Regulatory Compliance
370 stories covering regulatory compliance — fund closes, LP allocations, regulatory filings, deal flow, and fundraising signals from PipelineRoad's editorial team.
Primavera Capital (Cayman) Group 4A L.P. Files for Investment Company Act Exemptions
D/A - Primavera Capital (Cayman) Group 4A L.P. filed a document with SEC EDGAR on April 15, 2026, claiming exemptions under Sections 3(c)(1) and 3(c)(7).
Westonbirt Fund LP Files Under Section 3(c)(7)
Westonbirt Fund LP submitted a filing related to Investment Company Act Section 3(c)(7) on April 15, 2026, according to SEC EDGAR.
QnA Cloud Fund I LP Files Under Investment Company Act Section 3(c)(1)
D - QnA Cloud Fund I LP submitted a filing to the SEC on April 14, 2026, citing Section 3(c)(1) of the Investment Company Act.
QnA Cloud Fund I LP Files SEC Form for Investment Company Act
D - QnA Cloud Fund I LP submitted a filing to the SEC on April 14, 2026, related to Section 3(c)(1) of the Investment Company Act.
Blackstone Waypoint Feeder Fund LP Files Under Section 3(c)(7)
Blackstone Waypoint Feeder Fund LP submitted a SEC filing on April 14, 2026, referencing Section 3(c)(7) of the Investment Company Act.
Dover Street Fund XII Private Investors Files SEC Exemption
Dover Street Fund XII Private Investors, LLC filed a notice under Section 3(c)(7) of the Investment Company Act on April 14, 2026, as per SEC records.
Perbak Global Market Neutral Fund Files Under Section 3(c)(7)
Perbak Global Market Neutral Fund Ltd filed a document on April 14, 2026, related to Section 3(c)(7) of the Investment Company Act, as reported in an SEC EDGAR filing.
U.S. Energy Private Capital III LP Files D/A with SEC
U.S. Energy Private Capital III LP filed a D/A on April 14, 2026, as reported by SEC EDGAR.
Victory Springs Capital, LP Files SEC Document on Investment Company Act
Victory Springs Capital, LP submitted a filing to the SEC on April 14, 2026, related to Section 3(c)(1) of the Investment Company Act.
Gaingels Fund V Files Under Investment Company Act Section 3(c)(1)
Gaingels Fund V, a series of Zachary Ginsburg Funds, LP, filed a notice under the Investment Company Act on April 14, 2026, according to SEC EDGAR.
Bitwise Multi-Strategy Alpha Fund Onshore, LP Files Under SEC Section 3(c)(7)
Bitwise Multi-Strategy Alpha Fund Onshore, LP submitted a SEC filing on April 13, 2026, citing Section 3(c)(7) of the Investment Company Act.
EnTrust Global Opportunistic Credit Fund I Ltd Files SEC Document
EnTrust Global Opportunistic Credit Fund I Ltd filed a SEC document on April 13, 2026, referencing Investment Company Act Section 3(c)(7).
Bitwise Multi-Strategy Alpha Fund Files Under Section 3(c)(7)
Bitwise Multi-Strategy Alpha Fund Offshore, Ltd. filed a document with the SEC on April 13, 2026, related to Section 3(c)(7) of the Investment Company Act.
Blue Ocean Onshore Fund II LP Files SEC Document for Section 3(c)(7)
Blue Ocean Onshore Fund II LP filed a SEC document on April 13, 2026, citing Section 3(c)(7) of the Investment Company Act.
Alamo Angels Fund III LLC - Series 2 Files SEC Document
Alamo Angels Fund III LLC - Series 2 submitted a filing to the SEC on April 13, 2026, as per official records.
BAM Preferred Credit Fund Files SEC Document on Investment Company Act Exemptions
BAM Preferred Credit Fund, LP filed a regulatory document with the SEC on April 13, 2026, citing exemptions under sections 3(c), 3(c)(5), and 3(c)(7) of the Investment Company Act.
