Firms, funds, partners, companies and rounds from sworn filings, firm sites and announcements, kept as a graph with a date and a source on every edge. Facts, inferences and estimates are labelled as such. A fund target is never a close, GAV is never dry powder, and a round size is never an investor’s check.

Firms / ESC Investment Advisors LLC

ESC Investment Advisors LLC

Corporate venture · probableDallas, TXenergyspectrum.comSEC exempt reporting adviserpart of ESP

One of 2 advisers that share energyspectrum.com; the firm is ESP. ESP Investment Advisors LLC. Each keeps its own CRD, funds and filings; the grouping is the website each swore to on Form ADV and is recomputed every pass.

corporate parent: Energy Spectrum Securities Corporation

Importance
28
moderate
Active deployment
0
low
Emerging
0
low
Completeness
44
elevated
Freshness
97
high
Research priority
8
low
Identity and regulatory footprint
Headquarters
Dallas, TXadviserinfo.sec.gov
Office address
5956 SHERRY LANE, SUITE 900, Dallas, TX, 75225adviserinfo.sec.gov
Business phone
214-987-6100adviserinfo.sec.gov
Website
HTTP://WWW.ENERGYSPECTRUM.COM
SEC adviser type
exempt reporting adviseradviserinfo.sec.gov
SEC exemption claimed
unknown
Latest Form ADV
Nov 5, 2019
Private funds reported
3 (3 venture capital funds)adviserinfo.sec.gov
Private fund gross assets
$1.3Badviserinfo.sec.govreported GAV of the funds, the adviser's own number; not fund size, not dry powder
Owners on Schedule A
Energy Spectrum Capital VII LP (Member), E; Energy Spectrum VI LLC (General Partner), F; Energy Spectrum V LLC (General Partner), F; Energy Spectrum VII LLC (General Partner), F; Energy Spectrum Capital V LP (Member), E; Energy Spectrum Securities Corporation (Member), E; Energy Spectrum Capital VI LP (Member), E
business phone
214-987-6100adviserinfo.sec.govpublished by the subject
Stated thesis versus observed behaviour
no observed deals yet
Stated (the firm’s website)
Sectors
not stated or not yet read
Stages
not stated or not yet read
Geography
not stated
Check size
not stated; DFX does not estimate checks from round sizes
Observed (from deals on record)
Stage at participation: no observed deals yet
Stage at first entry: no observed deals yet
Sectors: no observed deals yet
lead rate n/afollow-on rate n/anew logos, 12 months 0
Funds and vehicles
0 reported, 1 no longer reported
VehicleTypeVintageLifecycleReported GAVOwnersForm D soldLatest Form D
Energy Spectrum Partners IV LPFundunknownWound down$3.1M
Mar 27, 2015
22unknownunknown
GAV is the gross asset value the adviser reported on Form ADV for the vehicle, never the fund’s committed size and never dry powder. Form D sold is the amount sold as of the latest filing, never a final close.
Investment team
9 current, 1 departed
James Patrick Benson
Shareholder · since Oct 1, 1997
Partner
FactSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
James William Spann
Shareholder · since Oct 1, 1997
Partner
FactSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
Thomas Oliver Whitener
Shareholder · since Oct 1, 1997
Partner
FactSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
Alison Kara Fischer
Chief Financial Officer · since Dec 1, 2018
Platform and operations
FactSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
Benjamin Hoyle Davis
Senior Vice President · since Nov 1, 2010
Vice president
FactSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
Chandler Andrew Phillips
Vice President · since Dec 1, 2018
Vice president
FactSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
Mark S. Honeybone
Senior Vice President · since Nov 1, 2010
Vice president
FactSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
Michael Charles Mayon
Vice President · since Dec 1, 2018
Vice president
FactSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
Peter W. Augustini
Senior Vice President · since Nov 1, 2010
Vice president
FactSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
1 departed (kept with end dates)
Investments on record
0 edges, 0 companies, 0 partner-attributed
No investment on record yet. Edges arrive from the firm’s portfolio page, financing announcements, and Form D board seats.
Co-investors
0 relationships from shared deals, counted for the whole firm
No co-investor relationship yet: these are derived only from rounds and portfolio listings the graph has seen both investors on.
