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.
AXAR Onshore Fund, LLC Files D/A Under Section 3(c)(7)
AXAR Onshore Fund, LLC submitted a D/A filing to the SEC on August 21, 2026, referencing Section 3(c)(7) of the Investment Company Act.
Aegle Health Partners Files Form D on August 21, 2026
Aegle Health Partners, Inc. submitted a Form D notice to the SEC with accession number 0001896471-26-000003.
USEDC 2026 Drilling Fund 2 LP Files D/A on SEC EDGAR
USEDC 2026 Drilling Fund 2 LP submitted a D/A filing to the SEC on August 21, 2026, according to SEC EDGAR records.
Corbell Private Capital USA Fund II LP Files SEC Notice
Corbell Private Capital USA Fund II LP submitted an SEC filing claiming exemption under Section 3(c)(7) of the Investment Company Act on August 21, 2026.
LibreMax Structured Opportunities Partners II Files D/A With SEC
LibreMax Structured Opportunities Partners II, LP submitted a D/A filing on August 21, 2026 under Investment Company Act Section 3(c)(7).
DREAM U.S. Industrial Fund LP Files D/A With SEC on August 21 2026
DREAM U.S. Industrial Fund LP submitted a D/A filing under Section 3(c)(7) of the Investment Company Act on August 21 2026 according to SEC EDGAR.
Cordillera Investment Fund IV, L.P. Files SEC Notice
Cordillera Investment Fund IV, L.P. submitted a filing to the SEC on August 21, 2026 under Section 3(c)(7).
Mogul Mountain Ventures Corp Files D/A with SEC
Mogul Mountain Ventures Corp submitted a D/A filing to the SEC on August 21, 2026, per EDGAR records.
Cordillera Investment Fund IV-B Files D/A With SEC
Cordillera Investment Fund IV-B, L.P. submitted a D/A filing to the SEC on August 21, 2026, referencing Section 3(c)(7).
PFD Management Fund 1008 LLC Files D/A With SEC
PFD Management Fund 1008 LLC submitted a D/A filing to the SEC on August 21 2026 according to EDGAR records.
THL (Individuals) Fund X, L.P. Files D/A Amendment on SEC EDGAR
THL (Individuals) Fund X, L.P. submitted D/A filings under Section 3(c)(7) of the Investment Company Act on August 20, 2026.
Harbor Point Fund 1, LLC Files With SEC
Harbor Point Fund 1, LLC submitted a filing to the SEC on August 19, 2026, according to SEC EDGAR records.
THL Equity Fund X Files D/A Amendment on 2026-08-20
THL Equity Fund X, L.P. submitted a D/A filing under Securities Act Section 3(c)(7) to the SEC on August 20, 2026.
Axonic Commercial Real Estate Offshore Fund III Files D/A with SEC
Axonic Commercial Real Estate Offshore Fund III, LP submitted a D/A filing under Investment Company Act Section 3(c)(7) on August 19, 2026.
Valo Ventures II, L.P. Files Form D on August 19, 2026
Valo Ventures II, L.P. submits SEC Form D filing claiming Section 3(c)(7) exemption under the Investment Company Act according to SEC EDGAR records.
THL Parallel Fund X, L.P. Files D/A with SEC
THL Parallel Fund X, L.P. submitted a Form D amendment filing on August 20, 2026 under the Securities Act of 1933.
USEDC 2026 Drilling Fund 2 LP Files D/A with SEC
USEDC 2026 Drilling Fund 2 LP submitted a D/A filing on August 20, 2026, according to SEC EDGAR records.
Diameter Lending Offshore Fund II RNF LP Files 3(c)(7) Notice
D - Diameter Lending Offshore Fund II RNF LP submitted a filing under Section 3(c)(7) of the Investment Company Act on August 19, 2026.
StepStone Secondaries Infrastructure Fund Europe Files D/A
StepStone Secondaries Infrastructure Fund Europe, SCSp SICAV-RAIF submitted a D/A filing to the SEC on August 20, 2026, claiming Section 3(c)(7) exemption.
K2 FS Custom Solutions Fund Ltd. Files D/A on August 20, 2026
K2 FS Custom Solutions Fund Ltd. submitted a D/A filing referencing Section 3(c)(7) of the Investment Company Act.
THL Executive Fund X, L.P. Files D/A Amendment
THL Executive Fund X, L.P. submitted a D/A filing on 2026-08-20 under Section 3(c)(7) according to SEC EDGAR.
Robbins Capital I, L.P. Files With SEC on August 20, 2026
Robbins Capital I, L.P. submitted an SEC filing referencing Investment Company Act exemptions 3(c)(1) and 3(c)(7).
Diameter Lending Offshore Fund II LP Files SEC Notice
Diameter Lending Offshore Fund II LP submitted a Section 3(c)(7) notice filing to the SEC on August 19, 2026.
K2 Apollo Credit Fund Ltd. Files D/A with SEC on August 20 2026
K2 Apollo Credit Fund Ltd. submitted a D/A filing to the SEC claiming Section 3(c)(7) exemption under the Investment Company Act.
Pathway Private Equity Fund III-Co Files 3(c)(7) Exemption Notice
Pathway Private Equity Fund III-Co, LP submitted a Section 3(c)(7) filing to the SEC on August 20, 2026.
