Exemption
164 stories covering exemption — fund closes, LP allocations, regulatory filings, deal flow, and fundraising signals from PipelineRoad's editorial team.
Warren Equity Partners Fund V-A, L.P. Files D/A With SEC
Warren Equity Partners Fund V-A, L.P. submitted a D/A filing on June 4, 2026, claiming exemptions under Sections 3(c)(1) and 3(c)(7).
Behrman Capital CV II L.P. Files SEC Notice Under 3(c)(7)
Behrman Capital CV II L.P. submitted a Section 3(c)(7) exemption filing to the SEC on 2026-06-02.
InvestX Growth Equity V-US (QP) LP Files D/A on June 1 2026
InvestX Growth Equity V-US (QP) LP submitted a D/A filing claiming Section 3(c)(7) exemption under the Investment Company Act.
SGT Capital Co-Invest 1.1 SCSp Files 3(c)(1) Notice
SGT Capital Co-Invest 1.1 SCSp submitted a Section 3(c)(1) filing under the Investment Company Act on June 1, 2026, according to SEC EDGAR.
Hoplon Fund I, L.P. Files 3(c)(1) Notice on SEC EDGAR
Hoplon Fund I, L.P. submitted a Section 3(c)(1) notice filing to the SEC on June 1, 2026.
PIMCO Private Income Fund Onshore Feeder LLC Files D/A with SEC
PIMCO Private Income Fund Onshore Feeder LLC submitted a D/A filing under Section 3(c)(7) on May 29, 2026.
Ohio Reflection Venture II Files SEC Notice Under 3(c)(7)
Ohio Reflection Venture II, LLC submitted a Section 3(c)(7) exemption filing to the SEC on May 29, 2026.
PHFS IV EM Macro Offshore Fund Files 3(c)(7) Notice
PHFS IV EM Macro Offshore Fund, L.P. submitted a D/A filing claiming Section 3(c)(7) exemption under the Investment Company Act.
D-O-AI 3 Series of FOG Ventures Fund III Files 3(c)(7) Notice
D-O-AI 3 a Series of FOG Ventures Fund III LLC filed a Section 3(c)(7) notice with the SEC on May 28 2026.
Engine Ventures Scale Up Fund I Files SEC Exemption Notice
D - Engine Ventures Scale Up Fund I, L.P. submitted a Section 3(c) filing to the SEC on May 27, 2026.
Telis Vail Village Partners LLC Files 3(c)(1) Notice With SEC
Telis Vail Village Partners LLC filed a notice with the SEC on May 27 2026 claiming exemption under Section 3(c)(1) of the Investment Company Act.
Hunters Moon Crescent Fund Ltd Files 3(c)(7) Notice With SEC
Hunters Moon Crescent Fund Ltd submitted a D/A filing on May 27, 2026, referencing Section 3(c)(7) of the Investment Company Act.
Danu Ventures Fund I, LP Files SEC Form D/A
Danu Ventures Fund I, LP submitted a D/A filing on May 27, 2026, referencing Section 3(c)(1) of the Investment Company Act.
Translink Capital Partners VI Files 3(c)(7) Notice
Translink Capital Partners VI, LP submitted a Section 3(c)(7) exemption filing to the SEC on May 26, 2026.
MAVRK Celestia Fund, LP Files SEC Notice for 3(c)(1) and 3(c)(7) Exemptions
MAVRK Celestia Fund, LP submitted a Form D filing on May 22, 2026, claiming exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
MAVRK Celestia Fund, LP Files SEC Notice
MAVRK Celestia Fund, LP submitted a filing to the SEC on May 22, 2026 referencing Investment Company Act Section 3(c).
Clutch Capital LLC Files for Moxi by Play Money Series
Moxi by Play Money a Series of Clutch Capital LLC filed with the SEC on 2026-05-22 under Section 3(c)(1).
