Investment Company Act
384 stories covering investment company act — fund closes, LP allocations, regulatory filings, deal flow, and fundraising signals from PipelineRoad's editorial team.
Harraden Circle Strategic Investments, LP files D/A on SEC EDGAR citing 3(c)(1)
Harraden Circle Strategic Investments, LP filed a D/A on Sept. 22, 2026, with Item 3C indicating reliance on Investment Company Act Section 3(c)(1).
Bessemer Venture Partners files SEC Form D for Century Fund III Parallel L.P.
A Form D filing for Bessemer Venture Partners Century Fund III Parallel L.P. was posted on SEC EDGAR with a 2026-09-14 filing date.
Bessemer Venture Partners Century Fund III Institutional A L.P. files on SEC EDGAR
Bessemer Venture Partners Century Fund III Institutional A L.P. is listed as a filer in a 2026-09-14 SEC EDGAR submission under Investment Company Act Section 3(c)(7).
Hamilton Lane Impact Fund III-A LP files amended Form D/A on SEC EDGAR
Hamilton Lane Impact Fund III-A LP filed an amended Form D/A on Sept. 11, 2026, according to SEC EDGAR.
American Ventures LLC files D/A for Series XXXVI SIM Sponsor I on SEC EDGAR
American Ventures LLC filed a D/A on Sept. 11, 2026 for Series XXXVI SIM Sponsor I, indicating an Investment Company Act Section 3(c)(1) reference.
Rock Harbor Insurance Fund Series files D/A on SEC EDGAR under 3(c)(7) exemption
Rock Harbor Insurance Fund Series of the SALI Multi-Series Fund, L.P. filed a D/A on 2026-09-11 under the Investment Company Act Section 3(c)(7), according to SEC EDGAR.
Junto Offshore Fund Ltd files D/A on SEC EDGAR under 3(c)(7) exemption
Junto Offshore Fund Ltd filed a D/A on Sept. 11, 2026, showing Investment Company Act Section 3(c)(7) in the SEC index.
System Exec Capital LP files Form D on SEC EDGAR under 3(c)(1) exemption
System Exec Capital LP filed a Form D on Sept. 11, 2026, indicating reliance on Investment Company Act Section 3(c)(1), according to SEC EDGAR.
Dren Capital Fund I LP files amended Form D on SEC EDGAR
Dren Capital Fund I LP filed an amended Form D on Sept. 11, 2026, according to SEC EDGAR.
Twin Lake Total Return Partners QP L.P. files D/A on SEC EDGAR
Twin Lake Total Return Partners QP L.P. (CIK 0001263633) filed a D/A on 2026-09-11 under AccNo 0001263633-26-000002, per SEC EDGAR.
Beck Mack Limited Partnership files amended Form D indicating 3(c)(7) status
Beck Mack Limited Partnership filed an amended Form D on Sept. 11, 2026, with SEC EDGAR and marked an Investment Company Act Section 3(c)(7) exemption.
Hengistbury Fund LP files amended Schedule 13D/A on SEC EDGAR
Hengistbury Fund LP filed a Schedule 13D/A on Sept. 11, 2026, according to an SEC EDGAR index page for Accession No. 0000919574-26-006268.
Neuberger Berman Insurance Fund V files Form D/A for SALI Multi-Series Fund LP
A Form D/A for Neuberger Berman Insurance Fund V series interests of SALI Multi-Series Fund LP was filed on Sept. 10, 2026, according to SEC EDGAR.
Aspira Fund I files Form D with SEC as a 3(c)(7) fund
Aspira Fund I filed a Form D on Sept. 10, 2026 and indicated reliance on Investment Company Act Section 3(c)(7).
Moderate Growth Insurance Fund files D/A on SEC EDGAR under 3(c)(7) exemption
A D/A filing for Moderate Growth Insurance Fund, a series interest of SALI Multi-Series Fund, L.P., was posted on SEC EDGAR on 2026-09-10.
VSS Structured Capital Cayman V, L.P. files exemptive notice under 3(c)(7)
VSS Structured Capital Cayman V, L.P. filed a Form D-related exemptive notice on Sept. 10, 2026 indicating reliance on Investment Company Act Section 3(c)(7).
