Investment Company Act
1362 stories covering investment company act — fund closes, LP allocations, regulatory filings, deal flow, and fundraising signals from PipelineRoad's editorial team.
Mainspring Funding II LLC Files SEC 3(c)(1) Notice
Mainspring Funding II LLC submitted an SEC filing claiming exemption under Section 3(c)(1) of the Investment Company Act on July 22, 2026.
D - Benson Co-investment Trust Files SEC Notice
D - Benson Co-investment Trust submitted an 8 KB filing on 2026-07-22 referencing Section 3(c)(1) of the Investment Company Act.
Tareyton Fund I, L.P. Files D/A with SEC Under Section 3(c)(1)
Tareyton Fund I, L.P. submitted a D/A filing on 2026-07-22 referencing Investment Company Act Section 3(c)(1).
American Ventures Opportunity Fund LLC Files 3(c)(1) Notice
American Ventures Opportunity Fund LLC, Series I VAST filed a Section 3(c)(1) notice under the Investment Company Act on July 21, 2026.
American Ventures Opportunity Fund Files 3(c)(1) Exemption Notice
American Ventures Opportunity Fund LLC Series I VAST submitted an SEC filing claiming exemption under Investment Company Act Section 3(c)(1).
Brookfield Hark Investment Partners II LP Files SEC Notice
Brookfield Hark Investment Partners II LP submitted a filing under the Investment Company Act on July 21, 2026, according to SEC EDGAR.
HSFP Fund LP Files D/A with SEC Claiming 3(c)(1) Exemption
HSFP Fund LP submitted a D/A filing on July 21, 2026, referencing Section 3(c)(1) of the Investment Company Act according to SEC EDGAR.
SCF Pine Ultimate Holdings LP Files 3(c)(7) Notice
SCF Pine Ultimate Holdings LP submitted a Section 3(c)(7) filing with the SEC on July 21, 2026.
Castiglione Fund SPC Submits 3(c)(7) Filing to SEC
D - Castiglione Fund SPC - Master Fund SP filed a Section 3(c)(7) notice under the Investment Company Act on July 21, 2026.
D-C-Major Capital US Feeder Fund Files 3(c)(1) Notice
D-C-Major Capital US Feeder Fund, LP filed a Section 3(c)(1) exemption notice with the SEC on July 20, 2026.
D - HPA 2025 WH Investment LLC Files 3(c)(1) Exemption Notice
D - HPA 2025 WH Investment LLC submitted a Section 3(c)(1) exemption filing under the Investment Company Act on July 20 2026.
Pan-Am Investment Partners LLC Files SEC Notice Under Section 3(c)(1)
Pan-Am Investment Partners LLC submitted a 7 KB filing on 2026-07-20 claiming exemption under Investment Company Act Section 3(c)(1).
AJ Belle Meade Plaza Fund LLC Files D/A on July 20 2026
AJ Belle Meade Plaza Fund LLC submitted a D/A filing to the SEC on July 20 2026 referencing Investment Company Act Sections 3(c)(5) and 3(c)(7).
37Spruce Credit Opportunities Fund Files SEC Notice
37Spruce Credit Opportunities Fund, LP submitted a Form 3C filing to the SEC on July 20, 2026 under Section 3(c)(7).
Rootstock Capital II Files SEC Notice Under 3(c)(1)
Rootstock Capital II a Series of CGF2021 LLC submitted a 7 KB filing to the SEC on July 20, 2026 claiming Section 3(c)(1) exemption.
AE Industrial Partners Fund IV-A Files D/A Amendment
AE Industrial Partners Fund IV-A, 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, 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).
Willow Tree Fund III (Unlevered) (Offshore) Files D/A on July 17 2026
Willow Tree Fund III (Unlevered) (Offshore), LP filed a D/A amendment with the SEC claiming Section 3(c)(7) exemption under the Investment Company Act.
AE Industrial Partners Fund IV Files D/A Amendment with SEC
AE Industrial Partners Fund IV, LP submitted a D/A filing to the SEC on July 17, 2026 under Investment Company Act sections 3(c)(1) and 3(c)(7).
Willow Tree Evergreen Fund, LP Files D/A with SEC
Willow Tree Evergreen Fund, LP submitted a D/A filing to the SEC on July 17, 2026 under Investment Company Act Section 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 July 17, 2026, claiming exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
AE Industrial Partners Fund IV Files D/A Amendment
AE Industrial Partners Fund IV, LP submitted a D/A filing on July 17, 2026 claiming Section 3(c)(1) and 3(c)(7) exemptions under the Investment Company Act.
Willow Tree Fund III Files D/A Notice Under 3(c)(7)
Willow Tree Fund III (Unlevered), LP submitted a D/A filing to the SEC on July 17, 2026, claiming the Section 3(c)(7) exemption.
