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/A - Ventures II, LP Files SEC Document Under Section 3(c)(7)
D/A - Ventures II, LP, with CIK 0002017194, filed a document on April 1, 2026, related to Section 3(c)(7) of the Investment Company Act.
3G Capital Partners L.P. Files SEC Document on Investment Company Act Section 3(c)(1)
3G Capital Partners L.P. submitted a filing to the SEC on April 1, 2026, related to Section 3(c)(1) of the Investment Company Act.
Blackstone Energy Transition Partners V - B L.P. Files SEC Document on Investment Act
Blackstone Energy Transition Partners V - B L.P. submitted a filing to the SEC on April 1, 2026, related to Section 3(c)(7) of the Investment Company Act.
Blackstone Energy Transition Partners V Files SEC Exemption
Blackstone Energy Transition Partners V - BL L.P. filed a document under the Investment Company Act Section 3(c)(7) on April 1, 2026, as per SEC EDGAR records.
D - Pulse Co-Investment LP Files Under Investment Company Act Section 3(c)(7)
D - Pulse Co-Investment LP filed a document with SEC EDGAR on April 1, 2026, referencing Item 3C.7 of the Investment Company Act.
Theta Flux Capital Fund LLC Files SEC Exemption Notice
D - Theta Flux Capital Fund, LLC filed a notice with the SEC on April 1, 2026, under Section 3(c)(1) of the Investment Company Act.
Blackstone Energy Transition Partners V Files SEC Form for Section 3(c)(7)
Blackstone Energy Transition Partners V - BL L.P. filed a SEC EDGAR document on April 1, 2026, under Item 3C for Section 3(c)(7) of the Investment Company Act.
D - Pulse Co-Investment LP Files SEC Form for Section 3(c)(7)
D - Pulse Co-Investment LP submitted a SEC EDGAR filing on April 1, 2026, related to Section 3(c)(7) of the Investment Company Act.
Theta Flux Capital Fund LLC Files SEC Form D
Theta Flux Capital Fund LLC filed a Form D on April 1, 2026, under Item 3C claiming exemption under Section 3(c)(1) of the Investment Company Act.
TinySeed Fund 3A, LP Files Under Investment Company Act Section 3(c)(1)
TinySeed Fund 3A, LP filed a SEC document on April 1, 2026, related to Section 3(c)(1) of the Investment Company Act, as per official records.
TinySeed Fund 3B, LP Files Under Investment Company Act Section 3(c)(7)
TinySeed Fund 3B, LP submitted a SEC filing on April 1, 2026, related to Section 3(c)(7) of the Investment Company Act.
Align Fund 2, LP Files SEC Document on Investment Company Act
Align Fund 2, LP submitted a filing to the SEC on April 1, 2026, referencing Section 3(c)(1) of the Investment Company Act.
Align Fund 2, LP Files Under Investment Company Act Section 3(c)(1)
Align Fund 2, LP submitted a SEC filing on April 1, 2026, invoking Section 3(c)(1) of the Investment Company Act.
Asta Capital Partners II LP Files Under Investment Company Act Section 3(c)(1)
Asta Capital Partners II LP submitted a SEC filing on April 1, 2026, related to Section 3(c)(1) of the Investment Company Act.
Royal Lane Holdings, LLC Files SEC Document on April 1, 2026
Royal Lane Holdings, LLC submitted a filing to the SEC on April 1, 2026, with a size of 5 KB, as recorded in EDGAR.
Sixth Street TAO Partners Files SEC Form for Section 3(c)(7)
D - Sixth Street TAO Partners (H), L.P. filed a SEC EDGAR document on April 1, 2026, related to Investment Company Act Section 3(c)(7).
Sixth Street TAO Partners Files Under Section 3(c)(7)
Sixth Street TAO Partners (H), L.P. filed a document with the SEC on April 1, 2026, under Item 3C.7 of the Investment Company Act.
WTC Multi Strategy Fund Offshore Files SEC Document on Investment Company Act
D/A - WTC Multi Strategy Fund Offshore, LLC filed a SEC document on April 1, 2026, citing Investment Company Act Section 3(c) and Section 3(c)(7).
Aubrey GEMs Partners LP Files Form D/A for Section 3(c)(1) Exemption
Aubrey GEMs Partners LP submitted a Form D/A filing on April 1, 2026, citing Section 3(c)(1) of the Investment Company Act.
Aubrey GEMs Partners LP Files Under Investment Company Act Section 3(c)(1)
Aubrey GEMs Partners LP submitted a SEC filing on April 1, 2026, under Item 3C.1 of the Investment Company Act.
Infinitas Capital SPV XXX Files SEC Document
Infinitas Capital SPV XXX, a series of Infinitas Capital Master LLC, filed a document with the SEC on April 1, 2026.
Ithaka Infra Fund III Files for Investment Company Act Exemptions
Ithaka Infra Fund III, F.C.R., filed a document with SEC EDGAR on April 1, 2026, claiming exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
Ithaka Infra Fund III Files for SEC Exemptions Under Investment Company Act
Ithaka Infra Fund III, F.C.R., filed a notice with the SEC on April 1, 2026, claiming exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
MPC IL River Edge Fund LLC Files SEC Document
MPC IL River Edge Fund LLC, with CIK 0001866277, submitted a filing to the SEC on April 1, 2026, according to EDGAR records.
Congress Inquires into Private Credit Operations of Firms Like Blackstone and Ares
Democratic members of the House Financial Services Committee have sent inquiries to major private credit managers including Blackstone, Ares, and KKR about their fund operations.
