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.
D - HPA 2025 WH Investment LLC Files 3(c)(1) Exemption Notice
D - HPA 2025 WH Investment LLC submitted a Section 3(c)(1) exemption filing under the Investment Company Act on July 20 2026.
Pan-Am Investment Partners LLC Files SEC Notice Under Section 3(c)(1)
Pan-Am Investment Partners LLC submitted a 7 KB filing on 2026-07-20 claiming exemption under Investment Company Act Section 3(c)(1).
Interregnum Capital Fund, LP Files SEC Notice
Interregnum Capital Fund, LP submitted a filing to the SEC on July 20, 2026 under Investment Company Act Section 3(c)(1).
BP Commercial Funding Trust Series SPL-V Files D/A on SEC EDGAR
BP Commercial Funding Trust, Series SPL-V (CIK 0001939005) submitted a D/A filing on July 20, 2026, according to SEC EDGAR.
Numeric Emerging Markets Alpha Fund Files D/A With SEC
Numeric Emerging Markets Alpha Fund, L.P. submitted a D/A filing under Section 3(c)(1) of the Investment Company Act on July 20, 2026.
Galaxy V Series Files 3(c)(7) Notice with SEC
D - Galaxy V, a Series of E1 Funds, LLC submitted a Section 3(c)(7) filing on 2026-07-20.
AJ Belle Meade Plaza Fund LLC Files D/A on July 20 2026
AJ Belle Meade Plaza Fund LLC submitted a D/A filing to the SEC on July 20 2026 referencing Investment Company Act Sections 3(c)(5) and 3(c)(7).
BP Commercial Funding Trust Series SPL-VII Files D/A on SEC EDGAR
BP Commercial Funding Trust, Series SPL-VII submitted D/A filing 0001938821-26-000003 to the SEC on July 20, 2026.
TuvaK Global Alpha Offshore Fund Files 3(c)(1) Notice
TuvaK Global Alpha (Offshore) Fund LP submitted a Section 3(c)(1) exemption filing on July 20, 2026, according to SEC EDGAR.
Odyssey Investment Partners Fund VII-A Files SEC Notice
Odyssey Investment Partners Fund VII-A, LP submitted a Section 3(c)(7) filing to the SEC on July 20, 2026.
Buttonwood Titan QC Fund LLC Series RBT-1 Files 3(c)(1) Exemption
D - Buttonwood Titan QC Fund LLC - Series RBT-1 filed a 3(c)(1) exemption notice with the SEC on 2026-07-20.
Odyssey Investment Partners Fund VII Files SEC Notice
Odyssey Investment Partners Fund VII, LP submitted a filing to the SEC on July 20, 2026 under Investment Company Act Section 3(c)(7).
37Spruce Credit Opportunities Fund Files SEC Notice
37Spruce Credit Opportunities Fund, LP submitted a Form 3C filing to the SEC on July 20, 2026 under Section 3(c)(7).
Rootstock Capital II Files SEC Notice Under 3(c)(1)
Rootstock Capital II a Series of CGF2021 LLC submitted a 7 KB filing to the SEC on July 20, 2026 claiming Section 3(c)(1) exemption.
Citizen Energy 2026 Drilling Fund, LP Files D/A on July 20, 2026
Citizen Energy 2026 Drilling Fund, LP (CIK 0002128180) submitted a D/A filing to the SEC on July 20, 2026, per EDGAR records.
Kaizen SPV TL A Series of V360 Holdings LLC Files With SEC
Kaizen SPV TL A Series of V360 Holdings LLC submitted a filing to the SEC on July 20, 2026.
Willow Tree Fund III Files Form D Amendment
Willow Tree Fund III (Unlevered) (Offshore), LP submitted a Form D amendment on July 17, 2026, claiming Section 3(c)(7) exemption.
AE Industrial Partners Fund IV-A Files D/A Amendment
AE Industrial Partners Fund IV-A, LP submitted a D/A filing on 2026-07-17 claiming Investment Company Act exemptions under sections 3(c)(1) and 3(c)(7).
Polis Strategies Fund LLC Series 4 Files With SEC
Polis Strategies Fund LLC - Series 4 submitted a filing to the SEC on July 17, 2026, under accession number 0002142668-26-000001.
AE Industrial Partners Fund IV-A Files D/A on July 17 2026
AE Industrial Partners Fund IV-A LP submitted a D/A filing claiming Investment Company Act exemptions under sections 3(c)(1) and 3(c)(7).
AE Industrial Partners Fund IV, LP Files D/A Amendment with SEC
AE Industrial Partners Fund IV, LP submitted a D/A filing on 2026-07-17 claiming Investment Company Act exemptions under Sections 3(c)(1) and 3(c)(7).
JB Investments Offshore Fund IV Files D/A for 3(c)(7) Exemption
JB Investments Offshore Fund IV, Ltd. submitted a D/A filing under Section 3(c)(7) of the Investment Company Act on July 17, 2026.
Willow Tree Evergreen Fund Files D/A Amendment on July 17 2026
Willow Tree Evergreen Fund LP submitted a D/A filing on July 17 2026 claiming exemption under Investment Company Act Section 3(c)(7).
Willow Tree Fund III (Unlevered) (Offshore) Files D/A on July 17 2026
Willow Tree Fund III (Unlevered) (Offshore), LP filed a D/A amendment with the SEC claiming Section 3(c)(7) exemption under the Investment Company Act.
AE Industrial Partners Fund IV Files D/A Amendment with SEC
AE Industrial Partners Fund IV, LP submitted a D/A filing to the SEC on July 17, 2026 under Investment Company Act sections 3(c)(1) and 3(c)(7).
