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.
CBRE Global Alpha Parallel Fund III FCP-SIF Files with SEC
CBRE Global Alpha Parallel Fund III FCP-SIF, filed by 0002130713, submitted a document to the SEC on May 1, 2026, according to EDGAR records.
Coatue Long Only Partners LP Files Under Section 3(c)(7)
Coatue Long Only Partners LP filed a document with the SEC on May 1, 2026, citing Section 3(c)(7) of the Investment Company Act.
Redwood Grove Capital Fund LP Files SEC Document on Investment Company Act
Redwood Grove Capital Fund LP submitted a filing on May 1, 2026, referencing Section 3(c)(1) of the Investment Company Act, according to SEC EDGAR.
Prime Meridian Income Fund LP Files SEC Document
Prime Meridian Income Fund LP filed a document with the SEC on May 1, 2026, citing Section 3(c)(1) of the Investment Company Act.
Latitude Energy Holdings Inc. Submits SEC Filing on May 1, 2026
Latitude Energy Holdings Inc. filed a document titled 'D - Latitude Energy Holdings Inc.' with the SEC on May 1, 2026, according to EDGAR records.
AB Municipal Credit Opportunities Fund Files SEC Form for Exemption
D - AB Municipal Credit Opportunities Fund, L.P. filed a SEC document on May 1, 2026, citing Investment Company Act Section 3(c)(7).
V360 Holdings LLC Series Files SEC Document on May 1, 2026
D - Cistern Cyclarity A Series of V360 Holdings LLC submits a filing to the SEC, as documented on EDGAR.
Ares Infrastructure Debt Fund VI Files Under Section 3(c)(7)
Ares Infrastructure Debt Fund VI (EUR U) SCSp filed a document with the SEC on May 1, 2026, under Item 3C.7 for Section 3(c)(7) of the Investment Company Act.
Clearwater Opportunity Fund Files SEC Document for Section 3(c)(1)
Clearwater Opportunity Fund, LLLP filed a SEC EDGAR document on May 1, 2026, citing Section 3(c)(1) of the Investment Company Act.
Lasker Fund L.P. Files SEC Notice Under Section 3(c)(7)
Lasker Fund L.P. filed a SEC EDGAR document on May 1, 2026, related to Section 3(c)(7) of the Investment Company Act.
Mica Creek Capital Partners Files SEC Document Under Section 3(c)(7)
Mica Creek Capital Partners, LP filed a document with the SEC on April 30, 2026, related to Section 3(c)(7) of the Investment Company Act.
InterCapital Fund, LP Files Under Investment Company Act Section 3(c)(1)
InterCapital Fund, LP submitted a SEC filing on April 30, 2026, related to Section 3(c)(1) of the Investment Company Act.
Arrowstreet Fund Files for Investment Company Act Exemptions
D/A - Arrowstreet (Delaware) Custom Alpha Extension Fund Q L.P. filed a document on April 30, 2026, citing exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
InterCapital Fund, LP Files Under Investment Company Act Section 3(c)(1)
InterCapital Fund, LP submitted a SEC filing on April 30, 2026, related to Section 3(c)(1) exemption.
Chatham Asset Fund V LP Files for Section 3(c)(7) Exemption
Chatham Asset Private Debt & Strategic Capital Offshore Fund V LP submitted a SEC filing on April 30, 2026, related to Section 3(c)(7) of the Investment Company Act.
Solamere Capital AF V, LP Files SEC Document for Investment Exemptions
Solamere Capital AF V, LP submitted a SEC filing on April 30, 2026, claiming exemptions under the Investment Company Act Sections 3(c)(1) and 3(c)(7).
Kleiner Perkins Select Fund IV Friends LLC Files SEC Exemption Notice
Kleiner Perkins Select Fund IV Friends LLC submitted a filing to the SEC on April 30, 2026, citing Section 3(c)(7) of the Investment Company Act.
