Exemption
164 stories covering exemption — fund closes, LP allocations, regulatory filings, deal flow, and fundraising signals from PipelineRoad's editorial team.
Shannon River ASP Fund Files D/A Notice With SEC
Shannon River ASP Fund, a series of Alternative Strategies Platform, LLC, submitted a D/A filing under Section 3(c)(7) on August 28, 2026.
Andurand Commodities Discretionary Enhanced Fund Files D/A
Andurand Commodities Discretionary Enhanced Fund submitted a D/A filing on September 3, 2026, referencing Section 3(c)(7) of the Investment Company Act.
D - BE-0408 Fund IV Files SEC Notice Claiming 3(c)(1) Exemption
D - BE-0408 Fund IV, a series of Roll Up Vehicles, LP filed a notice with the SEC on 2026-08-26 under Section 3(c)(1) 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.
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.
Zenith Equity Fund-A LP Files Section 3(c)(7) Notice
D - Zenith Equity Fund-A LP submitted a Section 3(c)(7) filing on 2026-08-21 with the SEC.
Zenith Equity Fund-A LP Files SEC Notice Claiming 3(c)(7) Exemption
Zenith Equity Fund-A LP submitted an SEC filing on August 21, 2026 referencing Section 3(c)(7) of the Investment Company Act.
Zenith Equity Fund-A LP Files 3(c)(7) Notice
D - Zenith Equity Fund-A LP filed a notice of reliance on Section 3(c)(7) of the Investment Company Act on August 21, 2026.
Corbell Private Capital USA Fund II LP Files SEC Notice
Corbell Private Capital USA Fund II LP submitted an SEC filing claiming exemption under Section 3(c)(7) of the Investment Company Act on August 21, 2026.
Diameter Lending Offshore Fund II RNF LP Files 3(c)(7) Notice
D - Diameter Lending Offshore Fund II RNF LP submitted a filing under Section 3(c)(7) of the Investment Company Act on August 19, 2026.
MDF Capital Partners 2023 LP Files 3(c)(1) Notice With SEC
MDF Capital Partners 2023 LP submitted a Form D/A on August 18 2026 claiming exemption under Section 3(c)(1) of the Investment Company Act.
PQ FPL Canadian Revenue Share Access Fund Files SEC D/A
PQ FPL Canadian Revenue Share Access Fund, LP submitted a D/A filing to the SEC on August 18, 2026, claiming the Section 3(c)(7) exemption.
Archer Private Investment Holdings LLC Series 2 Files SEC Notice
D - Archer Private Investment Holdings LLC - Series 2 filed a notice with the SEC claiming exemptions under Section 3(c)(1) and 3(c)(7) of the Investment Company Act.
KKR Asian Fund V SCSp Files D/A With SEC
KKR Asian Fund V SCSp submitted a D/A filing to the SEC on August 14, 2026, claiming exemption under Section 3(c)(7).
Crown Capital REIT, LLC Files SEC Notice Under Section 3(c)(5)
Crown Capital REIT, LLC submitted a filing on August 13, 2026 referencing Investment Company Act Section 3(c)(5).
CIFC CLO Enhanced Income Fund LP Files D/A on August 12 2026
CIFC CLO Enhanced Income Fund LP submitted a D/A filing referencing Investment Company Act Sections 3(c)(1) and 3(c)(7).
Global Horizons Holdings Ventures LLC Series 5 Files SEC Notice
Global Horizons Holdings Ventures LLC Series 5 filed a notice with the SEC on August 12 2026 claiming exemptions under Section 3(c)(1) and 3(c)(7).
WorldQuant Millennium TA SABER Access Fund LLC Files 3(c)(7) Notice
WorldQuant Millennium TA SABER Access Fund LLC submitted a Section 3(c)(7) exemption filing on August 12, 2026 via SEC EDGAR.
D - Two-RE-0714 Fund I Files SEC Notice for 3(c)(1) Exemption
D - Two-RE-0714 Fund I, a series of Platform Funds 2026, LP filed a Form 3C notice with the SEC claiming Section 3(c)(1) exemption on August 11, 2026.
Aptitude Alternative Equity Ltd Files D/A Amendment
Aptitude Alternative Equity Ltd submitted a D/A filing on 2026-07-24 referencing Section 3(c)(7) of the Investment Company Act.
Millstone Global Fund LP Files SEC Notice Claiming 3(c)(7) Exemption
Millstone Global Fund LP submitted a filing to the SEC on August 7 2026 referencing Section 3(c)(7) of the Investment Company Act.
Millstone Global Fund LP Files SEC Notice August 2026
Millstone Global Fund LP submitted a Section 3(c)(7) filing to the SEC on August 7, 2026.
Patients Capital Translation Fund Files 3(c)(1) Exemption Notice
Patients Capital Translation Fund, LP filed an SEC notice on August 7, 2026 claiming exemption under Section 3(c)(1) of the Investment Company Act.
Kaleidoscope Prism Master Fund Files 3(c)(7) Notice
Kaleidoscope Prism Master Fund, LP submitted a D/A filing to the SEC on August 7, 2026, under Section 3(c)(7) of the Investment Company Act.
ArcLight Infrastructure Innovation Fund I-C Files SEC Notice
D - ArcLight Infrastructure Innovation Fund I-C, L.P. submitted a filing under the Investment Company Act on August 6, 2026.
