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.
Third Seven Capital SPV Files 3(c)(1) Notice for Positron Series C
D - Positron Series C, a series of Third Seven Capital SPV Master Series LLC, submitted an SEC filing claiming Section 3(c)(1) exemption on August 14, 2026.
Viking Partners Fund VI-Q, LLC Files D/A with SEC
Viking Partners Fund VI-Q, LLC submitted a D/A filing to the SEC on August 14, 2026, under accession number 0002090927-26-000001.
Capital Defense Technologies LLC Files D/A With SEC EDGAR
Capital Defense Technologies LLC submitted a D/A filing to the SEC on August 14, 2026, per EDGAR records.
Viking Partners Fund VI Files D/A with SEC on August 14 2026
Viking Partners Fund VI LLC submitted a D/A filing to the SEC on August 14 2026 with accession number 0002092010-26-000001.
Desert Lion Capital Fund I Files 3(c)(1) Exemption Notice
Desert Lion Capital Fund I, LP submitted a D/A filing on August 14, 2026, claiming exemption under Section 3(c)(1) of the Investment Company Act.
Redwheel Emerging Markets Equity Fund Ltd Files D/A With SEC
Redwheel Emerging Markets Equity Fund Ltd submitted a D/A filing on August 14, 2026, claiming exemption under Section 3(c)(7) of the Investment Company Act.
Thai Capital Fund, LP Submits SEC Filing Under Section 3(c)(1)
Thai Capital Fund, LP filed a document with the SEC on August 14, 2026, under Investment Company Act Section 3(c)(1).
Regents Gate Capital Fund Ltd Files D/A Amendment with SEC
Regents Gate Capital Fund Ltd submitted a D/A filing to the SEC on August 14, 2026, referencing Section 3(c)(7) of the Investment Company Act.
Gymkhana Partners L.P. Files D/A with SEC on August 14, 2026
Gymkhana Partners L.P. submitted a D/A filing referencing Section 3(c)(1) of the Investment Company Act.
IITM Unicorn Frontier Fund I, LP Files D/A With SEC
IITM Unicorn Frontier Fund I, LP submitted a D/A filing to the SEC on 2026-08-14 claiming Section 3(c)(1) exemption.
Kimmeridge Fund VII-B, LP Files SEC Notice
Kimmeridge Fund VII-B, LP submitted a Section 3(c)(7) filing with the SEC on August 13, 2026, according to SEC EDGAR.
Wilson Ln. Holdings LLC Files With SEC on August 13 2026
Wilson Ln. Holdings LLC submitted a filing to the SEC EDGAR system on August 13 2026 under accession number 0002150046-26-000001.
Arena Capital Fund Series 3 Files D/A With SEC
Arena Capital Fund, L.P.- Series 3 submitted a D/A filing on 2026-08-13 referencing Section 3(c)(7) of the Investment Company Act.
Health Wealth Fund One Series 3 LLC Files D/A on August 13 2026
Health Wealth Fund One Series 3 LLC submitted a D/A filing to the SEC on August 13 2026 under accession number 0002128347-26-000006.
Marval Guru Fund Files 3(c)(7) Notice With SEC
Marval Guru Fund submitted a D/A filing under Section 3(c)(7) of the Investment Company Act on August 13, 2026.
Prairie Wheel Capital LLC Files SEC Document August 13 2026
Prairie Wheel Capital LLC submitted a filing to the SEC EDGAR system on August 13, 2026 under CIK 0002150404.
Madison GS Storage Fund, LLC Files D/A With SEC
Madison GS Storage Fund, LLC submitted a D/A filing to the SEC on August 13, 2026, according to EDGAR records.
Crown Capital REIT, LLC Files SEC Notice Under Section 3(c)(5)
Crown Capital REIT, LLC submitted a filing on August 13, 2026 referencing Investment Company Act Section 3(c)(5).
HC Siranga Holdings, LP Files 3(c)(1) Notice
HC Siranga Holdings, LP submitted a Section 3(c)(1) filing to the SEC on August 13, 2026.
Terramont Infrastructure Opportunities Fund II Files SEC Notice
Terramont Infrastructure Opportunities Fund II (Cayman), L.P. submitted a filing to the SEC on August 13, 2026 under Section 3(c)(7).
Lightspeed HS Holdings Files SEC Notice for 3(c)(7) Exemption
Lightspeed HS Holdings, LLC submitted a filing under Section 3(c)(7) of the Investment Company Act on August 13, 2026.
Kimmeridge Fund VII Files SEC Notice Under Section 3(c)(7)
Kimmeridge Fund VII, LP submitted a filing on August 13, 2026, referencing Investment Company Act Section 3(c)(7) according to SEC EDGAR.
Litquidity Ventures Fund LLC Series 57 Files D/A With SEC
Litquidity Ventures Fund LLC Series 57 submitted a D/A filing to the SEC on August 13, 2026, according to SEC EDGAR.
Evantic Champions Fund I LP Files SEC Notice
Evantic Champions Fund I LP submitted a filing to the SEC on August 13, 2026 referencing Section 3(c)(7) of the Investment Company Act.
Jefferies Credit Partners Files 3(c)(7) Notice for Levered European Direct Lending Fund
Jefferies Credit Partners (Luxembourg) S.C.A. SICAV-RAIF submitted a Section 3(c)(7) filing for the Jefferies Levered European Direct Lending Fund on August 13, 2026.