G Vision Capital S Fund VIII, LLC files SEC EDGAR notice citing 3(c)(1) exemption
SEC EDGAR shows a 2026-09-10 filing by G Vision Capital S Fund VIII, LLC referencing Investment Company Act Section 3(c)(1).
MHF Real Estate Income Fund LLC files Form D under Section 3(c)(5)
MHF Real Estate Income Fund LLC filed a Form D on Sept. 10, 2026, listing Investment Company Act Section 3(c)(5) as its exemption basis.
Romilly Event Fund, LP files Form D/A on SEC EDGAR under 3(c)(1) exemption
Romilly Event Fund, LP filed a Form D/A on 2026-09-10, indicating an Investment Company Act Section 3(c)(1) status on SEC EDGAR.
SALI Multi-Series Fund V, L.P. files D/A for Kaleidoscope Insurance Dedicated Fund Series interests
An SEC EDGAR filing shows a D/A submission for Kaleidoscope Insurance Dedicated Fund Series Interests of the SALI Multi-Series Fund V, L.P., filed Sept. 9, 2026.
Himalaya Capital Investors files amended Form D/A citing 3(c)(7) exemption
Himalaya Capital Investors, L.P. filed a Form D/A on Sept. 9, 2026 that references Investment Company Act Section 3(c)(7), according to SEC EDGAR.
Arrington Capital Offshore Fund, LP files D/A on SEC EDGAR
Arrington Capital Offshore Fund, LP filed a D/A on Sept. 9, 2026, indicating reliance on Investment Company Act Section 3(c)(1) and 3(c)(7).
Thorpe Abbotts Global Flagship Fund, LP filing shows 3(c)(1) exemption selection
A Sept. 9, 2026 SEC EDGAR filing for Thorpe Abbotts Global Flagship Fund, LP lists Investment Company Act Section 3(c)(1) under Item 3C.
CWC Fund II (MFA) LP files Form D on SEC EDGAR citing 3(c)(1) and 3(c)(7)
CWC Fund II (MFA) LP filed a Form D on 2026-09-09 under SEC EDGAR, listing Investment Company Act Section 3(c)(1) and Section 3(c)(7).
SALI Multi-Series Fund, LP filing shows Section 3(c)(7) status for Forester Insurance Fund Series Interests
A Sept. 9, 2026 SEC EDGAR filing for SALI Multi-Series Fund, LP lists Forester Insurance Fund Series Interests and cites Investment Company Act Section 3(c)(7).
Entrepreneurial Value Fund LP files amended Form D/A on SEC EDGAR
Entrepreneurial Value Fund LP filed a Form D/A on Sept. 9, 2026, according to an SEC EDGAR index page.
LuminArx OAS Access Fund, L.P. files Form D on SEC EDGAR
LuminArx OAS Access Fund, L.P. filed a Form D on Sept. 9, 2026, listing Investment Company Act exemptions under Sections 3(c) and 3(c)(7).
Gardenia Japan Opportunity Fund, LP files amended Form D on Sept. 9, 2026
Gardenia Japan Opportunity Fund, LP filed a D/A (amended Form D) on SEC EDGAR on Sept. 9, 2026, citing Investment Company Act Section 3(c)(1).
Tru Arrow Technology Partners CIV XII, LP files Form D on SEC EDGAR
Tru Arrow Technology Partners CIV XII, LP filed a Form D on Sept. 8, 2026, according to SEC EDGAR.
Univest Opportunities Fund LLC, Series I Everline files 3(c)(1) notice on SEC EDGAR
Univest Opportunities Fund LLC, Series I Everline filed a notice on 2026-09-08 indicating reliance on Investment Company Act Section 3(c)(1), according to SEC EDGAR.
1729 Capital files Form D on SEC EDGAR under Investment Company Act Section 3(c)(1)
1729 Capital filed a Form D on Sept. 8, 2026, indicating reliance on Investment Company Act Section 3(c)(1), according to SEC EDGAR.
Everside International Fund V, LP files Form D/A on SEC EDGAR
Everside International Fund V, LP filed a Form D/A amendment on Sept. 8, 2026, according to SEC EDGAR.
MissionOG Parallel Fund IV, L.P. files Form D with SEC EDGAR
MissionOG Parallel Fund IV, L.P. filed a Form D on Sept. 4, 2026, according to an SEC EDGAR index page.
