EFTA01079016Set 9
2015-12-3169p22,497w
CONFIDENTIAL
Valuation Analysis of
Rockefeller Financial Services, Inc.
as of December 31, 2015
Berkshire Capital
EFTA01079016
Rockefeller Financial Services, Inc.
Table of Contents
TAB SECTION PAGE
I Valuation Letter ... Overview 4
III Valuation Methodologies 12
IV Valuation Model
Berkshire Capital CONFIDENTIAL
EFTA01079017
Rockefeller Financial Services, Inc.
Valuation Letter
Pursuant to an engagement letter dated October 9, 2015 between Rockefeller ... currently available judgments and estimates of senior management.
Berkshire Capital Page 1
EFTA01079018
Rockefeller Financial Services, Inc.
Valuation Letter
In connection with the preparation of this Valuation, we performed
https://www.justice.gov/epstein/files/DataSet%209/EFTA01079016.pdf
EFTA01078984Set 9
2015-12-3132p8,813w
ROCKEFELLER & CO.
Rockefeller Financial
Services, Inc. and
Subsidiary
Consolidated Financial Statements for the
Years Ended December 31, 2015 and 2014
and Independent Auditors' Report
EFTA01078984
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ROCKEFELLER FINANCIAL SERVICES, INC. AND SUBSIDIARY
TABLE OF CONTENTS
Page
INDEPENDENT AUDITORS' REPORT 1
CONSOLIDATED FINANCIAL STATEMENTS FOR THE YEARS ENDED
DECEMBER 31, 2015 AND 2014:
Balance Sheets ... Deloitte & Touche LLP
Deloitte
INDEPENDENT AUDITORS' REPORT
To the Board of Directors of
Rockefeller Financial Services, Inc.:
We have audited the accompanying consolidated financial statements of Rockefeller Financial Services
https://www.justice.gov/epstein/files/DataSet%209/EFTA01078984.pdf
EFTA00595953Set 9
2015-12-3132p8,833w
ROCKEFELLER & CO.
Rockefeller Financial
Services, Inc. and
Subsidiary
Consolidated Financial Statements for the
Years Ended December 31, 2015 and 2014
and Independent Auditors' Report
EFTA00595953
This page intentionally left blank ... EFTA00595954
ROCKEFELLER FINANCIAL SERVICES, INC. AND SUBSIDIARY
TABLE OF CONTENTS
Page
INDEPENDENT AUDITORS' REPORT 1
CONSOLIDATED FINANCIAL STATEMENTS FOR THE YEARS ENDED
DECEMBER 31, 2015 AND 2014:
Balance Sheets ... INDEPENDENT AUDITORS' REPORT
To the Board of Directors of
Rockefeller Financial Services, Inc.:
We have audited the accompanying consolidated financial statements of Rockefeller Financial Services,
Inc. and its subsidiary
https://www.justice.gov/epstein/files/DataSet%209/EFTA00595953.pdf
EFTA01079462Set 9
2016-03-3043p14,322w
created by the retirement of Antonia M.
Grumbach. The Rockefeller Family Trust controls Rockefeller Financial Services,
Inc., the parent company of Rockefeller & Co.
• On January 7, 2016, Rockefeller & Co. announced ... other fiduciary relationships.
Firm Ownership
Rockefeller & Co. is a wholly-owned subsidiary of Rockefeller Financial Services, Inc. (the
"Parent Company"). The Parent Company is controlled by an independent trust established
https://www.justice.gov/epstein/files/DataSet%209/EFTA01079462.pdf
EFTA01098868Set 9
10p2,922w
QUALIFICATIONS
Chartered Accountant, South Africa
Certified Public Accountant
EFTA01098869
SUMMARY OF EXPERIENCE
2011- ROCKEFELLER FINANCIAL SERVICES, INC.
Present New York, NY
Chief Financial Officer
2010-2010 ADVENT INTERNATIONAL CORPORATION
Boston
https://www.justice.gov/epstein/files/DataSet%209/EFTA01098868.pdf