•. .vIRGIN ISLANDS,
11602687 Not Alerted KYC 1790748
Neptune, LLC U.S.
aa:
11602692 Not Alerted KYC 1790748 'NIIi E:1' EFATE'S,
Neptune, LLC ... C20170637909090 Neptune, LLC 62012 15544 NCA customised Closed - No Hit 16/06/2017
C20170637909089 Neptune, LLC 6201215544 NCA customised Closed - No Hit 16/06/2017
BIS RESULTS
Negative Media:
The Santa Fe New Mexican
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01296884.pdf
EFTA01547035Set 10
2013-06-30124p12,917w
SOUTHERN FINANCIAL, LLC
6100 RED HOOK QUARTER B3
ST THOMAS 00802
VIRGIN ISLANDS (U.S.)
EFTA01547035
EFTA01547036
For the Period 9/1/13 to 9/30/13
Account Summary
Account
Number
Investment Account(s)
SOUTHERN ... FINANCIAL, LLC
SOUTHERN FINANCIAL LLC
SOUTHERN FINANCIAL, LLC
SOUTHERN FINANCIAL, LLC
2
Total Value
1
Beginning Net
Market Value ... Corporation ("JPMCC"). The
Asset Account Statement reflects brokerage
transactions executed through J.P. Morgan Securities LLC ("JPMS"), see
"Portfolio Activity Detail". Equity securities, fixed income
securities, and listed options transactions
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01547035.pdf
EFTA01464701Set 10
2013-08-01127p12,886w
SOUTHERN FINANCIAL, LLC
6100 RED HOOK QUARTER B3
ST THOMAS 00802
VIRGIN ISLANDS (U.S.)
EFTA01464701
EFTA01464702
For the Period 8/1/13 to 8/31/13
Account Summary
Account
Number
Investment Account(s)
SOUTHERN ... FINANCIAL, LLC
SOUTHERN FINANCIAL, LLC
Total Value
1
2
Beginning Net
Market Value
71,112,935.51
314,640.75
$71,427,576.26
Ending Net
Market Value ... Corporation ("JPMCC"). The
Asset Account Statement reflects brokerage
transactions executed through J.P. Morgan Securities LLC ("JPMS"), see
"Portfolio Activity Detail". Equity securities, fixed income
securities, and listed options transactions
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01464701.pdf
EFTA01428318Set 10
2019-05-155p1,657w
GRAYSON JOCKEY CLUB N 334,537.08
EQUIBASE COMPANY D 347,266.97
NEPTUNE, LLC D .00
HYPERION AIR, LLC D .00
PLAN D, LLC D .00
NES, LLC D .00
LSJE ... LLC D .00
BLOOD-HORSE LLC D 269,453.32
ZORRO MANAGEMENT, LLC D .00
PRYTANEE, LLC D 397,882.14
ZORRO MANAGEMENT, LLC (HOUSE ACCOUNT) D .00
WANEK TRUST ... RONALD & JOYCE WANEK IRREVOCABLE DYNA D 1,712,816.00
KEYHOLE PARTNERS, LLC D .00
THIRD LAKE PARTNERS, LLC D 595,844.42
ADDISON AT MILLENIA HOLDINGS, LLC D .00
ADDISON
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01428318.pdf
EFTA01414022Set 10
2019-05-015p1,625w
GRAYSON JOCKEY CLUB N 367,915.50
EQUIBASE COMPANY D 516,298.57
SOUTHERN FINANCIAL LLC D .00
NEPTUNE, LLC D 159,916.93
PLAN D, LLC D 248,970.44
NES, LLC ... LSJE, LLC D 101,716.11
BLOOD-HORSE LLC D 135,913.13
ZORRO MANAGEMENT, LLC D 118,077.11
PRYTANEE, LLC D 397,882.14
KATI WANEK-FORSYTHE 2015 GRAT D .00
KATI ... CAME D .00
TODD R WANEK 2015 GRAT TRUST FOR D .00
KEYHOLE PARTNERS, LLC D .00
THIRD LAKE PARTNERS, LLC D 865,844.42
ADDISON AT MILLENIA HOLDINGS, LLC
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01414022.pdf
EFTA01424713Set 10
2019-05-015p1,881w
JOCKEY CLUB N 367,915.50
42909431 EQUIBASE COMPANY D 592,347.22
