Form D · Hedge Fund

ESI Investors IV LLC

Arlington, VA · CIK 0001584380

Offering snapshot reported Sep 4, 2013 · SEC filing

Reported sold: $500K
Investors reported: 1
Minimum accepted: $25K
First sale: Sep 3, 2013

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
Sep 4, 2013	Initial	$500,000	No comparison	1	SEC filing

Offering details

Securities: Pooled investment fund
Exemptions: 06, 3C, 3C.1, 3C.7
Duration over one year: No
Business combination: No

Sales commissions: $0
Finders' fees: $0
Form D file number: 021-202289

Source: Form D, filed Sep 4, 2013. 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 IV LLC

Investment adviser: SOLOMON HESS SBA MANAGEMENT LLC

Gross asset value: $28.3M
Beneficial owners: 45
ADV minimum commitment: $25K

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, Tennessee, 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 805-8126478897

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	Apr 29, 2009	$3,700,000	Not reported
ESI Investors III LLC	Nov 3, 2011	Yet to sell	0
ESI Investors IV LLC (this fund)	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:

4301 N Fairfax Drive Ste 850
Arlington, VA, 22203