Willow Tree Evergreen Fund, LP Files D/A with SEC
Willow Tree Evergreen Fund, LP submitted a D/A filing to the SEC on July 17, 2026 under Investment Company Act Section 3(c)(7).
AE Industrial Partners Fund IV Files 3(c) Exemptions Notice
AE Industrial Partners Fund IV, LP submitted a D/A filing on 2026-07-17 claiming Investment Company Act Section 3(c)(1) and 3(c)(7) exemptions.
JB Investments Offshore Fund IV Files D/A Notice for 3(c)(7) Exemption
JB Investments Offshore Fund IV, Ltd. submitted a D/A filing under Section 3(c)(7) of the Investment Company Act on July 17, 2026.
Willow Tree Fund III (Unlevered) (Offshore) Files D/A with SEC
Willow Tree Fund III (Unlevered) (Offshore), LP filed a D/A document under Investment Company Act Section 3(c)(7) on July 17, 2026.
Willow Tree Fund III (Unlevered) Submits D/A Filing
Willow Tree Fund III (Unlevered), LP filed a D/A notice with the SEC on July 17, 2026 under Section 3(c)(7).
AE Industrial Partners Fund IV-A LP Files D/A With SEC
AE Industrial Partners Fund IV-A, LP submitted a D/A filing on July 17, 2026, claiming exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
AE Industrial Partners Fund IV Files D/A Amendment
AE Industrial Partners Fund IV, LP submitted a D/A filing on July 17, 2026 claiming Section 3(c)(1) and 3(c)(7) exemptions under the Investment Company Act.
Willow Tree Evergreen Fund Files D/A on July 17 2026
Willow Tree Evergreen Fund LP submitted a D/A filing claiming Section 3(c)(7) exemption under the Investment Company Act.
Willow Tree Fund III Files D/A With SEC on 2026-07-17
Willow Tree Fund III (Unlevered) (Offshore), LP submitted a D/A filing under Investment Company Act Section 3(c)(7).
Polis Strategies Fund LLC - Series 4 Files SEC Document
Polis Strategies Fund LLC - Series 4 submitted a filing to the SEC on July 17, 2026 under accession number 0002142668-26-000001.
Willow Tree Fund III Files D/A Notice Under 3(c)(7)
Willow Tree Fund III (Unlevered), LP submitted a D/A filing to the SEC on July 17, 2026, claiming the Section 3(c)(7) exemption.
Polis Strategies Fund LLC Series 4 Files SEC EDGAR Document
Polis Strategies Fund LLC Series 4 submitted a filing to SEC EDGAR on July 17, 2026 under accession number 0002142668-26-000001.
Willow Tree Fund III Files D/A With SEC on July 17 2026
Willow Tree Fund III (Unlevered) (Offshore), LP submitted a D/A filing under Section 3(c)(7) of the Investment Company Act.
AE Industrial Partners Fund IV-A Files D/A with SEC
AE Industrial Partners Fund IV-A, LP submitted a D/A filing to the SEC on July 17, 2026, referencing Investment Company Act exemptions under sections 3(c)(1) and 3(c)(7).
AE Industrial Partners Fund IV Files D/A on July 17 2026
AE Industrial Partners Fund IV LP submitted a D/A filing to the SEC on July 17 2026 claiming exemptions under Sections 3(c)(1) and 3(c)(7).
Willow Tree Fund III (Unlevered) Files D/A With SEC
Willow Tree Fund III (Unlevered), LP submitted a D/A filing to the SEC on July 17, 2026 claiming a Section 3(c)(7) exemption.
Willow Tree Fund III Files D/A Claiming 3(c)(7) Exemption
Willow Tree Fund III (Unlevered) (Offshore), LP submitted a D/A filing on 2026-07-17 under Section 3(c)(7) of the Investment Company Act.
Willow Tree Fund III Files 3(c)(7) Amendment With SEC
Willow Tree Fund III (Unlevered), LP submitted a D/A filing on 2026-07-17 claiming the Section 3(c)(7) exemption under the Investment Company Act.
AE Industrial Partners Fund IV-A Files D/A on 2026-07-17
AE Industrial Partners Fund IV-A, LP submitted a D/A filing to the SEC on 2026-07-17 referencing Investment Company Act Section 3(c) exemptions.
JB Investments Offshore Fund IV Files 3(c)(7) Notice
JB Investments Offshore Fund IV, Ltd. submitted a D/A filing claiming the Section 3(c)(7) exemption under the Investment Company Act.
Willow Tree Fund III Files D/A With SEC
Willow Tree Fund III (Unlevered) (Offshore), LP submitted a D/A filing under Section 3(c)(7) on 2026-07-17.
JB Investments Offshore Fund IV Files D/A with SEC
JB Investments Offshore Fund IV, Ltd. submitted a D/A filing on July 17, 2026 referencing Section 3(c)(7) of the Investment Company Act.
AE Industrial Partners Fund IV-A, LP Files D/A With SEC
AE Industrial Partners Fund IV-A, LP submitted a D/A filing on 2026-07-17 referencing Investment Company Act exemptions.
Willow Tree Fund III Files D/A Notice With SEC
Willow Tree Fund III (Unlevered) (Offshore), LP submitted a D/A filing to the SEC on July 17, 2026 claiming a Section 3(c)(7) exemption.
Willow Tree Evergreen Fund, LP Files D/A with SEC
Willow Tree Evergreen Fund, LP submitted a D/A filing on 2026-07-17 claiming Section 3(c)(7) exemption under the Investment Company Act.