42952771 SOUTHERN FINANCIAL LLC D 156,947.36
42953424 NEPTUNE, LLC D 160,533.29
42953467 PLAN D, LLC ... LLC D 198,382.27
42959295 LSJE, LLC D 121,758.29
42963550 BLOOD-HORSE LLC D 147,352.73
42966807 ZORRO MANAGEMENT, LLC D 118,077.11
42967121 PRYTANEE, LLC ... TODD R WANEK 2015 GRAT TRUST FOR D .00
42972203 KEYHOLE PARTNERS, LLC D .00
42972342 THIRD LAKE PARTNERS, LLC D 865,844.42
42972449 ADDISON AT MILLENIA HOLDINGS, LLC
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01424713.pdf
EFTA01418025Set 10
2019-05-215p1,224w
SAFETY NET FOUNDATION N
HE GRAYSON JOCKEY CLUB
QUIBASE COMPANY
NCOMPASS SOLUTIONS INC
EPTUNE, LLC
YPERION AIR, LLC
LAN D, LLC
ES, LLC
SJE, LLC
LOOD-HORSE LLC
ORRO MANAGEMENT ... LLC
RYTANEE, LLC
ORRO MANAGEMENT, LLC (HOUSE ACCOUNT) D
TI WANEK-FORSYTHE 2015 GRAT
TI WANEK-FORSYTHE 2015 GRAT TR FOR D
HARI WAGNER 2015 GRAT TRAVIS T. WAGN ... GRAT TRUST FOR CAME D
ODD R WANEK 2015 GRAT TRUST FOR
EYHOLE PARTNERS, LLC
HIRD LAKE PARTNERS, LLC
DDISON AT MILLENIA HOLDINGS, LLC
DDISON AT MILLENIA HOLDINGS, LLC
IZNER
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01418025.pdf
EFTA01421157Set 10
2019-06-015p1,887w
GRAYSON JOCKEY CLUB N 319,826.68
42909431 EQUIBASE COMPANY D 242,342.83
42953424 NEPTUNE, LLC D .00
42953432 HYPERION AIR, LLC D .00
42953467 PLAN D, LLC ... LLC D .00
42959295 LSJE, LLC D .00
42963550 BLOOD-HORSE LLC D 258,593.81
42966807 ZORRO MANAGEMENT, LLC D .00
42967121 PRYTANEE, LLC D .00
42967439 ZORRO MANAGEMENT, LLC ... TODD R WANEK 2015 GRAT TRUST FOR D .00
42972203 KEYHOLE PARTNERS, LLC D .00
42972342 THIRD LAKE PARTNERS, LLC D .00
42972449 ADDISON AT MILLENIA HOLDINGS, LLC
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01421157.pdf
EFTA01431644Set 10
2019-07-025p1,533w
EQUIBASE COMPANY D 250,864.10
INCOMPASS SOLUTIONS INC D 103,796.59
NEPTUNE, LLC D .00
HYPERION AIR, LLC D .00
PLAN D, LLC D .00
NES, LLC D .00
LSJE ... LLC D .00
BLOOD-HORSE LLC D 318,308.86
ZORRO MANAGEMENT, LLC D .00
ZORRO MANAGEMENT, LLC (HOUSE ACCOUNT) D .00
KATI WANEK-FORSYTHE 2015 GRAT D .00
KATI WANEK ... CAME D .00
TODD R WANEK 2015 GRAT TRUST FOR D .00
KEYHOLE PARTNERS, LLC D .00
THIRD LAKE PARTNERS, LLC D .00
ADDISON AT MILLENIA HOLDINGS, LLC
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01431644.pdf
EFTA01421164Set 10
2019-06-085p1,533w
EQUIBASE COMPANY D 1,524,289.01
AXCIS INFORMATION NETWORK, INC. D 100,000.00
NEPTUNE, LLC D .00
HYPERION AIR, LLC D .00
PLAN D, LLC D .00
NES, LLC ... LSJE, LLC D .00
BLOOD-HORSE LLC D 353,948.34
ZORRO MANAGEMENT, LLC D .00
PRYTANEE, LLC D .00
ZORRO MANAGEMENT, LLC (HOUSE ACCOUNT) D .00
KATI WANEK-FORSYTHE ... CAME D .00
TODD R WANEK 2015 GRAT TRUST FOR D .00
KEYHOLE PARTNERS, LLC D .00
ADDISON AT MILLENIA HOLDINGS, LLC D .00
ADDISON AT MILLENIA HOLDINGS, LLC
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01421164.pdf
EFTA01431736Set 10
2019-05-035p1,614w
GRAYSON JOCKEY CLUB N 367,915.50
EQUIBASE COMPANY D 516,298.57
NEPTUNE, LLC D 158,916.93
PLAN D, LLC D 248,970.44
NES, LLC D 196,878.16
BLOOD-HORSE LLC ... ZORRO MANAGEMENT, LLC D 113,847.11
PRYTANEE, LLC D 397,882.14