Limited partners
0 disclosed
No LP commitment on record. An LP edge needs a public disclosure with a quote: a pension report (see Limited partners for the plans read), a fund announcement naming the LP, or a Form ADV owner. The fund page carries the LP’s reported performance.
Timeline
10 dated events
  1. Mar 29, 2019
    Leland Berry White (Shareholder) no longer on Schedule A of ESC Investment Advisors LLC
    Person leftPeopleInferenceLeland Berry WhiteSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
  2. Dec 1, 2018
    Michael Charles Mayon joined Schedule A of ESC Investment Advisors LLC as Vice President
    Person joinedPeopleFactMichael Charles MayonSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
  3. Dec 1, 2018
    Chandler Andrew Phillips joined Schedule A of ESC Investment Advisors LLC as Vice President
    Person joinedPeopleFactChandler Andrew PhillipsSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
  4. Dec 1, 2018
    Alison Kara Fischer joined Schedule A of ESC Investment Advisors LLC as Chief Financial Officer
    Person joinedPeopleFactAlison Kara FischerSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
  5. Mar 28, 2016
    Energy Spectrum Partners IV LP no longer reported on Form ADV by ESC Investment Advisors LLC
    Fund no longer reportedFundsInferenceEnergy Spectrum Partners IV LPSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
  6. Mar 27, 2015
    Energy Spectrum Partners VII LP first reported on Form ADV by ESC Investment Advisors LLC (Venture Capital Fund), GAV $1,217,806,463
    Fund first reported on Form ADVFundsFactEnergy Spectrum Partners VII LPSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
  7. Mar 27, 2012
    ESC Investment Advisors LLC first filed Form ADV (ERA, venture capital fund adviser exemption)
    First SEC adviser filingOrganizationFactSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
  8. Mar 27, 2012
    Energy Spectrum Partners VI LP first reported on Form ADV by ESC Investment Advisors LLC (Venture Capital Fund), GAV $977,189,574
    Fund first reported on Form ADVFundsFactEnergy Spectrum Partners VI LPSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
  9. Mar 27, 2012
    Energy Spectrum Partners V LP first reported on Form ADV by ESC Investment Advisors LLC (Venture Capital Fund), GAV $390,269,576
    Fund first reported on Form ADVFundsFactEnergy Spectrum Partners V LPSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
  10. Mar 27, 2012
    Energy Spectrum Partners IV LP first reported on Form ADV by ESC Investment Advisors LLC (Venture Capital Fund), GAV $194,650,040
    Fund first reported on Form ADVFundsFactEnergy Spectrum Partners IV LPSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
Classification history
  1. Sep 12, 2026
    Corporate venture (probable, 80%, cls-1)
    corporate parent: Energy Spectrum Securities Corporation
Evidence
23 observations from 1 source
Every observation behind this profile, with its source, date and class
FactValueEffectiveClassSource
SEC adviser typeexempt_reporting_adviserNov 5, 2019FactSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
First Form ADV filing2012-03-27Nov 5, 2019FactSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
Adv history loadedadv-hist-1Sep 12, 2026FactSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
Latest Form ADV filing2019-11-05Nov 5, 2019FactSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
Venture share of reported funds1Nov 5, 2019FactSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
Business phone214-987-6100Nov 5, 2019FactSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
HeadquartersDallas, TXNov 5, 2019FactSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
Office address5956 SHERRY LANE, SUITE 900, Dallas, TX, 75225Nov 5, 2019FactSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
Legal formLimited Liability CompanyNov 5, 2019FactSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
Private funds reported3Nov 5, 2019FactSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
Private fund gross assets (reported)$1.3BNov 5, 2019FactSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
Venture funds reported3Nov 5, 2019FactSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
WebsiteHTTP://WWW.ENERGYSPECTRUM.COMNov 5, 2019FactSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)