Regulatory
Regulatory news for fund managers and LPs: SEC exam priorities, enforcement actions, Advisers Act rule changes, private fund adviser regulation, Investment Company Act exemptions, and cross-border compliance developments.
FalconX Holdings Ltd Submits SEC Filing on May 6, 2026
FalconX Holdings Ltd filed a document with the SEC on May 6, 2026, as recorded in SEC EDGAR archives.
Castlebar Fund Ltd Files SEC Document for Section 3(c)(7)
Castlebar Fund Ltd submitted a SEC filing on May 6, 2026, referencing Section 3(c)(7) of the Investment Company Act.
Copper Sky Capital II, L.P. Files for Section 3(c)(7) Exemption
Copper Sky Capital II, L.P. filed a SEC document on May 6, 2026, under Item 3C for Section 3(c)(7) of the Investment Company Act.
SummerHaven Fund Files SEC Form D/A Under Section 3(c)(7)
SummerHaven Absolute Return Commodity Fund, LP submitted a Form D/A filing on May 6, 2026, referencing Section 3(c)(7) of the Investment Company Act.
Opto Tacora Residential Access Fund LP Files SEC Form for Section 3(c)(7)
Opto Tacora Residential Access Fund LP filed a SEC document on May 6, 2026, under Item 3C and 3C.7 for Section 3(c)(7) of the Investment Company Act.
EquityZen Growth Technology Fund Files Under Section 3(c)(1)
EquityZen Growth Technology Fund LLC - Series 2283 filed a SEC form on May 6, 2026, citing Section 3(c)(1) of the Investment Company Act.
7RIDGE Helix Co-Investment LP Files SEC Document Under Investment Company Act
7RIDGE Helix Co-Investment LP filed a SEC document on May 6, 2026, related to Section 3(c)(7) of the Investment Company Act.
Vineyard Quant Capital LP Files Under SEC Section 3(c)(1)
Vineyard Quant Capital LP submitted a SEC filing on May 6, 2026, claiming exemption under Section 3(c)(1) of the Investment Company Act.
LongWater Diversified Access Fund LP Files Under Section 3(c)(7)
D/A - LongWater Diversified Access Fund, LP filed a document with SEC EDGAR on May 6, 2026, specifying Section 3(c)(7) of the Investment Company Act.
Welton Global Macro iCapital Access Fund Files Under Section 3(c)(7)
Welton Global Macro iCapital Access Fund, L.P. submitted a SEC filing on May 6, 2026, under Item 3C.7 for Section 3(c)(7) exemption.
D - Investing With Purpose Fund 2026 LLC Files Under Section 3(c)(1)
D - Investing With Purpose Fund 2026 LLC filed a SEC form on May 6, 2026, related to Section 3(c)(1) of the Investment Company Act.
TruArc Fund V, LP Files SEC Document Under Section 3(c)(7)
TruArc Fund V, LP submitted a filing to the SEC on May 6, 2026, related to Item 3C.7 of the Investment Company Act.
Climate Collective, LP Series Files Under Section 3(c)(1)
D - VO-0409 Fund I, a series of Climate Collective, LP, filed a SEC document on May 6, 2026, citing Item 3C.1 and Section 3(c)(1) of the Investment Company Act.
8090 Industries Flagship Fund Files Under Section 3(c)(1)
D - 8090 Industries Flagship Fund, LP filed a SEC document on May 6, 2026, under Item 3C.1 for Section 3(c)(1) of the Investment Company Act.
Saturnin-LU-0207 Fund I Files Under Investment Company Act Section 3(c)(1)
Saturnin-LU-0207 Fund I, a series of Platform Funds 2026, LP, filed a notice under Section 3(c)(1) of the Investment Company Act on May 6, 2026.
RO-1114 Fund I Files Under Investment Company Act Section 3(c)(1)
D - RO-1114 Fund I, a series of Roll Up Vehicles, LP, filed a SEC document on May 6, 2026, citing Section 3(c)(1) of the Investment Company Act.