D - Scarlet by Angel Hive Series Files Section 3(c)(1) Notice
D - Scarlet by Angel Hive a Series of Clutch Capital LLC filed a Section 3(c)(1) notice with the SEC on May 22, 2026.
Capstone Mount Washington Fund, LP Files D/A on SEC EDGAR
Capstone Mount Washington Fund, LP submitted a D/A filing to the SEC on May 21, 2026 referencing Section 3(c)(7).
Anantam International SPC Fund Files 3(c)(7) Notice
Anantam 35 SP filed a Section 3(c)(7) exemption notice with the SEC on May 18, 2026 under Investment Company Act rules.
Proteus Real Estate Non-Core Fund I Files SEC 3(c)(7) Notice
Proteus Real Estate Non-Core Fund I, LLC submitted a D/A filing under Section 3(c)(7) of the Investment Company Act on May 18, 2026.
D-Global Funds SPC Files 3(c)(7) Notice for BlueBay Emerging Market Credit Alpha SP
D-Global Funds SPC - BlueBay Emerging Market Credit Alpha SP submitted a Section 3(c)(7) filing with the SEC on May 18, 2026.
Barrel Ventures III-A LP Files Form D With SEC
Barrel Ventures III-A LP submitted a Form D notice to the SEC on May 15 2026 claiming exemptions under Sections 3(c)(1) and 3(c)(7).
Argo Fund I, L.P. Files Under Investment Company Act Section 3(c)(7)
Argo Fund I, L.P. submitted a SEC filing on May 14, 2026, invoking Section 3(c)(7) of the Investment Company Act.
WH Capital VIII LLC Files for Section 3(c)(1) Exemption
WH Capital VIII LLC submitted a filing to the SEC on May 12, 2026, claiming exemption under Section 3(c)(1) of the Investment Company Act.
North Coast Angel Fund V Files Form D/A for Section 3(c)(1) Exemption
North Coast Angel Fund V, LLC submitted a Form D/A to the SEC on May 12, 2026, citing Section 3(c)(1) of the Investment Company Act.
BTG Pactual Strategic Capital Fund II-B Files SEC Form D
BTG Pactual Strategic Capital Fund II-B, L.P. filed a Form D on May 11, 2026, claiming exemption under Section 3(c)(7) of the Investment Company Act.
D - X Capital Equity Master Fund LP Files SEC Exemption
D - X Capital Equity Master Fund LP filed for Section 3(c)(1) exemption on May 11, 2026, according to SEC EDGAR.
Rho OPCO Ventures Files for Section 3(c)(1) Exemption
D - Rho OPCO Ventures Mar 2026, a series of CGF2021 LLC, filed a SEC document on May 11, 2026, under Item 3C.1 of the Investment Company Act.
JS Opportunity Fund LLC Series Q30 Files SEC Exemption Claim
JS Opportunity Fund LLC Series Q30 filed a document under Section 3(c)(1) of the Investment Company Act on May 8, 2026, as per SEC EDGAR records.
Forge Investments Files SEC Exemption for Fund FG-OMM
Forge Investments, LLC filed a notice for Fund FG-OMM under Section 3(c)(1) of the Investment Company Act on May 8, 2026, according to SEC EDGAR.
JS Opportunity Fund LLC Series Q30 Files for Section 3(c)(1) Exemption
JS Opportunity Fund LLC Series Q30 submitted a filing on May 8, 2026, claiming exemption under Section 3(c)(1) of the Investment Company Act, according to SEC EDGAR.
Forge Investments Files Notice for Fund FG-OMM Under Investment Company Act
Forge Investments, LLC submitted a SEC filing for its Fund FG-OMM series, claiming exemption under Section 3(c)(1) of the Investment Company Act on May 8, 2026.
JS Opportunity Fund LLC Series Q30 Files for Section 3(c)(1) Exemption
JS Opportunity Fund LLC Series Q30 submitted a filing to the SEC on May 8, 2026, under the Investment Company Act Section 3(c)(1).