SageOne Flagship Growth OE Fund Files SEC Document
SageOne Flagship Growth OE Fund submitted a filing to the SEC on August 20, 2026, per EDGAR records.
MP Industrial Holdings Inc. Files SEC Document August 20 2026
MP Industrial Holdings Inc. (CIK 0002151083) submitted a 5 KB filing to SEC EDGAR on August 20, 2026 under accession number 0002151083-26-000001.
D - HU-0707 Fund II Files SEC Form Claiming 3(c)(1) Exemption
D - HU-0707 Fund II, a series of DVC, LP submitted a filing to the SEC on August 20, 2026 under Investment Company Act Section 3(c)(1).
Sajid Rahman Angel Funds Files D - MA-0622 Fund I Notice
D - MA-0622 Fund I, a series of Sajid Rahman Angel Funds, LP filed a Form D notice claiming Section 3(c)(1) exemption on August 20, 2026.
PCA Co-Investments III Files D/A on August 20, 2026
PCA Co-Investments III, L.P. submitted a D/A filing under Section 3(c)(7) of the Investment Company Act.
ValueQuest India Scale II Offshore Fund Files D/A on August 18 2026
ValueQuest India Scale II Offshore Fund submitted a D/A filing claiming Section 3(c)(1) exemption under the Investment Company Act.
Klondike Holdings LLC Files SEC Document on August 18, 2026
Klondike Holdings LLC submitted a filing to the SEC on August 18, 2026, assigned accession number 0002144150-26-000002.
Diameter Lending Offshore Fund II RNF LP Files SEC Notice
Diameter Lending Offshore Fund II RNF LP submitted a Section 3(c)(7) filing with the SEC on August 19, 2026.
Supervest Investments Series E Files D/A with SEC
Supervest Investments, LLC, Series E submitted a D/A filing to the SEC on August 18, 2026, claiming exemption under Section 3(c)(4) of the Investment Company Act.
Valo Ventures II Files SEC Notice Under 3(c)(7)
D - Valo Ventures II, L.P. submitted a Section 3(c)(7) filing to the SEC on August 19, 2026.
Tarwin Technology Fund Files SEC Notice Under Section 3(c)(7)
Tarwin Technology Fund, L.P. submitted a filing to the SEC on August 19, 2026, referencing Investment Company Act Section 3(c)(7).
Lamar Advertising Limited Partnership Files With SEC on Aug 19 2026
Lamar Advertising Limited Partnership (CIK 0002077037) submitted a filing to the SEC on August 19 2026 under accession number 0001192482-26-000445.
Harbor Point Fund 1, LLC Files SEC Document
Harbor Point Fund 1, LLC submitted a filing to the SEC on August 19, 2026, according to EDGAR records.
D - 47 Spirits Holdings, LLC Files With SEC on August 19, 2026
D - 47 Spirits Holdings, LLC submitted a filing to the SEC on August 19, 2026 under accession number 0002084813-26-000004.
Initium Intrepid Venture LLC Files With SEC
Initium Intrepid Venture LLC submitted a filing to the SEC on August 19 2026 under accession number 0002144912-26-000001.
Ardent Self Storage Development Fund III Files D/A With SEC
Ardent Self Storage Development Fund III, LP submitted a D/A filing on August 18, 2026, referencing Investment Company Act Section 3(c) exemptions.
Roers Growth Fund LLC Files D/A with SEC on August 18, 2026
Roers Growth Fund LLC submitted a D/A filing to the SEC on August 18, 2026, according to SEC EDGAR records.
Alturas Business Fund LLC Files D/A on 2026-08-19
Alturas Business Fund LLC submitted a D/A filing to the SEC citing Section 3(c)(1) of the Investment Company Act.
Diameter Lending Offshore Fund II LP Files 3(c)(7) Notice
Diameter Lending Offshore Fund II LP submitted a filing under Section 3(c)(7) of the Investment Company Act on August 19, 2026.
Rise X Capital Fund LLC Series 2 Files SEC Notice for 3(c) Exemptions
D - Rise X Capital Fund LLC - Series 2 filed a notice with the SEC on 2026-08-19 claiming exemptions under sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
Quantix Commodities Opportunities Fund LP Files SEC Notice
Quantix Commodities Opportunities Fund LP submitted a D/A filing under Section 3(c)(7) on August 12, 2026.
Harmonic Investors LLC Real Assets Income Fund Files D/A on August 12 2026
Harmonic Investors LLC Real Assets Income Fund submitted a D/A filing referencing Section 3(c)(1) of the Investment Company Act according to SEC EDGAR.
WorldQuant Millennium TA SABER Access Fund LLC Files SEC Notice
WorldQuant Millennium TA SABER Access Fund LLC submitted a filing to the SEC on August 12 2026 claiming Section 3(c)(7) exemption under the Investment Company Act.
Kamino Fund, LP Files 3(c)(1) Exemption Notice
Kamino Fund, LP submitted a filing on August 12, 2026, claiming exemption under Section 3(c)(1) of the Investment Company Act.
Dardanelles Capital US Fund LP Files 3(c)(1) Notice With SEC
Dardanelles Capital US Fund LP submitted a D/A filing on August 12, 2026, referencing Investment Company Act Section 3(c)(1).
