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-RE-0711 Fund II Files 3(c)(1) Notice With SEC
D-RE-0711 Fund II, a series of Climate Collective LP, submitted a Section 3(c)(1) filing to the SEC on August 26, 2026.
Pilot Point EB-5 Fund Files SEC 3(c)(1) Exemption Notice
D - Pilot Point EB-5 Fund, LLC submitted a Section 3(c)(1) exemption filing to the SEC on August 25, 2026.
Roers Affordable Housing Fund II LLC Files D/A With SEC
Roers Affordable Housing Fund II LLC submitted a D/A filing to the SEC on August 25 2026 claiming Section 3(c)(1) exemption.
WMA International ex-US ex-HK Active Extension Onshore Fund LP Files D/A
WMA International ex-US ex-HK Active Extension Onshore Fund LP submitted a D/A filing under Section 3(c)(7) on August 25, 2026.
BGA Private Opportunities Fund Files D/A for Digital Infrastructure Series
BGA Private Opportunities Fund, LLC - Digital Infrastructure Series submitted a D/A filing to the SEC on August 25, 2026 under Section 3(c)(7).
Crossroads Capital Investment Partners Files SEC Document
Crossroads Capital Investment Partners, LP submitted a filing to the SEC on August 25, 2026 under Investment Company Act Section 3(c)(1).
AspenView Technology Partners Files SEC Document on August 21 2026
AspenView Technology Partners, Inc. submitted a filing to the SEC on August 21 2026 with accession number 0002076209-26-000002.
Apollo Global Management Files D/A Amendment on August 25, 2026
Apollo Global Management, Inc. submitted Form D/A filing 0000950142-26-002424 to the SEC on August 25, 2026.
Axar Offshore Fund Files D/A with SEC
Axar Offshore Fund, Ltd. submitted a D/A filing on August 21, 2026, citing Section 3(c)(7) of the Investment Company Act according to SEC EDGAR.
Long Angle Investments LLC Files Millennium Blocker 2026 SPV Notice
Long Angle Investments LLC submitted an SEC filing for its Millennium Blocker 2026 SPV on August 21, 2026, claiming Section 3(c)(7) exemption.
PennantPark Credit Secondary Offshore Fund Files SEC Notice
D - PennantPark Credit Secondary (Offshore) Fund LP submitted a Section 3(c)(7) filing to the SEC on August 21, 2026.
Gondolin Capital LP Submits SEC Filing on August 25 2026
Gondolin Capital LP filed documents with the SEC under CIK 0002149931 on August 25 2026 according to SEC EDGAR.
WMA International ex-US ex-HK Active Extension Offshore Fund Files D/A
WMA International ex-US ex-HK Active Extension Offshore Fund, Ltd. submitted a D/A filing on August 25, 2026 referencing Section 3(c)(7).
BetterFutureLabs Holdings LLC Files 3(c)(1) Notice with SEC
BetterFutureLabs Holdings LLC submitted a filing on Section 3(c)(1) of the Investment Company Act on August 25, 2026, per SEC EDGAR records.
D - Grove Funding VI LLC Files SEC Notice on August 25 2026
D - Grove Funding VI LLC submitted a Section 3(c)(7) filing to the SEC on August 25 2026 under the Investment Company Act.
Fortress Lending Fund V (U-B) I.L.P. Files SEC Notice
Fortress Lending Fund V (U-B) I.L.P. submitted a Form D filing under Section 3(c)(7) of the Investment Company Act on August 25, 2026.
Aisling Arcturus Partners LP Files Section 3(c)(7) Notice
Aisling Arcturus Partners LP submitted a Section 3(c)(7) filing under the Investment Company Act on August 25, 2026.
BetterFutureLabs Fund I LP Files 3(c)(1) Notice with SEC
BetterFutureLabs Fund I LP submitted a Section 3(c)(1) exemption filing to the SEC on August 25, 2026, under filer ID 0002088179.
Lotus Technology Offshore Fund Files With SEC
Lotus Technology Offshore Fund, LP submitted a filing to the SEC on August 25, 2026, referencing Section 3(c)(7) of the Investment Company Act.
Axar Onshore Fund Files D/A Claiming 3(c)(7) Exemption
Axar Onshore Fund, LLC submitted a D/A filing on August 21, 2026 referencing Section 3(c)(7) of the Investment Company Act.
Schroders Capital Securitized Hi-Grade Flexible Total Return Files SEC Form
Schroders Capital Securitized Hi-Grade Flexible Total Return, L.P. submitted a filing to the SEC on August 25, 2026 under Section 3(c)(7).
IITM Unicorn Frontier Fund I Files D/A on August 25, 2026
IITM Unicorn Frontier Fund I, LP submitted a D/A filing referencing Section 3(c)(1) of the Investment Company Act.
SCVC Advisors Files 3(c)(1) Notice for SCVC-PR-0806 Fund I
SCVC Advisors, LP filed a Section 3(c)(1) notice for D - SCVC-PR-0806 Fund I on August 25, 2026, according to SEC EDGAR.
Origin US Feeder Fund Submits D/A Filing to SEC
Origin US Feeder Fund files D/A notice with the SEC under Section 3(c)(7) of the Investment Company Act on August 25, 2026.
Schroder QEP Global Core Fund Files D/A With SEC
Schroder QEP Global Core Fund, L.P. submitted a D/A filing to the SEC on August 25, 2026 under Section 3(c)(7).
