Investment Company Act
1584 stories covering investment company act — fund closes, LP allocations, regulatory filings, deal flow, and fundraising signals from PipelineRoad's editorial team.
Aptitude Alternative Equity Ltd Files D/A With SEC
Aptitude Alternative Equity Ltd submitted a D/A filing to the SEC on July 24 2026 referencing Section 3(c)(7) of the Investment Company Act.
LifeSci Venture SPV 18 LLC Files D/A on SEC EDGAR
LifeSci Venture SPV 18 LLC submitted a D/A filing on 2026-07-24 claiming Section 3(c)(1) exemption under the Investment Company Act.
Winchester Strategic Credit Partners L.P. Files D/A Form
Winchester Strategic Credit Partners L.P. submitted a D/A filing on 2026-07-24 claiming Section 3(c)(1) exemption under the Investment Company Act.
Cloud Nine Partners LP Files SEC Notice Under Section 3(c)(1)
Cloud Nine Partners LP submitted a Section 3(c)(1) filing with the SEC on July 24, 2026, according to SEC EDGAR.
Bull Street Holdings LP Files SEC Notice Under 3(c)(1)
Bull Street Holdings LP submitted a regulatory filing to the SEC on July 24, 2026, referencing Section 3(c)(1) of the Investment Company Act.
G2 Investment Partners QP LP Files D/A with SEC
G2 Investment Partners QP LP submitted a D/A filing to the SEC on July 24, 2026, under Section 3(c)(7) of the Investment Company Act.
ECM Feeder Fund 1 Files D/A with SEC Under 3(c)(7)
ECM Feeder Fund 1 submitted a D/A filing on July 24, 2026, claiming Section 3(c)(7) exemption under the Investment Company Act.
Highbury Holdings XVII Files 3(c)(7) Exemption Notice
Highbury Holdings XVII, LLC submitted a Section 3(c)(7) notice to the SEC on July 24, 2026.
Highbury Holdings XVI, LP Files D/A on 2026-07-24
Highbury Holdings XVI, LP submitted a D/A filing to the SEC on July 24, 2026, referencing Investment Company Act Sections 3(c)(1) and 3(c)(7).
D - CO-0519 Fund I Files SEC Notice Claiming 3(c)(1) Exemption
D - CO-0519 Fund I, a series of Roll Up Vehicles, LP submitted a 7 KB filing to the SEC on 2026-07-24 under Section 3(c)(1) of the Investment Company Act.
SPITFIRE FUND L.P. Submits D/A Filing to SEC
SPITFIRE FUND L.P. filed a D/A amendment on July 23 2026 referencing Section 3(c)(1) of the Investment Company Act.
Sandlot Partners YHA SPV LLC Files 3(c)(1) Exemption Notice
Sandlot Partners YHA SPV LLC submitted a filing claiming exemption under Section 3(c)(1) of the Investment Company Act on July 23, 2026.
Iterative Fund I, LP Files D/A Amendment with SEC
Iterative Fund I, LP submitted a D/A filing under Section 3(c)(1) of the Investment Company Act on July 23, 2026.
D-Investment AL Series Files 3(c)(1) Notice with SEC
D - Investment AL a Series of AF1 Global LLC submitted a Section 3(c)(1) filing on July 23, 2026, per SEC EDGAR records.
D - DD RMP I Files SEC Notice Claiming 3(c)(1) Exemption
D - DD RMP I, a Series of Denver Ventures Duende LLC, submitted a filing to the SEC on July 23, 2026, under Section 3(c)(1) of the Investment Company Act.
Orion Commodities Delaware Fund LP Files 3(c)(7) Amendment
Orion Commodities Delaware Fund LP submitted a D/A filing on 2026-07-22 claiming Section 3(c)(7) exemption under the Investment Company Act.
MAM Qualified Staff Investment Series II Files 3(c)(7) Notice
D - MAM Qualified Staff Investment Series II, LLC filed a 22 KB notice under Section 3(c)(7) of the Investment Company Act on July 22, 2026.
D - WCP Fund C, L.P. Files Section 3(c)(7) Notice
D - WCP Fund C, L.P. submitted a Section 3(c)(7) exemption filing to the SEC on July 22, 2026.
Doxara US Fund LP Files 3(c)(7) Notice With SEC
D - Doxara US Fund LP submitted a filing under Investment Company Act Section 3(c)(7) on July 22, 2026, according to SEC EDGAR.
D-MAM Qualified Staff Investment Series II Files 3(c)(7) Notice
D-MAM Qualified Staff Investment Series II, LLC filed a Section 3(c)(7) notice with the SEC on July 22, 2026.
Copilot Capital Fund II LP Files SEC Notice for 3(c) Exemptions
Copilot Capital Fund II LP submitted an SEC filing on July 22, 2026, claiming exemptions under Investment Company Act Sections 3(c)(1) and 3(c)(7).
Torque Share Partners LP Files D/A With SEC
Torque Share Partners LP submitted a D/A filing on 2026-07-22 claiming Section 3(c)(7) exemption under the Investment Company Act.
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.
