Exemption Notice
43 stories covering exemption notice — fund closes, LP allocations, regulatory filings, deal flow, and fundraising signals from PipelineRoad's editorial team.
Lightspeed HS Holdings Files SEC Notice for 3(c)(7) Exemption
Lightspeed HS Holdings, LLC submitted a filing under Section 3(c)(7) of the Investment Company Act on August 13, 2026.
D - Lux Ventures VIII-B, L.P. Files SEC Notice
D - Lux Ventures VIII-B, L.P. submitted a filing to the SEC on 2026-08-12 citing Investment Company Act exemptions.
Galaxy Sharplink Onchain Yield Fund Files SEC 3(c)(7) Notice
Galaxy Sharplink Onchain Yield Fund, LP filed an exemption notice under Investment Company Act Section 3(c)(7) on August 11, 2026.
NDH Opportunity Funds LLC Series 10 Files SEC Exemption Notice
NDH Opportunity Funds LLC Series 10 submitted a filing under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act on August 7, 2026.
Millstone Global Fund LP Files SEC Notice on 3(c)(7) Status
Millstone Global Fund LP submitted a filing to the SEC on August 7 2026 claiming exemption under Section 3(c)(7) of the Investment Company Act.
ArcLight Infrastructure Innovation Fund I-B Files SEC Notice
D - ArcLight Infrastructure Innovation Fund I-B, L.P. submitted an SEC filing on August 6, 2026 claiming Investment Company Act exemptions under sections 3(c)(1) and 3(c)(7).
InvestX Growth Equity V-US (QP) LP Files D/A With SEC
InvestX Growth Equity V-US (QP) LP submitted a D/A filing under Section 3(c)(7) of the Investment Company Act on August 5, 2026.
Newbrook Capital Eastpointe Ridge Investors Files SEC Notice
Newbrook Capital Eastpointe Ridge Investors LLC submitted a Section 3(c) filing with the SEC on August 4, 2026.
360 ONE ARISE Credit Fund Files SEC Notice Claiming 3(c)(1) and 3(c)(7) Exemptions
360 ONE ARISE Credit Fund submitted a 7 KB SEC filing on August 4 2026 listing Investment Company Act Section 3(c)(1) and 3(c)(7) exemptions.
TMAM/Pathway Global Opportunities USD Fund XI Files SEC Notice
TMAM/Pathway Global Opportunities USD Fund XI, LP submitted an SEC filing on August 3, 2026 claiming exemptions under Investment Company Act sections 3(c)(1) and 3(c)(7).
Asteya Partners Delaware, LP Files SEC Exemption Notice
Asteya Partners Delaware, LP submitted a filing to the SEC on August 3, 2026, claiming exemption under Section 3(c)(1) of the Investment Company Act.
SemiAnalysis Capital Fund I, LP Files SEC Notice
SemiAnalysis Capital Fund I, LP submitted a filing to the SEC on 2026-07-29 claiming exemptions under Section 3(c)(1) and 3(c)(7) of the Investment Company Act.
Quadrant Private Capital Solutions Platform Files SEC Notice
D - Quadrant Private Capital Solutions Platform, LP submitted a filing to the SEC on July 29, 2026, under Investment Company Act Section 3(c).
D - LAM European Opportunities Fund Files 3(c)(7) Notice
D - LAM European Opportunities Fund, LP submitted a Section 3(c)(7) exemption filing to the SEC on July 28, 2026.
EIP Frontier Fund II (Lux Feeder) SCSp Files D/A Notice
EIP Frontier Fund II (Lux Feeder) SCSp submitted a D/A filing on 2026-07-28 referencing Investment Company Act exemptions 3(c)(1) and 3(c)(7).
Sagard Credit Partners III-U RN (US) LP Files SEC Notice
Sagard Credit Partners III-U RN (US) LP submitted a filing to the SEC on July 28, 2026, referencing Investment Company Act exemptions.
AE Industrial Partners Fund IV, LP Files D/A Amendment with SEC
AE Industrial Partners Fund IV, LP submitted a D/A filing on 2026-07-17 claiming Investment Company Act exemptions under Sections 3(c)(1) and 3(c)(7).
AE Industrial Partners Fund IV-A, LP Files D/A With SEC
AE Industrial Partners Fund IV-A, LP submitted a D/A filing on 2026-07-17 referencing Investment Company Act exemptions.
Sherwood Coffee Investment LLC Files 3(c)(1) Amendment
Sherwood Coffee Investment LLC submitted a D/A filing on 2026-07-17 claiming exemption under Section 3(c)(1) of the Investment Company Act.
D - Atlas Opportunistic Dedicated Fund Files 3(c)(7) Notice
D - Atlas Opportunistic Dedicated Fund, Ltd. submitted a Section 3(c)(7) notice to the SEC on July 15, 2026.