QR Digital Infrastructure Fund LP Files SEC Notice
QR Digital Infrastructure Fund LP submitted a filing under Section 3(c)(7) of the Investment Company Act on August 24, 2026, according to SEC EDGAR.
Roland Equity Partners II LLC Files SEC Notice Under Sections 3(c)(1) and 3(c)(7)
D - Roland Equity Partners II LLC submitted a filing to the SEC on August 24, 2026, referencing Investment Company Act exemptions 3(c)(1) and 3(c)(7).
Stax Capital Funding, LP Files SEC Document on August 24, 2026
Stax Capital Funding, LP submitted a filing to the SEC on 2026-08-24 with accession number 0002151676-26-000001.
AB CarVal Asset Based Fund A LP Files D/A on August 24 2026
AB CarVal Asset Based Fund A LP submitted a D/A filing to the SEC citing Section 3(c)(7) of the Investment Company Act.
Raith Real Estate Fund IV AIV Feeder LP Files SEC Notice
Raith Real Estate Fund IV AIV Feeder LP filed a notice claiming exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
APC Short Duration High Yield Fund Files Form D Amendment
APC Short Duration High Yield Fund, LP submitted a Form D amendment under Section 3(c)(1) on August 24, 2026.
TGN Ventures Fund I, LP Files SEC Notice Under 3(c)(1)
TGN Ventures Fund I, LP submitted a filing with the SEC on August 24, 2026, referencing Section 3(c)(1) of the Investment Company Act.
Hopkins Western Fund LLC Files D/A With SEC on August 24 2026
Hopkins Western Fund LLC submitted a D/A filing on August 24 2026 with accession number 0001335549-26-000001 according to SEC EDGAR.
Raith Real Estate Fund IV AIV LP Files SEC Notice
Raith Real Estate Fund IV AIV LP submitted a regulatory filing claiming exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
D - HPA 2025 I Investment, LLC Files 3(c)(1) Notice With SEC
D - HPA 2025 I Investment, LLC submitted a filing claiming exemption under Section 3(c)(1) of the Investment Company Act on August 24, 2026.
EQPE iCapital Offshore Access Feeder SPC Files D/A With SEC
EQPE iCapital Offshore Access Feeder SPC submitted a D/A filing to the SEC on 2026-08-24 under CIK 0002079327.
AJAX Farmer Partners LLC Files 3(c)(1) Exemption Notice
D - AJAX Farmer Partners LLC submitted a filing to the SEC claiming exemption under Investment Company Act Section 3(c)(1).
Grasshopper Quant Multi-Strategy Fund Files 3(c)(7) Notice
Grasshopper Quant Multi-Strategy Fund submitted a Section 3(c)(7) filing to the SEC on August 24, 2026.
Agate Hound Fund I, LP Files D/A With SEC on August 24, 2026
Agate Hound Fund I, LP submitted a D/A filing to the SEC on 2026-08-24 referencing Investment Company Act exemptions under sections 3(c)(1) and 3(c)(7).
AJAX Kraken Partners LLC Files 3(c)(1) Exemption with SEC
AJAX Kraken Partners LLC submitted a Section 3(c)(1) exemption filing under the Investment Company Act on August 24, 2026.
LibreMax Structured Opportunities Offshore Partners I Files SEC Notice
LibreMax Structured Opportunities Offshore Partners I, LP submitted a filing to the SEC on August 21, 2026 under Section 3(c)(7).
LibreMax Structured Opportunities Offshore Partners II Files D/A With SEC
LibreMax Structured Opportunities Offshore Partners II, LP filed a D/A amendment under Investment Company Act Section 3(c)(7) on August 21, 2026.
LibreMax Opportunistic Value Fund Files D/A with SEC
LibreMax Opportunistic Value Fund, LP submitted a D/A filing referencing Section 3(c)(7) on August 21, 2026.
LibreMax Structured Opportunities Partners I Files D/A on 2026-08-21
LibreMax Structured Opportunities Partners I, LP submitted a D/A filing to the SEC referencing Section 3(c)(7) of the Investment Company Act.
LibreMax Structured Opportunities Partners II Files D/A on SEC EDGAR
LibreMax Structured Opportunities Partners II, LP submitted a D/A filing under Investment Company Act Section 3(c)(7).
Zenith Equity Fund-A LP Files SEC Notice Under 3(c)(7)
Zenith Equity Fund-A LP submitted a filing to the SEC on August 21, 2026, referencing Section 3(c)(7) of the Investment Company Act.
Zenith Equity Fund-A LP Files SEC Notice
Zenith Equity Fund-A LP submitted a Section 3(c)(7) filing with the SEC on August 21, 2026, according to EDGAR records.
Zenith Equity Fund-A LP Files SEC Notice on August 21, 2026
Zenith Equity Fund-A LP submitted a filing to the SEC referencing Investment Company Act Section 3(c)(7).
West Street Infrastructure Partners V Employee Fund LP Files D/A
West Street Infrastructure Partners V Employee Fund LP submitted a D/A filing to the SEC on August 21, 2026.
West Street Strategic Solutions II Employee Fund LP Files D/A
West Street Strategic Solutions II Employee Fund LP submitted a D/A filing to the SEC on August 21, 2026.