BlueBay Global Securitized Credit Opportunities Fund Files D/A
BlueBay Global Securitized Credit Opportunities Fund LP submitted a D/A filing on August 6, 2026 referencing Section 3(c)(7).
BlueBay Emerging Market Credit Alpha Fund Files 3(c)(7) Notice
BlueBay Emerging Market Credit Alpha Fund Ltd. submitted a D/A filing under Section 3(c)(7) of the Investment Company Act on August 6, 2026.
Vanara Capital Fund I-A, LP Files SEC 3(c)(7) Notice
Vanara Capital Fund I-A, LP submitted a filing under Section 3(c)(7) of the Investment Company Act on August 5, 2026.
StepStone Capital Partners VI Files D/A With SEC
StepStone Capital Partners VI, L.P. submitted a D/A filing to the SEC on July 31, 2026, claiming exemption under Section 3(c)(7) of the Investment Company Act.
Minetta Ventures SPV LLC Files SEC Notice for 3(c)(7) Exemption
Minetta Ventures SPV LLC submitted a D/A filing on July 31, 2026, referencing Section 3(c)(7) of the Investment Company Act.
StepStone Capital Partners VI-E Europe Files 3(c)(7) Notice
StepStone Capital Partners VI-E Europe, SCSp submitted a D/A filing to the SEC claiming exemption under Section 3(c)(7) of the Investment Company Act.
D - GG Investments 26 Series Files SEC Notice for 3(c)(1)
D - GG investments 26 a Series of CGF2021 LLC submitted a Section 3(c)(1) filing to the SEC on July 29, 2026.
Levee Ventures Intramotev I Files SEC Notice Under 3(c)(1)
Levee Ventures Intramotev I, a series of Decile SPV, LLC, submitted a Section 3(c)(1) filing to the SEC on July 24, 2026.
Levee Ventures Intramotev I Files 3(c)(1) SEC Notice
Levee Ventures Intramotev I, a series of Decile SPV, LLC, filed a Section 3(c)(1) exemption notice with the SEC on July 24, 2026.
Aptitude Alternative Equity LP Files D/A Amendment with SEC
Aptitude Alternative Equity LP submitted a D/A filing on July 24, 2026, claiming Section 3(c)(7) exemption under the Investment Company Act.
D - MU-0629 Fund II Files SEC Notice for 3(c)(1) Exemption
D - MU-0629 Fund II, a series of Roll Up Vehicles, LP filed a notice with the SEC claiming the Section 3(c)(1) exemption on July 23, 2026.
Marathon Emerging Markets Bond Fund Files SEC Amendment
Marathon Emerging Markets Bond Fund, L.P. submitted a D/A filing under Section 3(c)(7) of the Investment Company Act on July 22, 2026.
D - AC-0928 Fund II Files 3(c)(1) Exemption Notice
D - AC-0928 Fund II, a series of Roll Up Vehicles, LP submitted a Section 3(c)(1) exemption filing on July 21, 2026 via SEC EDGAR.
Galaxy V Series Files 3(c)(7) Notice with SEC
D - Galaxy V, a Series of E1 Funds, LLC submitted a Section 3(c)(7) filing on 2026-07-20.
Buttonwood Titan QC Fund LLC Series RBT-1 Files 3(c)(1) Exemption
D - Buttonwood Titan QC Fund LLC - Series RBT-1 filed a 3(c)(1) exemption notice with the SEC on 2026-07-20.
JB Investments Offshore Fund IV Files D/A for 3(c)(7) Exemption
JB Investments Offshore Fund IV, Ltd. submitted a D/A filing under Section 3(c)(7) of the Investment Company Act on July 17, 2026.
JB Investments Offshore Fund IV Files D/A Notice for 3(c)(7) Exemption
JB Investments Offshore Fund IV, Ltd. submitted a D/A filing under Section 3(c)(7) of the Investment Company Act on July 17, 2026.
Willow Tree Fund III (Unlevered) (Offshore) Files D/A with SEC
Willow Tree Fund III (Unlevered) (Offshore), LP filed a D/A document under Investment Company Act Section 3(c)(7) on July 17, 2026.
Willow Tree Evergreen Fund, LP Files D/A with SEC
Willow Tree Evergreen Fund, LP submitted a D/A filing on 2026-07-17 claiming Section 3(c)(7) exemption under the Investment Company Act.
AE Industrial Partners Fund IV Files D/A With SEC
AE Industrial Partners Fund IV, LP submitted a D/A filing on 2026-07-17 claiming exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
NCS Group Trust International Fund Files D/A on SEC EDGAR
NCS Group Trust International Fund submitted a D/A filing under Investment Company Act Section 3(c)(7) on July 17, 2026.
HSAM Residential Property Partners Files D/A on July 16 2026
HSAM Residential Property Partners, L.P. submitted a Form D/A amendment claiming Sections 3(c)(1) and 3(c)(7) exemptions under the Investment Company Act.
D-270 Private Capital Opportunities Fund II Files SEC Notice
D-270 Private Capital Opportunities Fund II, LP submitted a Section 3(c)(7) notice to the SEC on July 16, 2026.
Caffeinated Capital Antares SPV Files 3(c)(7) Notice
Caffeinated Capital Antares SPV, LLC submitted a Section 3(c)(7) filing to the SEC on July 16, 2026.
D - SY-0402 Fund I Files 3(c)(1) Notice With SEC
D - SY-0402 Fund I, a series of Gold Dragon Ventures, LP, filed a Section 3(c)(1) notice with the SEC on July 16, 2026.