KATI WANEK-FORSYTHE 2015 GRAT D .00
KATI WANEK-FORSYTHE 2015 GRAT TR FOR D .00
SHARI WAGNER ... CAME D .00
TODD R WANEK 2015 GRAT TRUST FOR D .00
KEYHOLE PARTNERS, LLC D .00
THIRD LAKE PARTNERS, LLC D 865,844.42
ADDISON AT MILLENIA HOLDINGS, LLC
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01431736.pdf
EFTA01432302Set 10
2019-07-065p1,660w
GRAYSON JOCKEY CLUB N 403,185.10
42909431 EQUIBASE COMPANY D 667,099.52
42953424 NEPTUNE, LLC D .00
42953432 HYPERION AIR, LLC D .00
42953467 PLAN D, LLC ... LLC D .00
42959295 LSJE, LLC D .00
42963550 BLOOD-HORSE LLC D 300,231.61
42966807 ZORRO MANAGEMENT, LLC D .00
42967439 ZORRO MANAGEMENT, LLC (HOUSE ACCOUNT ... TODD R WANEK 2015 GRAT TRUST FOR D .00
42972203 KEYHOLE PARTNERS, LLC D .00
42972342 THIRD LAKE PARTNERS, LLC D .00
42972449 ADDISON AT MILLENIA HOLDINGS, LLC
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01432302.pdf
EFTA01423161Set 10
2019-03-285p1,559w
GRAYSON JOCKEY CLUB N 802,075.17
EQUIBASE COMPANY D 685,311.25
SOUTHERN FINANCIAL LLC D 254,453.37
NEPTUNE, LLC D 806,354.94
HYPERION AIR, LLC D 2,749,347.94
PLAN ... LLC D 871,505.43
JEGE, LLC D 381,289.83
NES, LLC D 903,000.14
LSJE, LLC D 542,083.09
BLOOD-HORSE LLC D 197,870.61
ZORRO MANAGEMENT, LLC ... PRYTANEE, LLC D 397,882.14
KATI WANEK-FORSYTHE 2015 GRAT D .00
KATI WANEK-FORSYTHE 2015 GRAT TR FOR D .00
SHARI WAGNER 2015 GRAT TRAVIS T. WAGN
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01423161.pdf
EFTA01427915Set 10
2019-03-265p1,827w
JOCKEY CLUB N 805,575.17
42909431 EQUIBASE COMPANY D 467,345.01
42952771 SOUTHERN FINANCIAL LLC D 15,254,453.37
42953424 NEPTUNE, LLC D 815,256.79
42953432 HYPERION AIR, LLC ... PLAN D, LLC D 871,505.43
42953475 JEGE, LLC D 381,289.83
42953758 NES, LLC D 921,568.94
42959295 LSJE, LLC D 161,087.66
42963550 BLOOD-HORSE LLC ... ZORRO MANAGEMENT, LLC D 857,121.99
42967121 PRYTANEE, LLC D 497,882.14
42967703 KATI WANEK-FORSYTHE 2015 GRAT D .00
42970443 KATI WANEK-FORSYTHE 2015 GRAT
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01427915.pdf
EFTA01425254Set 10
2019-02-144p1,357w
GRAYSON JOCKEY CLUB N 3,376,930.81
EQUIBASE COMPANY D 965,514.90
SOUTHERN FINANCIAL LLC D 11,715,363.91
NEPTUNE, LLC D 345,532.15
HYPERION AIR, LLC ... PLAN D, LLC D 562,976.42
HBRK ASSOCIATES, INC D 348,139.06
NES, LLC D 361,889.33
JSC INTERIORS LLC D 155,960.19
LSJE, LLC D 343,904.94
GRATITUDE AMERICA ... BLOOD-HORSE LLC D 441,373.35
ZORRO MANAGEMENT, LLC D 328,036.24
PRYTANEE, LLC D 497,882.14
THE HAZE TRUST D .00
KATI WANEK-FORSYTHE 2015 GRAT
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01425254.pdf
EFTA01428879Set 10
2018-03-3061p17,701w
GLDUS238 SOUTHERN FINANCIAL LLC
iCapital Advisors, LLC
Form ADV Part 2A
ICAPITAL ADVISORS, LLC
FORM ADV PART 2A
Business Address
60 East 42nd
Street, 26th
Floor
New York ... This brochure provides information about the qualifications and business
practices of iCapital
Advisors, LLC ("iCapital"). If you have any questions about the contents of
this brochure
("Brochure"), please contact ... training in providing advisory services to its clients.