Willow Tree Fund III Files D/A With SEC on July 17 2026
Willow Tree Fund III (Unlevered) (Offshore), LP submitted a D/A filing under Section 3(c)(7) of the Investment Company Act.
AE Industrial Partners Fund IV-A Files D/A with SEC
AE Industrial Partners Fund IV-A, LP submitted a D/A filing to the SEC on July 17, 2026, referencing Investment Company Act exemptions under sections 3(c)(1) and 3(c)(7).
Willow Tree Fund III Files D/A Claiming 3(c)(7) Exemption
Willow Tree Fund III (Unlevered) (Offshore), LP submitted a D/A filing on 2026-07-17 under Section 3(c)(7) of the Investment Company Act.
Willow Tree Fund III Files 3(c)(7) Amendment With SEC
Willow Tree Fund III (Unlevered), LP submitted a D/A filing on 2026-07-17 claiming the Section 3(c)(7) exemption under the Investment Company Act.
AE Industrial Partners Fund IV-A Files D/A on 2026-07-17
AE Industrial Partners Fund IV-A, LP submitted a D/A filing to the SEC on 2026-07-17 referencing Investment Company Act Section 3(c) exemptions.
JB Investments Offshore Fund IV Files 3(c)(7) Notice
JB Investments Offshore Fund IV, Ltd. submitted a D/A filing claiming the Section 3(c)(7) exemption under the Investment Company Act.
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.
Willow Tree Fund III Files D/A Notice With SEC
Willow Tree Fund III (Unlevered) (Offshore), LP submitted a D/A filing to the SEC on July 17, 2026 claiming a Section 3(c)(7) exemption.
AE Industrial Partners Fund IV-A Files D/A Amendment with SEC
AE Industrial Partners Fund IV-A, LP submitted a D/A filing on July 17, 2026, referencing Investment Company Act Sections 3(c)(1) and 3(c)(7).
Willow Tree Fund III Files D/A Amendment on SEC EDGAR
Willow Tree Fund III (Unlevered), LP submitted a D/A filing referencing Investment Company Act Section 3(c)(7) on July 17, 2026.
Willow Tree Evergreen Fund, LP Files D/A on July 17, 2026
Willow Tree Evergreen Fund, LP submitted a D/A filing to the SEC on July 17, 2026, referencing Section 3(c)(7) of 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 to the SEC on 2026-07-17 claiming exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
Pax Ventures Opportunities VI LLC Files SEC Notice
Pax Ventures Opportunities VI LLC submitted a Section 3(c)(7) filing to the SEC on July 17 2026.
AE Industrial Partners Fund IV-A Files D/A Amendment
AE Industrial Partners Fund IV-A, LP submitted a D/A filing on 2026-07-17 referencing Investment Company Act exemptions 3(c)(1) and 3(c)(7).
Prana Global Ventures Files 3(c)(1) Notice
Prana Global Ventures, LP submitted a Section 3(c)(1) filing to the SEC on July 17, 2026.
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.
Sherwood Coffee Investment LLC Files 3(c)(1) Exemption With SEC
Sherwood Coffee Investment LLC submitted a Section 3(c)(1) exemption filing under the Investment Company Act on July 17, 2026.
NCS International Fund LLC Files D/A on 2026-07-17
NCS International Fund LLC submitted a D/A filing referencing Investment Company Act Section 3(c)(7) on July 17, 2026.
Ogun Fund II, L.P. Files SEC Document Under 3(c)(7)
Ogun Fund II, L.P. submitted a filing to the SEC on July 17, 2026, referencing Investment Company Act Section 3(c)(7).
Moonfare Series Fund I LLC Files D/A for Series D
Moonfare Series Fund I LLC submitted a D/A filing for Series D on July 17, 2026 under Section 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.
D - Shift Capital Apr 2026 Series Files 3(c)(1) Notice
D - Shift Capital Apr 2026 a Series of CGF2021 LLC submitted a Section 3(c)(1) notice to the SEC 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 - MVP LS FUND DCLXXIV LLC Files SEC Notice Claiming 3(c)(1) Exemption
D - MVP LS FUND DCLXXIV LLC filed a notice with the SEC on July 16 2026 asserting reliance on Section 3(c)(1) of the Investment Company Act.
ASP Partners GSF 8 LP Files D/A with SEC
ASP Partners GSF 8 LP submitted a D/A filing to the SEC on 2026-07-16 under Section 3(c)(7) of the Investment Company Act.
Andreessen Horowitz LSV Fund V-B Files SEC Notice
Andreessen Horowitz LSV Fund V-B, L.P. submitted a filing under the Investment Company Act Section 3(c)(1) on 2026-07-16.
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.