Aaron Wealth Private Access Fund LLC Files SEC Notice
Aaron Wealth Private Access Fund LLC submitted a filing to the SEC on August 13, 2026, referencing Section 3(c)(7) of the Investment Company Act.
Arena Capital Fund, L.P. Series 4 Files D/A with SEC
Arena Capital Fund, L.P.- Series 4 submitted a D/A filing on 2026-08-13 claiming the Section 3(c)(7) exemption under the Investment Company Act.
Lynstone Special Situations Fund III (No. 1) LP Files SEC Notice
Lynstone Special Situations Fund III (No. 1) LP submitted a filing to the SEC on August 13, 2026 under Investment Company Act Section 3(c)(7).
Wellington Asia Quality Market Neutral Fund Files SEC Notice
Wellington Asia Quality Market Neutral Fund, L.P. submitted a Section 3(c)(7) filing to the SEC on August 13, 2026.
Catena Ventures Frontier Fund 3 Files SEC 3(c)(1) Notice
Catena Ventures Frontier Fund 3, LLC submitted a Section 3(c)(1) filing under the Investment Company Act on August 13, 2026.
TigerMax Partners, LP Files SEC Document for Series B
TigerMax Partners, LP submitted a filing on 2026-08-13 referencing Section 3(c)(7) of the Investment Company Act.
Mare Liberum Advanced Manufacturing Fund Files 3(c)(1) Notice
Mare Liberum Advanced Manufacturing Fund LLC filed a Section 3(c)(1) exemption notice with the SEC on August 13, 2026.
KEK Capital 1 LLC Files SEC 3(c)(1) Exemption Notice
KEK Capital 1 LLC submitted a notice to the SEC claiming exemption under Section 3(c)(1) of the Investment Company Act on August 13, 2026.
Coastline Venture Partners Prometheus LLC Files 3(c)(1) Notice
Coastline Venture Partners Prometheus LLC submitted a SEC filing on August 13, 2026, referencing Section 3(c)(1) of the Investment Company Act.
IFG Preferred Equity Fund LLC Files SEC Document
IFG Preferred Equity Fund LLC submitted a D/A filing to the SEC on August 12, 2026, referencing Section 3(c)(5).
Washington Area Community Investment Fund Files Rule 504 Notice
Washington Area Community Investment Fund, Inc. submitted a 6 KB SEC filing on August 12, 2026, referencing Item 04 under Rule 504(b)(1).
D - MVP ES FUND CLXIII LLC Files SEC Notice Claiming 3(c)(1) Exemption
D - MVP ES FUND CLXIII LLC submitted a filing to the SEC on August 12 2026 under Section 3(c)(1) of the Investment Company Act.
CIFC CLO Enhanced Income Fund LP Files D/A on August 12 2026
CIFC CLO Enhanced Income Fund LP submitted a D/A filing referencing Investment Company Act Sections 3(c)(1) and 3(c)(7).
RioBlanco Fund II LLC Files 3(c)(1) Notice for Ponce Series XI
RioBlanco Fund II LLC - Ponce Series XI submitted a Section 3(c)(1) filing with the SEC on August 12, 2026.
Positive Sum Capital IV, LP Files 3(c)(7) Notice
Positive Sum Capital IV, LP submitted a Section 3(c)(7) filing with the SEC on August 12, 2026.
Oxshott Venture Fund XI LLC Files 3(c)(1) Exemption Notice
Oxshott Venture Fund XI LLC submitted a Section 3(c)(1) notice to the SEC on August 12, 2026.
TideView I Holdings LLC Files D/A on Section 3(c)(1) Exemption
TideView I Holdings LLC submitted a D/A filing on 2026-08-12 referencing Investment Company Act Section 3(c)(1).
Global Horizons Holdings Ventures LLC Series 3 Files SEC Notice
Global Horizons Holdings Ventures LLC - Series 3 submitted an SEC filing on August 12 2026 claiming Investment Company Act exemptions under sections 3(c)(1) and 3(c)(7).
Global Horizons Holdings Ventures LLC Series 5 Files SEC Notice
Global Horizons Holdings Ventures LLC Series 5 filed a notice with the SEC on August 12 2026 claiming exemptions under Section 3(c)(1) and 3(c)(7).
D - Lux Ventures VIII-B, L.P. Files SEC Notice
D - Lux Ventures VIII-B, L.P. submitted a filing to the SEC on 2026-08-12 citing Investment Company Act exemptions.
Quantix Commodities Opportunities Fund LP Files SEC D/A Notice
Quantix Commodities Opportunities Fund LP submitted a D/A filing with the SEC on August 12, 2026 claiming exemption under Section 3(c)(7).
Kamino Fund, LP Files SEC Notice Under 3(c)(1)
Kamino Fund, LP submitted a filing to the SEC on August 12, 2026, referencing Section 3(c)(1) of the Investment Company Act.
Trefoil/Garnet Capital Partners LP Files D/A on Section 3(c)(1)
Trefoil/Garnet Capital Partners LP submitted a D/A filing to the SEC on August 12 2026 referencing Investment Company Act Section 3(c)(1).
WorldQuant Millennium TA SABER Access Fund LLC Files 3(c)(7) Notice
WorldQuant Millennium TA SABER Access Fund LLC submitted a Section 3(c)(7) exemption filing on August 12, 2026 via SEC EDGAR.
Dardanelles Capital US Fund LP Files 3(c)(1) Notice with SEC
Dardanelles Capital US Fund LP submitted a filing under Investment Company Act Section 3(c)(1) on August 12, 2026.
