Form D · Pooled Investment Fund

ESI Investors II LLC

Mclean, X1 · CIK 0001462914

Offering snapshot reported Apr 29, 2009 · SEC filing

Reported sold: $3.7M
Investors reported: Not reported
Minimum accepted: Not reported
First sale: Not reported

What changed?

Latest filing versus its linked predecessor, where available.

No comparable changes in the displayed metrics.

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Apr 29, 2009	Initial	$3,700,000	No comparison	Not reported	SEC filing

Offering details

Securities: Not reported
Exemptions: Not reported
Duration over one year: Not reported
Business combination: Not reported

Sales commissions: Not reported
Finders' fees: Not reported
Form D file number: 021-130575

Source: Form D, filed Apr 29, 2009. Minimum accepted may differ from a standard advertised minimum.

Fund connections

The linked fund shows its most recently reported ADV details.

Matched by reported Form D file number

ESI INVESTORS II LLC

Investment adviser: SOLOMON HESS SBA MANAGEMENT LLC

Gross asset value: $4.51M
Beneficial owners: 27
ADV minimum commitment: $50K

Reported in Form ADV on Mar 19, 2014. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Auditor WEAVER & TIDWELL LLP HOUSTON, Texas, United States

Custodian UBS FINANCIAL SERVICES INC. LA JOLLA, California, United States Related to adviser: No

Custodian US BANK, NA MILWAUKEE, Wisconsin, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: No
External marketing: No

UBS FINANCIAL SERVICES INC.
SEC 8-16267

Filing source

Form ADV 801397 · Mar 19, 2014 · Schedule D 7.B.(1), fund 805-3235954113

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Related funds

Funds whose names form a numbered series with this one and that share its city or the name of a related person. Form D does not state how these funds are related.

Fund	Latest Form D	Reported sold	Investors
ESI Investors II LLC (this fund)	Apr 29, 2009	$3,700,000	Not reported
ESI Investors III LLC	Nov 3, 2011	Yet to sell	0
ESI Investors IV LLC	Sep 4, 2013	$500,000	1

People & organizations

Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.

People and organizations reported in Form D filings
Name	Reported role
William Edward Einstein	Executive
Anthony Jason Heilizer	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

1350 Beverly Road #250
Mclean, X1, 22101