Everview Residential Finance Holdings B, L.P. Files for Investment Act Exemptions
Everview Residential Finance Holdings B, L.P. filed a document on March 31, 2026, claiming exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
L Squared Capital Partners V-B LP Files for Investment Company Act Exemptions
L Squared Capital Partners V-B LP submitted a SEC filing on March 31, 2026, for exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
L Squared Capital Partners V-B LP Files SEC Form for Investment Exemptions
L Squared Capital Partners V-B LP filed a SEC form on March 31, 2026, claiming exemptions under the Investment Company Act Sections 3(c)(1) and 3(c)(7).
Centerbridge Keystone Fund Files Under Investment Company Act Section 3(c)(7)
Centerbridge Keystone Fund, L.P. filed a SEC form on March 31, 2026, citing Section 3(c)(7) of the Investment Company Act for exemption purposes.
D - MIP HPC Domestic Partners, L.P. Files Under Section 3(c)(7)
D - MIP HPC Domestic Partners, L.P. filed a SEC document under Item 3C.7 for Section 3(c)(7) of the Investment Company Act on March 31, 2026.
L Squared Capital Partners V-EF LP Files for Investment Company Act Exemptions
L Squared Capital Partners V-EF LP submitted a SEC filing on March 31, 2026, claiming exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
MIP HPC Foreign Partners, L.P. Files Under Investment Company Act Section 3(c)(7)
D - MIP HPC Foreign Partners, L.P. filed a SEC document on March 31, 2026, referencing Item 3C and Section 3(c)(7) of the Investment Company Act.
WH Strategic Growth Fund III, LP Files Under Investment Company Act Section 3(c)(1)
WH Strategic Growth Fund III, LP filed a document with the SEC on March 31, 2026, invoking Section 3(c)(1) for exemption, according to SEC EDGAR records.
Centerbridge Keystone Fund L.P. Files SEC Form Under Section 3(c)(7)
Centerbridge Keystone Fund L.P. filed a document with the SEC on March 31, 2026, under Item 3C.7 of the Investment Company Act.
MIP HPC Domestic Partners Files for Section 3(c)(7) Exemption
D - MIP HPC Domestic Partners, L.P. filed with SEC EDGAR on March 31, 2026, for exemption under Investment Company Act Section 3(c)(7).
MIP HPC Foreign Partners L.P. Files for Section 3(c)(7) Exemption
D - MIP HPC Foreign Partners L.P. filed a SEC document on March 31, 2026, related to Investment Company Act Section 3(c)(7).
Apollo Aligned Alternatives ST Fund Files SEC Notice Under Section 3(c)(7)
D/A - Apollo Aligned Alternatives ST Fund (USD), L.P. filed a notice with the SEC on March 31, 2026, under Item 3C.7 of the Investment Company Act.
Apollo Aligned Alternatives ST Fund Files Under Section 3(c)(7)
D/A - Apollo Aligned Alternatives ST Fund (USD), L.P. filed a document with the SEC on March 31, 2026, related to Investment Company Act exemptions.
Blackstone Waypoint Fund LP Files SEC Document on Section 3(c)(7)
Blackstone Waypoint Fund LP submitted a SEC filing on March 31, 2026, detailing Item 3C and Item 3C.7 under the Investment Company Act.
Blackstone Waypoint Fund LP Files Under SEC Section 3(c)(7)
Blackstone Waypoint Fund LP submitted a filing on March 31, 2026, claiming exemption under Section 3(c)(7) of the Investment Company Act.
CLEARMATRIX SPV Files SEC Document on March 31, 2026
CLEARMATRIX SPV A Series of AM SPV Fund Management LLC submitted a filing to the SEC, as documented in the EDGAR database.
Legend Capital Ventures II, LLC Files SEC Document Under Section 3(c)(7)
Legend Capital Ventures II, LLC filed a document with SEC EDGAR on March 31, 2026, related to Item 3C and Section 3(c)(7) of the Investment Company Act.
Mariner Capital Opportunity Fund Files Under Section 3(c)(1)
Mariner Capital Opportunity Fund, LP filed a notice with the SEC on March 31, 2026, claiming exemption under Section 3(c)(1) of the Investment Company Act.
Peachtree Credit Fund IV, LP Files D/A with SEC
Peachtree Credit Fund IV, LP submitted a D/A filing to the SEC on March 31, 2026, as part of regulatory requirements for investment funds.
Peachtree Credit Fund IV, LP Files Form D/A with SEC
Peachtree Credit Fund IV, LP submitted a Form D/A filing to the SEC on March 31, 2026, as recorded in the EDGAR database.
Augurey Ventures I - Series Anduril C Files SEC Form Under Section 3(c)(1)
Augurey Ventures I - Series Anduril C submitted a SEC filing on March 31, 2026, claiming exemption under Section 3(c)(1) of the Investment Company Act.
Augurey Ventures II Files Under Investment Company Act Section 3(c)(1)
Augurey Ventures II, Series Anduril C filed a document with the SEC on March 31, 2026, related to Section 3(c)(1) of the Investment Company Act.
Brentwood Associates Private Equity VII Files for Investment Company Act Exemptions
Brentwood Associates Private Equity VII, L.P. submitted a SEC filing on March 31, 2026, claiming exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
Golub Capital Direct Lending Fund Files SEC Document on Section 3(c)(7)
Golub Capital Direct Lending Fund, L.P., Series SU-A filed a SEC document on March 31, 2026, related to Section 3(c)(7) of the Investment Company Act.
Augurey Ventures I - Series Anduril C Files SEC Form for Investment Company Act Exemption
Augurey Ventures I - Series Anduril C filed a document on March 31, 2026, claiming an exemption under Section 3(c)(1) of the Investment Company Act.