ImpactA Global Partners I SCSp Files Form D/A Under Section 3(c)(7)
ImpactA Global Partners I SCSp filed a Form D/A on May 6, 2026, related to Item 3C and Section 3(c)(7) of the Investment Company Act.
AI Innovation Fund V LLC Files SEC Document for Section 3(c)(7)
AI Innovation Fund V LLC submitted a filing to the SEC on May 5, 2026, related to Section 3(c)(7) of the Investment Company Act.
SYNERGY APEX PARTNERS, LLC Files SEC Document
SYNERGY APEX PARTNERS, LLC submitted a filing to the SEC on May 5, 2026, according to EDGAR records.
D - Move Fund II, LP Files SEC Document
D - Move Fund II, LP submitted a filing to the SEC on May 5, 2026, as recorded in the EDGAR database.
K India Opportunities Fund Files SEC Form D/A Under Section 3(c)(7)
K India Opportunities Fund Ltd Class P filed a Form D/A on May 5, 2026, relating to Section 3(c)(7) of the Investment Company Act.
CC&L Q Global Equity Market Neutral Fund Files SEC Document Under Section 3(c)(7)
On May 5, 2026, CC&L Q Global Equity Market Neutral Fund Ltd. filed a document with the SEC, citing Section 3(c)(7) of the Investment Company Act.
D - M31 Fund LP Files SEC Document Under Section 3(c)(7)
D - M31 Fund LP submitted a filing to the SEC on May 5, 2026, related to Section 3(c)(7) of the Investment Company Act.
Legacy Holdings Topco, L.P. Files Document with SEC EDGAR
D - Legacy Holdings Topco, L.P. submitted a filing to SEC EDGAR on May 5, 2026, as part of standard regulatory requirements.
SEC Filing for D - 451-455 South Galvez Qualified Opportunity Fund, LLC
D - 451-455 South Galvez Qualified Opportunity Fund, LLC filed a document with SEC EDGAR on May 5, 2026.
Cache Exchange Fund - Bedrock, LLC Files Under Section 3(c)(7)
Cache Exchange Fund - Bedrock, LLC submitted a SEC filing on May 5, 2026, related to Section 3(c)(7) of the Investment Company Act.
Mosaic, LLC Files SEC Document for Section 3(c)(7) Exemption
D/A - Cache Exchange Fund - Mosaic, LLC submitted a SEC filing on May 5, 2026, related to Section 3(c)(7) of the Investment Company Act.
Cache Exchange Fund - Unix, LLC Files Under SEC Investment Company Act Section 3(c)(7)
Cache Exchange Fund - Unix, LLC submitted a filing to the SEC on May 5, 2026, related to Investment Company Act exemptions.
SAVA Capital Inc. Files Document on SEC EDGAR
SAVA Capital Inc. submitted a filing to SEC EDGAR on May 5, 2026, with accession number 0001946415-26-000004.
Principal Real Estate Liquid Debt Fund LP Files Under Section 3(c)(7)
Principal Real Estate Liquid Debt Fund LP filed a form on May 5, 2026, under Section 3(c)(7) of the Investment Company Act, as per SEC EDGAR records.
ECapital Loan Fund IV LP Files SEC Document on Investment Company Act
ECapital Loan Fund IV LP submitted a filing to SEC EDGAR on May 5, 2026, detailing Item 3C related to Section 3(c)(1) of the Investment Company Act.
H.I.G. Private Equity Co-Investment SMA Files for Section 3(c)(7) Exemption
D - H.I.G. Private Equity Co-Investment SMA (A), L.P. filed a form with the SEC on May 5, 2026, related to Investment Company Act exemptions.
Varick Dynamo Offshore Fund Ltd. Files SEC Document for Section 3(c)(7)
Varick Dynamo Offshore Fund Ltd. filed a 9 KB SEC document on May 5, 2026, related to Section 3(c)(7) of the Investment Company Act.