Carrick Capital Associates Fund V Files SEC Notice on 3(c) Exemptions
Carrick Capital Associates Fund V, L.P. filed an SEC notice on July 14, 2026 claiming exemptions under Investment Company Act Sections 3(c)(1) and 3(c)(7).
D - MVP Opportunity Fund VI LLC Series 26I QC Files 3(c)(1) Notice
D - MVP Opportunity Fund VI LLC Series 26I QC submitted a Section 3(c)(1) notice to the SEC on July 10 2026.
E Squared Investment Fund Files 3(c)(7) Notice for D-ES I Series
E Squared Investment Fund, LLC filed a Section 3(c)(7) exemption notice with the SEC for its D-ES I series on July 9, 2026.
Safar Partners Co-Invest A Files SEC Notice for 3(c)(1) and 3(c)(7) Exemptions
D - Safar Partners Co-Invest A, LLC filed a Form 3C notice with the SEC claiming exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
Canal Grande Fund II LP Files 3(c)(7) Notice
Canal Grande Fund II LP submitted a Section 3(c)(7) notice filing to the SEC on July 7, 2026.
Ahara Opportunities Fund Files 3(c)(1) Exemption Notice
D - Ahara Opportunities Fund a series of Allocations 2026 Master, LLC filed a Section 3(c)(1) notice with the SEC on July 7, 2026.
Stonepeak Infrastructure Credit Fund II LP Files SEC Notice
Stonepeak Infrastructure Credit Fund II LP submitted a Section 3(c)(7) filing with the SEC on July 2, 2026.
Newbrook Capital Hudson Square Investors LLC Files SEC Notice on 3(c) Exemptions
Newbrook Capital Hudson Square Investors LLC filed an SEC notice on July 2 2026 claiming Investment Company Act Section 3(c)(1) and 3(c)(5) exemptions.
D - CIS Hedged Growth Partners Files 3(c)(1) Notice
D - CIS Hedged Growth Partners submitted a Section 3(c)(1) notice under the Investment Company Act on July 2, 2026, per SEC EDGAR records.
Pathway Martello Investments I LP Files SEC 3(c) Exemption Notice
Pathway Martello Investments I, LP submitted an SEC filing on June 11, 2026 referencing Investment Company Act Sections 3(c)(1) and 3(c)(7).
D - PE-0525 Fund I Files 3(c)(1) Notice
D - PE-0525 Fund I, a series of MV Funds, LP filed a Section 3(c)(1) notice with the SEC on June 10, 2026.
D - Star51 Capital Fund I LP Files 3(c)(1) Notice
D - Star51 Capital Fund I LP submitted an SEC filing on 2026-06-09 claiming exemption under Section 3(c)(1) of the Investment Company Act.
Rubicon Founders Ivy Fund Files SEC Exemption Notice
Rubicon Founders Ivy Fund, LP submitted a Section 3(c)(7) filing to the SEC on June 2, 2026.
Lone Star Credit Opportunities Fund Files SEC Notice
Lone Star Credit Opportunities Fund, L.P. submitted a Section 3(c)(7) filing to the SEC on June 2, 2026.
Kirigami Master Fund Ltd Files 3(c)(7) Notice With SEC
Kirigami Master Fund Ltd submitted a D/A filing under Investment Company Act Section 3(c)(7) on June 2, 2026.
Wellington Commercial Real Estate Debt Fund I Files SEC Notice
Wellington Commercial Real Estate Debt Fund I, L.P. submitted a Form 3C filing claiming Section 3(c)(7) exemption on June 1, 2026.
Locust Wood Long Only Offshore Fund Files 3(c)(7) Notice
D - Locust Wood Long Only Offshore Fund Ltd filed a Section 3(c)(7) notice with the SEC on May 27, 2026.
Regal Resources Long Short Offshore Fund Files SEC Notice
Regal Resources Long Short (Offshore) Fund submitted a Section 3(c)(7) notice to the SEC on May 26, 2026.
MAVRK Celestia Fund, LP Files SEC Exemption Notice
MAVRK Celestia Fund, LP submitted a notice of exemption filing under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act on May 22, 2026.
Clutch Capital Series Files SEC Section 3(c)(1) Notice
D - HITT Power by SAC 28 a Series of Clutch Capital LLC submitted a filing to the SEC on May 22, 2026 referencing Section 3(c)(1).
Neuberger Specialty Finance Fund IV LP Files SEC Notice
Neuberger Specialty Finance Fund IV LP submitted a filing to the SEC on May 22 2026 citing Section 3(c)(7) of the Investment Company Act.
Cambium Capital Tamarind LP Files SEC Exemption Notice
Cambium Capital Tamarind LP submitted a regulatory filing on May 21 2026 claiming exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
TPG Files SEC Notice for Asset Based Credit Equity II, L.P.
TPG AG Asset Based Credit Equity II, L.P. submitted a Section 3(c)(7) notice filing with the SEC on May 15, 2026.