Arrowstreet (Delaware) L/S Fund L.P. Files SEC Exemption
Arrowstreet (Delaware) L/S Fund L.P. filed for exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act on April 30, 2026.
1776 Fund, LLC Files for Section 3(c)(1) Exemption with SEC
D - 1776 Fund, LLC filed a notice with the SEC on April 30, 2026, claiming an exemption under Section 3(c)(1) of the Investment Company Act.
Mica Creek Capital Partners LP Files SEC Document Under Investment Company Act
Mica Creek Capital Partners, LP filed a document with SEC EDGAR on April 30, 2026, related to Section 3(c)(7) of the Investment Company Act.
Triton Fund 6 US SCSp Files for Investment Company Act Exemptions
Triton Fund 6 US SCSp filed a document with the SEC on April 30, 2026, claiming exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
Genesis New Ventures, LLC Files SEC Document on April 30, 2026
Genesis New Ventures, LLC submitted a filing to the SEC on April 30, 2026, as documented in the EDGAR database.
Blackstone Private Real Estate Credit & Income Fund Files D/A with SEC
Blackstone's Private Real Estate Credit & Income Fund submitted a D/A filing on April 30, 2026, as per SEC EDGAR records.
Stonepeak Infrastructure Fund - M (Side Car) LP Files SEC Exemption
Stonepeak Infrastructure Fund - M (Side Car) LP submitted a filing claiming an exemption under Section 3(c)(7) of the Investment Company Act on April 30, 2026.
Fenimore Small Cap Fund LLC Files Under Investment Company Act
Fenimore Small Cap Fund LLC filed a document on April 30, 2026, related to Section 3(c)(1) of the Investment Company Act, as per SEC EDGAR records.
Open Doors Partners, LLC Submits SEC Filing on April 30, 2026
Open Doors Partners, LLC filed a document with the SEC on April 30, 2026, as recorded in EDGAR archives.
Phalanx Fund V, LP Files Under Investment Company Act Section 3(c)(5)
Phalanx Fund V, LP submitted a SEC EDGAR filing on April 30, 2026, related to Investment Company Act Section 3(c)(5).
Miller Fund Investors, LLC Files SEC Form for Section 3(c)(1) Exemption
Miller Fund Investors, LLC submitted a SEC filing on April 30, 2026, citing reliance on Section 3(c)(1) of the Investment Company Act.
Arrowstreet Fund Files for Investment Company Act Exemptions
Arrowstreet (Delaware) Custom Alpha Extension Fund Q L.P. filed a SEC document on April 30, 2026, citing exemptions under sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
Brookfield BBUC Annex Fund LP Files SEC Form for Investment Company Act Exemption
Brookfield BBUC Annex Fund LP filed a document with the SEC on April 30, 2026, related to Section 3(c)(7) of the Investment Company Act.
Renown Capital Partners I, L.P. Files for Investment Company Act Exemptions
Renown Capital Partners I, L.P. filed a SEC document on April 30, 2026, claiming exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
Arrowstreet Fund Files SEC Document for Section 3(c)(7) Exemption
Arrowstreet Global Equity ACWI Trust Fund, a sub-fund of Arrowstreet Investment Trust, filed a SEC document on April 30, 2026, related to Section 3(c)(7) of the Investment Company Act.
Triton Fund 6 SCSp Files for Investment Company Act Exemptions
Triton Fund 6 SCSp submitted a SEC filing on April 30, 2026, claiming exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
D - ZE-01271 Fund I Files Section 3(c)(1) Exemption with SEC
D - ZE-01271 Fund I, a series of Roll Up Vehicles, LP, submitted a regulatory filing on April 30, 2026, referencing Item 3C.1 under the Investment Company Act Section 3(c).
BluVenture 2026 US Fund 41 Files Under Investment Company Act Section 3(c)(1)
BluVenture 2026 US Fund 41, a series of Platform Funds 2026, LP, filed a notice under Section 3(c)(1) of the Investment Company Act on April 30, 2026, according to SEC EDGAR.
