Regulatory exemption
40 stories covering regulatory exemption — fund closes, LP allocations, regulatory filings, deal flow, and fundraising signals from PipelineRoad's editorial team.
Kabouter Fund II, LLC Files Under Investment Company Act Section 3(c)(1)
Kabouter Fund II, LLC submitted a filing to the SEC on May 13, 2026, citing Section 3(c)(1) for exemption.
Animal-RE-0422 Fund I Files for Section 3(c)(1) Exemption
D - Animal-RE-0422 Fund I, a series of Platform Funds 2026, LP, filed a form with SEC EDGAR on May 13, 2026, claiming exemption under Section 3(c)(1) of the Investment Company Act.
WorldQuant Millennium Advisors SABER Access LLC Files Under Section 3(c)(7)
WorldQuant Millennium Advisors SABER Access LLC filed a document related to Section 3(c)(7) of the Investment Company Act on May 12, 2026, according to SEC EDGAR.
TPG AG Corporate Credit Opportunities Fund Files SEC Form for Section 3(c)(7) Exemption
TPG AG Corporate Credit Opportunities Fund, L.P. submitted a SEC filing on May 8, 2026, related to Section 3(c)(7) of the Investment Company Act.
FA Innovation Fund LP Files Under SEC Section 3(c)(7)
D - FA Innovation Fund LP filed a document with the SEC on May 8, 2026, related to Investment Company Act exemptions.
Forge Investments, LLC Files SEC Document for Fund FG-OMM
Forge Investments, LLC filed a SEC EDGAR document on May 8, 2026, for its Fund FG-OMM series under Section 3(c)(1) of the Investment Company Act.
Forge Investments, LLC Files SEC Document for Fund FG-OMM
Forge Investments, LLC filed a SEC EDGAR document on May 8, 2026, for Fund FG-OMM under Section 3(c)(1) of the Investment Company Act.
TPG AG Corporate Credit Opportunities Fund Files SEC Form for Section 3(c)(7)
TPG AG Corporate Credit Opportunities Fund, L.P. filed a SEC document on May 8, 2026, referencing Investment Company Act Section 3(c)(7).
Forge Investments, LLC Files for Fund FG-OMM Under Investment Company Act
Forge Investments, LLC filed a document for its Fund FG-OMM series on May 8, 2026, citing Section 3(c)(1) of the Investment Company Act, according to SEC EDGAR.
D - FA Innovation Fund LP Files for Section 3(c)(7) Exemption
D - FA Innovation Fund LP, with CIK 2131498, filed a SEC EDGAR document on May 8, 2026, referencing Item 3C and Item 3C.7 of the Investment Company Act.
TPG AG Corporate Credit Opportunities Fund Files SEC Document Under Section 3(c)(7)
TPG AG Corporate Credit Opportunities Fund, L.P. filed a SEC document on May 8, 2026, related to Section 3(c)(7) of the Investment Company Act.
Golub Capital Fund Files for Investment Company Act Exemption
Golub Capital Private Credit iCapital Offshore Access Fund SPC filed a SEC form on May 8, 2026, for exemption under Section 3(c)(1).
TEEDUP Investment Fund Files Form D/A for Section 3(c)(1) Exemption
TEEDUP Investment Fund, LLC filed a Form D/A on May 8, 2026, citing Section 3(c)(1) of the Investment Company Act, according to SEC EDGAR records.
Pier Special Opportunities Fund LP Files Under Section 3(c)(7)
Pier Special Opportunities Fund LP filed a document on May 8, 2026, related to Section 3(c)(7) of the Investment Company Act, as per SEC EDGAR records.
Mesarete Credit Opportunities Fund Ltd Files Under Section 3(c)(7)
Mesarete Credit Opportunities Fund Ltd filed a document with the SEC on May 8, 2026, citing Section 3(c)(7) of the Investment Company Act.
GTCR Capital Solutions Feeder B LP Files Under Section 3(c)(7)
GTCR Capital Solutions Feeder B LP filed a document with the SEC on May 7, 2026, related to Section 3(c)(7) of the Investment Company Act.
AKL Capital Fund I LP Files Under Investment Company Act Section 3(c)(1)
AKL Capital Fund I LP submitted a SEC filing on May 7, 2026, claiming exemption under Section 3(c)(1) of the Investment Company Act.
TCP Capital Holdings Series Avoca LLC Files Under Section 3(c)(7)
D - TCP Capital Holdings Series Avoca, LLC submitted a filing to the SEC on May 7, 2026, related to Section 3(c)(7) of the Investment Company Act.
Climate Collective, LP Series Files Under Section 3(c)(1)
D - VO-0409 Fund I, a series of Climate Collective, LP, filed a SEC document on May 6, 2026, citing Item 3C.1 and Section 3(c)(1) of the Investment Company Act.
