Investment Company Act
388 stories covering investment company act — fund closes, LP allocations, regulatory filings, deal flow, and fundraising signals from PipelineRoad's editorial team.
Tap Root Capital SMF I-A LP files Form D with SEC under 3(c)(7) exemption
Tap Root Capital SMF I-A LP filed a Form D on Oct. 16, 2026 under the Investment Company Act Section 3(c)(7), according to SEC EDGAR.
Redpoint Ventures IX-M, L.P. appears in SEC EDGAR with Form D filing dated Oct. 15, 2026
SEC EDGAR shows a Form D index entry for Redpoint Ventures IX-M, L.P. with a filed date of Oct. 15, 2026 and Investment Company Act 3(c)(7) indicated.
Siguler Guff Small Business Credit Evergreen Fund, LP files Form D on SEC EDGAR
Siguler Guff Small Business Credit Evergreen Fund, LP filed a Form D on Oct. 15, 2026, according to SEC EDGAR.
Franklin Templeton Digital Asset Frontier Fund files D/A under 3(c)(7) exemption
Franklin Templeton Digital Asset Frontier Fund, Ltd. filed a D/A on Oct. 7, 2026 under Investment Company Act Section 3(c)(7), according to SEC EDGAR.
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.