Forge Investments LLC Files for Fund FG-OMM Exemption
Forge Investments LLC filed a document for its Fund FG-OMM series on May 8, 2026, claiming exemption under Section 3(c)(1) of the Investment Company Act, according to SEC EDGAR.
TPG AG Corporate Credit Opportunities Fund Files SEC Document for Section 3(c)(7)
TPG AG Corporate Credit Opportunities Fund, L.P. filed a document with the SEC on May 8, 2026, related to Item 3C.7 under the Investment Company Act.
Forge Investments Files SEC Document for Fund FG-OMM
Forge Investments, LLC filed a SEC EDGAR document for Fund FG-OMM on May 8, 2026, under Section 3(c)(1) of the Investment Company Act.
Armenian Founders, LP Files for Section 3(c)(1) Exemption
Armenian Founders, LP's D - SI-0420 Fund I series filed a SEC document on May 8, 2026, claiming exemption under Section 3(c)(1) of the Investment Company Act.
Vandenberg RSA SPV3 II Files Under Investment Company Act Section 3(c)(1)
Blackbird Pilot Fund LLC's series Vandenberg RSA SPV3 II filed a SEC document on May 7, 2026, related to Section 3(c)(1) exemption.
LM DNM SEED SPV 2026 Files for Section 3(c)(1) Exemption
LM DNM SEED SPV 2026 A SERIES OF MASTER FUND I LLC filed a notice under Section 3(c)(1) of the Investment Company Act on May 7, 2026, according to SEC EDGAR.
Vineyard Quant Capital LP Files Under SEC Section 3(c)(1)
Vineyard Quant Capital LP submitted a SEC filing on May 6, 2026, claiming exemption under Section 3(c)(1) of the Investment Company Act.
Mosaic, LLC Files SEC Document for Section 3(c)(7) Exemption
D/A - Cache Exchange Fund - Mosaic, LLC submitted a SEC filing on May 5, 2026, related to Section 3(c)(7) of the Investment Company Act.
H.I.G. Private Equity Co-Investment SMA Files for Section 3(c)(7) Exemption
D - H.I.G. Private Equity Co-Investment SMA (A), L.P. filed a form with the SEC on May 5, 2026, related to Investment Company Act exemptions.
Centre Lane Partners VI, L.P. Files SEC Notice for Section 3(c)(7) Exemption
Centre Lane Partners VI, L.P. filed a notice with the SEC on May 5, 2026, under Section 3(c)(7) of the Investment Company Act.
Balerion Space Ventures Fund II Files Under Section 3(c)(7)
Balerion Space Ventures Fund II, L.P. filed a document under Section 3(c)(7) of the Investment Company Act on May 4, 2026, as per SEC EDGAR records.
Strategic Investors Fund XII-A Files SEC Exemption Under Section 3(c)(7)
D - Strategic Investors Fund XII-A, L.P. filed a notice with the SEC on May 1, 2026, for an exemption under Section 3(c)(7) of the Investment Company Act.
Screendoor Fund I, L.P. Files Under Section 3(c)(7)
Screendoor Fund I, L.P. filed a form with the SEC on May 1, 2026, claiming exemption under Investment Company Act Section 3(c)(7).
Screendoor Fund I, L.P. Files Under Section 3(c)(7)
Screendoor Fund I, L.P. filed a document on May 1, 2026, related to Section 3(c)(7) of the Investment Company Act, according to SEC EDGAR.
Screendoor Fund I, L.P. Files SEC Form D/A Under Investment Company Act Section 3(c)(7)
Screendoor Fund I, L.P. filed a Form D/A with the SEC on May 1, 2026, citing exemptions under Section 3(c) and 3(c)(7) of the Investment Company Act.
Onex Evergreen Credit Feeder Fund Files SEC Amendment
Onex Evergreen Credit Feeder Fund, L.P. amended its Form D filing on May 1, 2026, referencing exemptions under the Investment Company Act Section 3(c).
