Regulatory Exemption
464 stories covering regulatory exemption — fund closes, LP allocations, regulatory filings, deal flow, and fundraising signals from PipelineRoad's editorial team.
Altura Energy Fund Files SEC Document for Section 3(c)(7)
Altura Energy Transition & Environmental Markets Opportunity Fund LP filed a SEC EDGAR document on April 16, 2026, referencing Section 3(c)(7) of the Investment Company Act.
WCM Focused Global Growth Fund L.P. Files Under Section 3(c)(7)
WCM Focused Global Growth Fund L.P. submitted a filing to the SEC on April 16, 2026, related to Investment Company Act exemptions.
WH Strategic Opportunities Fund XII LP Files SEC Form for Section 3(c)(1) Exemption
D - WH Strategic Opportunities Fund XII LP filed a document with the SEC on April 16, 2026, related to Investment Company Act Section 3(c)(1).
Dalfort Capital Partners Fund II Files Under SEC Section 3(c)(7)
Dalfort Capital Partners Fund II, L.P. filed a document with the SEC on April 16, 2026, citing Section 3(c)(7) of the Investment Company Act.
Kemmons Wilson Hospitality Partners Opportunistic III, LP Files SEC Exemptions
Kemmons Wilson Hospitality Partners Opportunistic III, LP submitted a filing on April 16, 2026, claiming exemptions under Section 3(c) of the Investment Company Act.
D/A - LL Mortgage Fund Files SEC Document for Section 3(c)(7)
D/A - LL Mortgage Fund, L.P. filed a SEC document on April 16, 2026, including Item 3C.7 related to Section 3(c)(7) of the Investment Company Act.
D/A - LL Mezzanine ABS Fund Files Under Section 3(c)(7)
D/A - LL Mezzanine ABS Fund, L.P. filed a document on April 16, 2026, related to Item 3C and Section 3(c)(7) of the Investment Company Act, according to SEC EDGAR.
D/A - LL Private Lending Fund II Files for Section 3(c)(7) Exemption
D/A - LL Private Lending Fund II, L.P. submitted a SEC filing on April 16, 2026, related to an exemption under Section 3(c)(7) of the Investment Company Act.
Whitebark Core Offshore Fund LP Files Under Section 3(c)(7)
Whitebark Core Offshore Fund LP submitted a SEC filing on April 16, 2026, related to Investment Company Act exemptions.
Optimist Ventures Fund I Files SEC Document for Section 3(c)(1) Exemption
Optimist Ventures Fund I, L.P. filed a SEC document on April 15, 2026, related to Section 3(c)(1) of the Investment Company Act.
Optimist Ventures Fund I Files Under Section 3(c)(1) of Investment Company Act
Optimist Ventures Fund I, L.P. submitted a SEC filing on April 15, 2026, citing Section 3(c)(1) for exemption under the Investment Company Act.
Davidson Kempner Opportunities Fund VII LP Files SEC Exemption Notice
Davidson Kempner Opportunities Fund VII LP filed a notice with the SEC on April 15, 2026, under Item 3C for exemption under Section 3(c)(7) of the Investment Company Act.
Felix Capital Next III LP Files SEC Exemption Under Section 3(c)(7)
Felix Capital Next III LP filed a notice with the SEC on April 15, 2026, claiming exemption under Section 3(c)(7) of the Investment Company Act.
Thirteen Partners Concentrated, Ltd. Files Form D/A for Section 3(c)(1) Exemption
Thirteen Partners Concentrated, Ltd. filed a Form D/A on April 15, 2026, claiming an exemption under Section 3(c)(1) of the Investment Company Act, according to SEC EDGAR.
MC Alternative Solutions Master Fund LP Files SEC Document for Section 3(c)(7)
MC Alternative Solutions Master Fund LP submitted a filing on April 15, 2026, related to Item 3C and Section 3(c)(7) of the Investment Company Act.
Rhino Small Cap Financial Offshore Fund Files for Section 3(c)(1) Exemption
Rhino Small Cap Financial Offshore Fund, Ltd filed with the SEC on April 15, 2026, to claim exemption under Section 3(c)(1) of the Investment Company Act.
Rhino Small Cap Financial Offshore Fund Files SEC Form for Section 3(c)(1)
Rhino Small Cap Financial Offshore Fund, Ltd filed a SEC EDGAR form on April 15, 2026, relating to Investment Company Act Section 3(c)(1).
TSG Select Ventures LLC Series 2 Files SEC Document for Investment Company Act
TSG Select Ventures LLC Series 2 filed a document on April 15, 2026, under Item 3C of the Investment Company Act Section 3(c)(1), as reported by SEC EDGAR.
TSG Select Ventures LLC Series 2 Files SEC Document on Section 3(c)(1)
TSG Select Ventures LLC Series 2 submitted a SEC filing on April 15, 2026, related to Section 3(c)(1) of the Investment Company Act.
Leo Multi-Manager Core Hedge Fund Files Under Section 3(c)(1)
Leo Multi-Manager Core Hedge Fund, LP filed a document with the SEC on April 15, 2026, citing Section 3(c)(1) of the Investment Company Act.
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).
Primavera Venture Partners Files SEC Investment Act Notice
Primavera Venture Partners (Cayman) Group 1A L.P. submitted a SEC filing on April 15, 2026, citing exemptions under the Investment Company Act.
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.