Cat Rock Capital Partners LP Files SEC Document Under Section 3(c)(7)
Cat Rock Capital Partners LP submitted a filing to the SEC on May 5, 2026, related to Investment Company Act exemptions.
D - Era Compute Investment Fund LP Files SEC Document on Investment Company Act
D - Era Compute Investment Fund LP filed a document with the SEC on May 5, 2026, related to Section 3(c)(1) of the Investment Company Act.
Avlok Capital, LP Files Under Investment Company Act Section 3(c)(1)
Avlok Capital, LP submitted a filing to the SEC on May 5, 2026, referencing Section 3(c)(1) of the Investment Company Act.
D - MI-0409 Fund I Files Under Investment Company Act Section 3(c)(1)
D - MI-0409 Fund I, a series of The Fund Series, LP, filed a document with the SEC on May 5, 2026, related to Section 3(c)(1) of the Investment Company Act.
CTAN Sidecar Fund 2026 Files for Investment Company Act Exemption
CTAN Sidecar Fund 2026, a series of CTAN Sidecar Master Fund LLC, filed a form claiming exemption under Section 3(c)(1) of the Investment Company Act on May 5, 2026.
AG Net Lease Realty Fund III L.P. Files SEC Document on Investment Company Act
AG Net Lease Realty Fund III L.P. filed a document with SEC EDGAR on May 5, 2026, related to Section 3(c)(7) of the Investment Company Act.
Umami Capital, LP Files SEC Document for D - RE-0320 Fund I
Umami Capital, LP submitted a filing on May 5, 2026, for D - RE-0320 Fund I under Section 3(c)(1) of the Investment Company Act, as reported by SEC EDGAR.
Waybury Capital II, LP Files SEC Document Under Investment Company Act
Waybury Capital II, LP submitted a filing to the SEC on May 4, 2026, citing Section 3(c)(1) of the Investment Company Act.
King River Investments Fund 3, L.P. Files Under Section 3(c)(7)
King River Investments Fund 3, L.P. filed a document with SEC EDGAR on May 4, 2026, under Item 3C.7 of the Investment Company Act.
Chimney Rock Equity Partners Fund I F&F Files Under Investment Company Act
Chimney Rock Equity Partners Fund I F&F, LP filed a document on May 4, 2026, related to Section 3(c)(1) of the Investment Company Act, according to SEC EDGAR.
Oceanfront Holdings QOZB LLC Files SEC Document
Oceanfront Holdings QOZB LLC submitted a filing to the SEC on May 4, 2026, as recorded in EDGAR.
WM Alternatives Hudson Bay Fund Files SEC Document on Section 3(c)(7)
WM Alternatives Hudson Bay Onshore Feeder Fund L.P. filed a SEC document on May 4, 2026, related to Investment Company Act Section 3(c)(7).
Elkhorn Energy Partners LP Files SEC Notice Under Investment Company Act Section 3(c)(9)
Elkhorn Energy Partners LP filed a document with the SEC on May 4, 2026, referencing Section 3(c)(9) of the Investment Company Act.
Fulcrum Venture Group Funds LLC - Series CMG 1 Files D/A on SEC EDGAR
Fulcrum Venture Group Funds LLC - Series CMG 1 submitted a D/A filing to SEC EDGAR on May 4, 2026.
D - House Holdings 1.2, LP Files SEC Document Under Section 3(c)(1)
D - House Holdings 1.2, LP filed a document with the SEC on May 4, 2026, related to Section 3(c)(1) of the Investment Company Act.
JNE Fund LP Files SEC Document Under Section 3(c)(7)
JNE Fund LP filed a document with SEC EDGAR on May 4, 2026, citing Item 3C and Section 3(c)(7) of the Investment Company Act.
Snowhawk Capital Fund Files for Investment Company Act Exemptions
Snowhawk Capital Digital Opportunities Fund I-A L.P. filed a notice with the SEC on May 4, 2026, claiming exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