D - Era Compute Investment Fund LP Files SEC Document on Investment Company Act
D - Era Compute Investment Fund LP filed a document with the SEC on May 5, 2026, related to Section 3(c)(1) of the Investment Company Act.
D - AB Municipal Credit Opportunities Fund Files Under Section 3(c)(7)
D - AB Municipal Credit Opportunities Fund, L.P. filed a regulatory document under Section 3(c)(7) of the Investment Company Act on May 1, 2026, as per SEC EDGAR records.
Strategic Investors Fund XII-A Files Section 3(c)(7) Exemption
D - Strategic Investors Fund XII-A, L.P. filed a form under the Investment Company Act Section 3(c)(7) on May 1, 2026, as reported by SEC EDGAR.
Lido Uncapped Platinum Fund Files SEC Document Under Section 3(c)(7)
Lido Uncapped Platinum Fund (Institutional), LP filed a SEC document on May 1, 2026, referencing Section 3(c)(7) of the Investment Company Act.
Coatue Long Only Partners LP Files Under Section 3(c)(7)
Coatue Long Only Partners LP filed a document with the SEC on May 1, 2026, citing Section 3(c)(7) of the Investment Company Act.
Redwood Grove Capital Fund LP Files SEC Document on Investment Company Act
Redwood Grove Capital Fund LP submitted a filing on May 1, 2026, referencing Section 3(c)(1) of the Investment Company Act, according to SEC EDGAR.
BluVenture 2026 US Fund 41 Files Under Investment Company Act Section 3(c)(1)
BluVenture 2026 US Fund 41, a series of Platform Funds 2026, LP, filed a notice under Section 3(c)(1) of the Investment Company Act on April 30, 2026, according to SEC EDGAR.
KKR Multi-Asset Class Credit Fund Files SEC Exemption Document
KKR's Multi-Asset Class Credit Fund submitted a SEC filing on April 29, 2026, for an exemption under Section 3(c)(7) of the Investment Company Act.
Isabella Investments Feeder Fund LP Files Under Section 3(c)(7)
Isabella Investments Feeder Fund LP filed a SEC form on April 28, 2026, referencing Section 3(c)(7) of the Investment Company Act.
Isabella Investments Feeder Fund Ltd Files Under Section 3(c)(7)
Isabella Investments Feeder Fund Ltd submitted a filing on April 28, 2026, related to Section 3(c)(7) of the Investment Company Act.
BlackOak Alpha Growth Fund LP Files Under Investment Company Act Section 3(c)(1)
BlackOak Alpha Growth Fund LP filed a document on April 27, 2026, related to Section 3(c)(1) of the Investment Company Act, as reported in SEC EDGAR filings.
Forge Investments LLC Files for Fund FG-SMP Exemption
Forge Investments LLC submitted a filing for its Fund FG-SMP series under Section 3(c)(1) of the Investment Company Act on April 27, 2026.
ECO Fleet Holdings V LP Files Section 3(c)(1) Exemption Notice
D - ECO Fleet Holdings V LP submitted a SEC filing for exemption under Section 3(c)(1) of the Investment Company Act on April 27, 2026.
NISA Global Equity Alpha Extension Offshore Fund Files Section 3(c)(7) Exemption
D - NISA Global Equity Alpha Extension Offshore Fund Ltd filed for an exemption under Section 3(c)(7) of the Investment Company Act on April 24, 2026, according to SEC EDGAR.
LGIMA Long Duration Fund Files SEC Document for Section 3(c)(7)
LGIMA Long Duration US Government/Credit Fund, LLC filed a document with the SEC on April 24, 2026, under Item 3C of the Investment Company Act, specifically Section 3(c)(7).
Bridgewater Pure Alpha Fund V Files SEC Document Under Section 3(c)(7)
Bridgewater Pure Alpha Fund V, Ltd. filed a document with the SEC on April 24, 2026, citing Section 3(c)(7) of the Investment Company Act.
SKK Ventures LLC Files Under Investment Company Act Section 3(c)(1)
SKK Ventures LLC filed a document under Section 3(c)(1) of the Investment Company Act on April 24, 2026, according to SEC EDGAR.
Prometheus Fund A, L.P. Files for Section 3(c)(1) Exemption
Prometheus Fund A, L.P. submitted a SEC filing on April 24, 2026, related to Section 3(c)(1) of the Investment Company Act.
Vestal Point Partners Files Under Section 3(c)(7)
Vestal Point Partners, LP submitted a SEC filing on April 24, 2026, referencing Section 3(c)(7) of the Investment Company Act.
Forge Investments LLC Files for Fund FG-MRB Under Section 3(c)(1)
Forge Investments LLC submitted a regulatory filing for its Fund FG-MRB series on April 23, 2026, according to SEC EDGAR records.
Forge Investments, LLC Files SEC Document for Fund FG-MRS
Forge Investments, LLC submitted a SEC filing on April 23, 2026, for Fund FG-MRS, referencing Section 3(c)(1) of the Investment Company Act.
