Form D · Hedge Fund

ESS Capital Management L.P.

New York, NY · CIK 0001503491

Offering snapshot reported Oct 11, 2011 · SEC filing

Reported sold
$4.5M
Indefinite offering
Investors reported
6
Form D · investor count
Minimum accepted
$500K
Reported outside-investor minimum
First sale
Oct 1, 2010
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$2.25M$4.5MOct 14, 2010: $3,000,000.00Oct 14, 2010Oct 11, 2011: $4,500,000.00Oct 11, 2011

Dates are filing dates, not cash receipt dates. Decreases are reported revisions, not evidence of withdrawals. Separate offering histories are not added together.

What changed?

Latest filing versus its linked predecessor, where available.

  • Reported sold$3,000,000 → $4,500,000
  • Reported investors3 → 6

Filing history

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
Oct 11, 2011Amendment$4,500,000$1,500,000vs Oct 14, 20106SEC filing
Oct 14, 2010Initial$3,000,000No comparison3SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06, 3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-149090

Source: Form D, filed Oct 11, 2011. 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

ESS CAPITAL MANAGEMENT, L.P.

Investment adviser: ESS FUND MANAGEMENT, LLC

Gross asset value
$5.6M
Beneficial owners
9
ADV minimum commitment
$500K

Reported in Form ADV on Mar 30, 2015. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator COHEN & ASSOCIATEES WESTPORT, Connecticut, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor EISNERAMPER LLP NEW YORK, New York, United States
Custodian JP MORGAN SECURITIES LLC NEW YORK, New York, United States Related to adviser: No
Prime broker BTIG, LLC NEW YORK, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

BTIG, LLC
CRD 122225 · SEC 8-65473

Filing source

Form ADV 903378 · Mar 30, 2015 · Schedule D 7.B.(1), fund 805-6283954501

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

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
NameReported role
Eric S. Stein Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
150 East 52 Nd Street 6 Th Floor
New York, NY, 10022