CCP Private Holdings 2026 LLC Files with SEC on April 13, 2026
D - CCP Private Holdings 2026 LLC, with CIK 0002128766, submitted a filing to SEC EDGAR on April 13, 2026, according to official records.
Equitybee cFund Master LLC Series Files SEC Document
Equitybee 22-43922, a series of Equitybee cFund Master LLC, submitted a filing to the SEC on April 13, 2026, as recorded in the EDGAR database.
Tysons Dulles Venture Files SEC Document on April 13, 2026
D - Tysons Dulles Venture, L.L.C. submitted a filing to the SEC, as recorded in EDGAR documents.
EquityZen Growth Technology Fund LLC Files Under Investment Company Act Section 3(c)(1)
EquityZen Growth Technology Fund LLC - Series 2261 filed a SEC document on April 13, 2026, referencing Section 3(c)(1) of the Investment Company Act.
HPC Foreign Holdings, L.P. Files Under Section 3(c)(7)
D - HPC Foreign Holdings, L.P. filed a document with the SEC on April 10, 2026, related to Investment Company Act exemptions.
Ohio Byte Venture, LLC Files SEC Document Under Section 3(c)(7)
Ohio Byte Venture, LLC submitted a filing to the SEC on April 10, 2026, invoking Section 3(c)(7) of the Investment Company Act.
Cape Ann Fund Files for Section 3(c)(7) Exemption
Cape Ann (Ireland) Trust filed a document for its Global Developing Markets Fund under Section 3(c)(7) of the Investment Company Act on April 9, 2026.
Hillpointe Opportunity Zone Fund II LP Files SEC Form Under Investment Company Act
Hillpointe Opportunity Zone Fund II LP filed a SEC EDGAR form on April 9, 2026, referencing sections 3(c)(5) and 3(c)(6) of the Investment Company Act.
Global Evolution EM Debt Fund Files Under Section 3(c)(7)
D/A - Global Evolution EM Debt Fund submitted a filing to the SEC on April 10, 2026, under Item 3C.7 of the Investment Company Act.
Bybrook Capital Fund LP Files SEC Document on Section 3(c)(7)
Bybrook Capital Fund LP submitted a filing to the SEC on April 10, 2026, under Item 3C.7 related to Section 3(c)(7) of the Investment Company Act.
Donald Smith Value Fund L.P. Files Under Section 3(c)(7)
Donald Smith Value Fund L.P. filed a document with the SEC on April 10, 2026, related to Section 3(c)(7) of the Investment Company Act.
Global Infrastructure Partners Core Feeder B Files SEC Form
Global Infrastructure Partners Core (Feeder B), SCSp RAIF filed a SEC EDGAR document on April 10, 2026, citing Investment Company Act Section 3(c)(7).
MacKay Municipal Credit Opportunities HL Fund Files Under Section 3(c)(7)
MacKay Municipal Credit Opportunities HL Fund, L.P. submitted a SEC filing on April 10, 2026, related to Section 3(c)(7) of the Investment Company Act.
SWS Alternative Investment Fund VI LLC Files SEC Document
D - SWS Alternative Investment Fund VI LLC submitted a filing to the SEC on April 10, 2026, as part of regulatory requirements.
Thrive Capital Partners X Growth-B, L.P. Files Under Investment Company Act Section 3(c)(7)
Thrive Capital Partners X Growth-B, L.P. submitted a SEC filing on April 10, 2026, referencing Section 3(c)(7) of the Investment Company Act.
GPC Partners III (Elk) L.P. Files SEC Document Under Investment Company Act
GPC Partners III (Elk) L.P. submitted a filing to the SEC on April 9, 2026, referencing exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
GPC Partners III (Elk) L.P. Files SEC Notice for Investment Exemptions
GPC Partners III (Elk) L.P. submitted a filing to the SEC on April 9, 2026, claiming exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
Upside Auctions Opportunity Fund LLC Files SEC Document on Investment Company Act
Upside Auctions Opportunity Fund LLC filed a SEC document on April 9, 2026, related to Section 3(c)(5) of the Investment Company Act.