EquityZen Growth Technology Fund LLC Series 2241 Files for Section 3(c)(1) Exemption
EquityZen Growth Technology Fund LLC - Series 2241 submitted a SEC filing on April 29, 2026, related to Item 3C of the Investment Company Act, specifically Section 3(c)(1).
Spatial Capital Fund I LP Files SEC Document Under Section 3(c)(1)
Spatial Capital Fund I LP submitted a SEC filing on April 29, 2026, citing Section 3(c)(1) of the Investment Company Act for exemption purposes.
Prismic Life Management HoldCo Files Under Investment Company Act Section 3(c)(7)
D - Prismic Life Management HoldCo, LLC filed a document under Section 3(c)(7) of the Investment Company Act on April 29, 2026, as per SEC EDGAR records.
Pioneer Square Ventures Fund III L.P. Files SEC Document for Section 3(c)(7)
Pioneer Square Ventures Fund III, L.P. filed a document with the SEC on April 29, 2026, related to Section 3(c)(7) of the Investment Company Act.
Forvm Global Enhanced Inflation Fund LP Files Under Section 3(c)(7)
Forvm Global Enhanced Inflation Fund LP filed a document with the SEC on April 29, 2026, citing Section 3(c)(7) of the Investment Company Act.
BlackOak Alpha Growth Fund Files SEC Document for Section 3(c)(1)
BlackOak Alpha Growth Fund, LP filed a SEC document on April 29, 2026, related to Investment Company Act Section 3(c)(1).
Forvm Global Enhanced Inflation Fund Files Under Section 3(c)(7)
Forvm Global Enhanced Inflation Fund Ltd submitted a SEC filing on April 29, 2026, under Section 3(c)(7) of the Investment Company Act.
Catatumbo Capital Partners Onshore Fund LP Files Under Section 3(c)(7)
D/A - Catatumbo Capital Partners Onshore Fund LP submitted a SEC filing on April 29, 2026, under Item 3C.7 for Section 3(c)(7) of the Investment Company Act.
KKR Multi-Asset Class Credit Fund Files SEC Exemption Document
KKR's Multi-Asset Class Credit Fund submitted a SEC filing on April 29, 2026, for an exemption under Section 3(c)(7) of the Investment Company Act.
Alpha Caddy Partners LP Files Under Investment Company Act Section 3(c)(1)
Alpha Caddy Partners LP filed a document on April 29, 2026, related to Section 3(c)(1) of the Investment Company Act, according to SEC EDGAR records.
Carlyle Partners Potomac SPV Feeder, L.P. Files SEC Document on Investment Company Act Section 3(c)(7)
Carlyle Partners Potomac SPV Feeder, L.P. filed a 10 KB document with the SEC on April 29, 2026, related to Section 3(c)(7) of the Investment Company Act.
DSC Meridian Fund Files for Section 3(c)(7) Exemption
DSC Meridian Credit Opportunities Onshore Fund LP filed a notice under Section 3(c)(7) of the Investment Company Act on April 29, 2026, according to SEC EDGAR.
DG Systematic Trading Fund L.P. Files SEC Document on Section 3(c)(7)
DG Systematic Trading Fund L.P. filed a SEC document on April 29, 2026, related to Investment Company Act Section 3(c)(7).
Clear Height Crossroads Industrial Fund II Files SEC Notice for Section 3(c)(1)
Clear Height Crossroads Industrial Fund II, L.P. filed a SEC document on April 29, 2026, claiming exemption under Section 3(c)(1) of the Investment Company Act.
Todd & Rahul's Angel Deals, LP Files Under Investment Company Act Section 3(c)(1)
D - LA-0319 Fund I, a series of Todd & Rahul's Angel Deals, LP, filed a SEC document on April 29, 2026, citing Section 3(c)(1) of the Investment Company Act.