1
EFTA01428879
GLDUS238 SOUTHERN FINANCIAL LLC
iCapital Advisors, LLC
Item 2: Material Changes
This brochure amendment is made in connection with iCapital
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01428879.pdf
EFTA01540036Set 10
2012-06-3099p11,434w
Corporation ("JPMCC"). The
Asset Account Statement reflects brokerage
transactions executed through J.P. Morgan Securities LLC ("JPMS"), see
"Portfolio Activity Detail". Equity securities, fixed income
securities, and listed options transactions ... Start on
Page
5
41
Client News
J.P. Morgan Securities LLC's (JPMS LLC) and
J.P. Morgan Clearing Corp.'s (JPMCC) Net Capital
EFTA01540038
and Net Capital Requirements
At June ... JPMS LLC's net capital of $11.8 billion
exceeded the minimum regulatory net capital
requirement of $1.4 billion by $10.3 billion. JPMCC's net
capital of $7.3 billion was approximately
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01540036.pdf
EFTA01425577Set 10
2019-02-264p1,490w
AXCIS INFORMATION NETWORK, INC. D 100,000.00
42952771 SOUTHERN FINANCIAL LLC D 24,564,037.55
42953424 NEPTUNE, LLC D 342,861.03
42953432 HYPERION AIR, LLC D 749,347.94
42953467 PLAN ... LLC D 562,976.42
42953715 HBRK ASSOCIATES, INC D .00
42953758 NES, LLC D 116,148.03
42957978 JSC INTERIORS LLC D .00
42959295 LSJE, LLC D 300,160.45
42959324 GRATITUDE ... AMERICA, LTD N .00
42963550 BLOOD-HORSE LLC D 436,707.96
42966807 ZORRO MANAGEMENT, LLC D 294,102.15
42967121 PRYTANEE, LLC D 497,882.14
42967287 THE HAZE TRUST
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01425577.pdf
EFTA01425400Set 10
2019-02-224p1,274w
GRAYSON JOCKEY CLUB N 812,602.78
EQUIBASE COMPANY D 1,049,353.91
SOUTHERN FINANCIAL LLC D 24,564,037.55
NEPTUNE, LLC D 342,861.03
HYPERION AIR, LLC ... PLAN D, LLC D 562,976.42
HBRK ASSOCIATES, INC D .00
NES, LLC D 116,148.03
JSC INTERIORS LLC D .00
LSJE, LLC D 300,160.45
GRATITUDE AMERICA ... BLOOD-HORSE LLC D 456,839.55
ZORRO MANAGEMENT, LLC D 294,102.15
PRYTANEE, LLC D 497,882.14
THE HAZE TRUST D .00
KATI WANEK-FORSYTHE 2015 GRAT
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01425400.pdf
EFTA01540244Set 10
2012-11-01111p12,458w
Corporation ("JPMCC"). The
Asset Account Statement reflects brokerage
transactions executed through J.P. Morgan Securities LLC ("JPMS"), see
"Portfolio Activity Detail". Equity securities, fixed income
securities, and listed options transactions ... discretionary and all investment decisions are made by the client. J.P.
Morgan Securities LLC ("JPMS") does not provide advice on asset allocation
or investment management
services, nor do its personnel ... SECURITIZATION LTD 2004-A CL B3 5.250%
11/25/2032 DTD 11/01/2004 @ 80.50 JP MORGAN
SECURITIES LLC (BIDL) TRADE DATE 11/05/12 FACE
VALUE 4,164,308.00 (ID: 378961-AH-9)
11/9
Accrued
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01540244.pdf