Form D · Other Investment Fund

ESSEX NATURAL RESOURCES FUND LLC

Boston, MA · CIK 0001337106

Offering snapshot reported Nov 2, 2012 · SEC filing

Reported sold: $7.7M
Investors reported: 5
Minimum accepted: $500K
First sale: Dec 12, 2003

Fundraising history

Reported sold

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.

No comparable changes in the displayed metrics.

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Nov 2, 2012	Amendment	$7,704,089	$0vs Oct 20, 2011	5	SEC filing
Oct 20, 2011	Amendment	$7,704,089	$0vs Oct 1, 2010	5	SEC filing
Oct 1, 2010	Amendment	$7,704,089	No comparison	1	SEC filing
Aug 23, 2005	Paper	Not reported	No comparison	Not reported	SEC filing

Offering details

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

Sales commissions: $0
Finders' fees: $0
Form D file number: 021-80464

Source: Form D, filed Nov 2, 2012. 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

ESSEX NATURAL RESOURCES FUND, LLC

Investment adviser: ESSEX INVESTMENT MANAGEMENT COMPANY, LLC

Gross asset value: $3.7M
Beneficial owners: 2
ADV minimum commitment: $500K

Reported in Form ADV on May 27, 2014. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator FINANCIAL SOLUTIONS ACCOUNTING & ADMINISTRATIVE SERVICES, INC. SAGAMORE BEACH, Massachusetts, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor WALSH, JASTREM & BROWNE, LLP BOSTON, Massachusetts, United States

Custodian MORGAN STANLEY & CO. LLC NEW YORK, New York, United States Related to adviser: No

Prime broker MORGAN STANLEY & CO. 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

MORGAN STANLEY & CO. LLC
SEC 8-15869

MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869

Filing source

Form ADV 826286 · May 27, 2014 · Schedule D 7.B.(1), fund 805-4905634482

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
Name	Reported role
Stephen D. Cutler	Executive
N/A N/A Essex Investment Management Co., Llc	Executive, Promoter
Christopher P. Mc Connell	Executive
Joe Mc Nay	Executive
Joseph C. Mc Nay	Executive
Nancy B. Prial	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

125 High St 29 Th Fl
Boston, MA, 02110