Leo Multi-Manager Core Hedge Fund LP Files Under Investment Company Act Section 3(c)(1)
Leo Multi-Manager Core Hedge Fund LP filed a document under Section 3(c)(1) of the Investment Company Act on April 15, 2026, as per SEC EDGAR records.
LEO Multi-Manager Private Credit Fund LP Files SEC Document for Section 3(c)(1)
D/A - LEO Multi-Manager Private Credit Fund LP filed a SEC document on April 15, 2026, related to Item 3C.1 under the Investment Company Act.
Primavera Capital (Cayman) Group 4A L.P. Files SEC EDGAR Form for Investment Company Act Exemptions
Primavera Capital (Cayman) Group 4A L.P. submitted a SEC EDGAR filing on April 15, 2026, referencing Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
Primavera Venture Partners Files for Investment Company Act Exemptions
Primavera Venture Partners (Cayman) Group 1A L.P. filed a SEC document on April 15, 2026, citing exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
Westonbirt Fund LP Files Form D/A Under Section 3(c)(7)
Westonbirt Fund LP submitted a Form D/A filing on April 15, 2026, citing exemption under Section 3(c)(7) of the Investment Company Act.
Forge Investments LLC Files for Fund FG-ARQ Under SEC Exemption
Forge Investments LLC submitted a SEC filing for Fund FG-ARQ on April 14, 2026, referencing Section 3(c)(1) of the Investment Company Act.
Forge Investments, LLC Files for Fund FG-ASF Under Section 3(c)(1)
Forge Investments, LLC filed a document for its Fund FG-ASF series on April 14, 2026, citing Section 3(c)(1) of the Investment Company Act.
Forge Investments LLC Files SEC Document for Fund FG-ARQ
Forge Investments LLC submitted a SEC filing on April 14, 2026, for Fund FG-ARQ under Section 3(c)(1) of the Investment Company Act.
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.
Mercer Private Investment Partners IX, LP Files SEC Exemption Under Section 3(c)(7)
Mercer Private Investment Partners IX, LP filed a document with the SEC on April 14, 2026, related to Section 3(c)(7) of the Investment Company Act.
TPG Rise Climate Equity II, L.P. Files Under Investment Company Act Section 3(c)(1)
TPG Rise Climate Equity II, L.P. filed a document with the SEC on April 14, 2026, claiming exemption under Section 3(c)(1) of the Investment Company Act.
ELSA Capital OpenAI SPV I Files SEC Notice Under Investment Company Act
ELSA Capital OpenAI SPV I a Series of CGF2021 LLC filed a SEC document on April 14, 2026, referencing Section 3(c)(7) of the Investment Company Act.
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.
Victory Springs Capital, LP Files Under Section 3(c)(1)
Victory Springs Capital, LP submitted a SEC filing on April 14, 2026, for exemption under Section 3(c)(1) of the Investment Company Act.
D - MA-0403 Fund II Files Under Investment Company Act Section 3(c)(1)
D - MA-0403 Fund II, a series of Roll Up Vehicles, LP, filed a SEC document on April 14, 2026, related to Section 3(c)(1) of the Investment Company Act.
Lead Edge Partners Opportunity XXXI, LP Files Under Section 3(c)(7)
Lead Edge Partners Opportunity XXXI, LP submitted a SEC filing on April 14, 2026, related to Investment Company Act Section 3(c)(7).
QM Alpha Fund LP Files Under Section 3(c)(1) of Investment Company Act
QM Alpha Fund LP submitted a SEC filing on April 14, 2026, citing Section 3(c)(1) for exemption as an investment company.
Lead Edge Partners Opportunity XXXI, LP Files SEC Notice for Section 3(c)(7) Exemption
Lead Edge Partners Opportunity XXXI, LP submitted a filing to the SEC on April 14, 2026, claiming exemption under Section 3(c)(7) of the Investment Company Act.
BGO Asia Property Partners II LP Files SEC Document for Section 3(c)(7)
BGO Asia Property Partners II LP submitted a SEC filing on April 13, 2026, related to Section 3(c)(7) of the Investment Company Act.
BGO Asia Property Partners II LP Files SEC Document Under Section 3(c)(7)
BGO Asia Property Partners II LP submitted a filing on April 13, 2026, related to Section 3(c)(7) of the Investment Company Act, according to SEC EDGAR.
Altos Korea Opportunity Fund 7 Files Under Section 3(c)(7)
Altos Korea Opportunity Fund 7, L.P. filed a document under Section 3(c)(7) of the Investment Company Act on April 13, 2026, according to SEC EDGAR.
Altos Korea Opportunity Fund 7, L.P. Files Under Section 3(c)(7)
Altos Korea Opportunity Fund 7, L.P. filed a document with the SEC on April 13, 2026, related to Section 3(c)(7) of the Investment Company Act.
BGO Asia Property Partners II LP Files Under Investment Company Act Section 3(c)(7)
D - BGO Asia Property Partners II LP filed a document with the SEC on April 13, 2026, related to Investment Company Act exemptions.
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.
Blue Ocean Onshore Fund II LP Files Under Investment Company Act Section 3(c)(7)
Blue Ocean Onshore Fund II LP submitted a filing to the SEC on April 13, 2026, claiming exemption under Section 3(c)(7) of the Investment Company Act.
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.
BAM Preferred Credit Fund LP Files SEC Document on Investment Act Exemptions
BAM Preferred Credit Fund LP filed a SEC document on April 13, 2026, referencing exemptions under Sections 3(c)(5) and 3(c)(7) of the Investment Company Act.