Stellar Growth Fund LP files Form D under Rule 504 and 3(c)(1) exemption
Stellar Growth Fund LP filed a Form D on Sept. 4, 2026, indicating a Rule 504(b)(1) offering and a 3(c)(1) Investment Company Act exemption.
IDA Ventures VII LLC files Form D on SEC EDGAR under Investment Company Act 3(c)(1)
IDA Ventures VII LLC filed a Form D on 2026-09-04, with the filing indicating reliance on Investment Company Act Section 3(c)(1).
MissionOG Fund IV, L.P. files Form D on SEC EDGAR
MissionOG Fund IV, L.P. filed a Form D on Sept. 4, 2026, according to an SEC EDGAR index page.
Juniper Fund Cayman, LLC files D/A on SEC EDGAR citing Investment Company Act 3(c)(1)
Juniper Fund Cayman, LLC filed a D/A on 2026-09-04 with SEC EDGAR under accession number 0001936929-26-000003, citing Investment Company Act Section 3(c)(1).
Stafford VC Fund I, LP files Form D/A on SEC EDGAR
Stafford VC Fund I, LP filed a Form D/A on Sept. 4, 2026, indicating a 3(c)(1) exemption under the Investment Company Act, according to SEC EDGAR.
Armistice Capital Offshore Fund Ltd. files Form D/A citing 3(c)(7) exemption
Armistice Capital Offshore Fund Ltd. filed a Form D/A on Sept. 4, 2026, and the filing references Investment Company Act Section 3(c)(7).
Acadian All Country World Managed Volatility Equity Fund files D/A under 3(c)(7)
Acadian All Country World Managed Volatility Equity Fund, LLC filed a D/A on Sept. 3, 2026 with SEC EDGAR, listing Investment Company Act Section 3(c)(7) in Item 3C.7.
GH Opportunity Fund LP files D/A on SEC EDGAR under Investment Company Act Section 3(c)
GH Opportunity Fund LP filed a D/A on Sept. 1, 2026, with SEC EDGAR that references Investment Company Act Section 3(c), including 3(c)(1) and 3(c)(7).
Khosla Ventures GI SPV II, LLC files Form D with SEC under 3(c)(1) and 3(c)(7)
Khosla Ventures GI SPV II, LLC filed a Form D on Sept. 3, 2026, with SEC EDGAR listing Investment Company Act exemptions 3(c)(1) and 3(c)(7).
Griffin Special Opportunities Fund, L.P. files Form D under 3(c)(7) exemption
Griffin Special Opportunities Fund, L.P. filed a Form D on Sept. 3, 2026, listing Investment Company Act Section 3(c)(7) on SEC EDGAR.
Logos Global Offshore Fund Ltd. files D/A amendment citing 3(c)(7) exemption
Logos Global Offshore Fund Ltd. filed a D/A on Sept. 1, 2026 on SEC EDGAR that references Investment Company Act Section 3(c)(7).
SALI Multi-Series Fund files D/A for Bernstein Diversified Targeted Services Insurance Fund
A 2026-09-01 SEC EDGAR filing shows a D/A for interests in the Bernstein Diversified Targeted Services Insurance Fund Series of SALI Multi-Series Fund, L.P.
Gratia Capital Concentrated Fund Files Section 3(c)(7) Exemption
D/A - Gratia Capital Concentrated Fund, L.P. filed a document with the SEC on May 15, 2026, citing Section 3(c)(7) of the Investment Company Act.
Antero Real Assets Fund II Files SEC Document Under Section 3(c)(7)
Antero Real Assets Fund II, LLC filed a SEC EDGAR document on May 15, 2026, related to Section 3(c)(7) of the Investment Company Act.
Balaji Rolling Fund QP, LP Files for Investment Company Act Exemptions
Balaji Rolling Fund QP, LP submitted a D/A filing to the SEC on May 15, 2026, claiming exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
Syntax Ventures LP Files for Section 3(c)(1) Exemption
D - AL-0311 Fund I, a series of Syntax Ventures, LP, filed a document with SEC EDGAR on May 15, 2026, related to Section 3(c)(1) of the Investment Company Act.
Balaji Rolling Fund, LP Files D/A with SEC
Balaji Rolling Fund, LP submitted a D/A filing to the SEC on May 15, 2026, detailing exemptions under the Investment Company Act.