Upside Auctions Opportunity Fund LLC Files Under Investment Company Act
D - Upside Auctions Opportunity Fund LLC filed a document with the SEC on April 9, 2026, related to Section 3(c)(5) of the Investment Company Act.
Neuberger Insurance Fund XV Series Files SEC Document
The Neuberger Insurance Fund XV Series of the SALI Multi-Series Fund, L.P. filed a document under the Investment Company Act on April 9, 2026.
Twine Ventures Fund II LP Files SEC Exemption Under Investment Company Act
Twine Ventures Fund II LP submitted a SEC filing on April 9, 2026, claiming exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
D/A - DAM (US) Fund LP Files SEC Document on Section 3(c)(7)
D/A - DAM (US) Fund LP filed a document with the SEC on April 9, 2026, related to Section 3(c)(7) of the Investment Company Act.
D/A - DAM (US) Fund LP Files Under Section 3(c)(7)
D/A - DAM (US) Fund LP submitted a SEC filing on April 9, 2026, under Item 3C and Section 3(c)(7) of the Investment Company Act.
Garita Energy Partners Files Section 3(c)(1) Exemption with SEC
Garita Energy Partners, LP filed a document under Section 3(c)(1) of the Investment Company Act on April 9, 2026, as per SEC records.
Global Infrastructure Partners Fund Files SEC Form for Section 3(c)(7)
D - Global Infrastructure Partners Emerging Markets Feeder Fund (Lux) II, L.P. filed a SEC EDGAR form on April 9, 2026, related to Investment Company Act exemptions.
Japan Logistics Development Partners V Feeder (B) LP Files Under Section 3(c)(7)
D - Japan Logistics Development Partners V Feeder (B) LP filed a form with the SEC on April 9, 2026, citing Section 3(c)(7) of the Investment Company Act.
Long Angle Investments LLC Files SEC Document for KKR-KPEC QP 2026 SPV
Long Angle Investments LLC submitted a SEC filing on April 9, 2026, for KKR-KPEC QP 2026 SPV under Section 3(c)(7) of the Investment Company Act.
Equitybee cFund Master LLC Files Under Investment Company Act Section 3(c)(1)
Equitybee 22-32046, a series of Equitybee cFund Master LLC, filed a document with the SEC on April 8, 2026, citing Section 3(c)(1) of the Investment Company Act.
Evolution Ventures Minerva Fund Files Section 3(c)(1) Exemption
Evolution Ventures Minerva Fund, LP filed a document under Section 3(c)(1) of the Investment Company Act on April 8, 2026, as per SEC records.
Evolution Ventures Minerva Fund Files SEC Form for Investment Company Act Exemption
Evolution Ventures Minerva Fund, LP filed a SEC document on April 8, 2026, citing Section 3(c)(1) of the Investment Company Act.
Balbec SC Evergreen Feeder Fund Files SEC Document on Investment Company Act
Balbec SC Evergreen Feeder Fund, L.P. filed a SEC document on April 8, 2026, related to Section 3(c)(7) of the Investment Company Act.
Balbec SC Evergreen Fund Files SEC Form D Amendment for Section 3(c)(7)
Balbec SC Evergreen Fund, L.P. filed a Form D amendment on April 8, 2026, citing Section 3(c)(7) of the Investment Company Act.
Castor Ventures Fund 11, LLC Files Under Investment Company Act Section 3(c)(1)
Castor Ventures Fund 11, LLC filed a document with the SEC on April 8, 2026, specifying reliance on Section 3(c)(1) of the Investment Company Act.
Vital Capital Medical - Temple TX DST Files SEC Document
Vital Capital Medical - Temple TX DST submitted a filing to the SEC on April 8, 2026, as per official records.
