The Filings Desk 8 stories this week · 32 total

The 29 September notice names four related persons and records $0K sold to date, but no fund size or terms.

Rev. Rul. 2026-20 recharacterizes the exchange between the seeding investor and the authorized participant, while Notice 2026-62 expresses no view on seed transactions that match the fund's strategy and that the fund expects to keep.

Canyon's two home equity vehicles and Castlelake's asset-based private credit fund disclose no offering amount and zero sales in Sept. 28 Form D filings.

The AE Industrial filing covers Series 7 of an aggregator vehicle; the Barings filing covers Series B of a CLO equity partnership.

Four Form Ds in one day put a $90 million sleeve on the public record and leave advisors with a diligence question no named fund would pose.

Four Form Ds posted the same day, each with a blank offering amount, point to a series-LLC machine for standing up sleeves in batches.

Fourteen days from first sale to Form D, and an offering amount filed as undisclosed, point to capital assembled before the paperwork existed.

Three Form Ds in twenty days report $57.8 million sold and never state an offering amount, which is what a client-driven wrapper looks like in the SEC's own form.

Both vehicles left the offering total unstated; on a Form D, that blank is an open shelf.

A Lonsdale-tied vehicle enters the market with the fundraise still ahead of it, and the first amended Form D will decide whether the ask sticks.

The $12.3 million Form D landed a week and a half after a $29.9 million venture feeder, its '- B' suffix marking a planned series rather than a one-off.

Four Form Ds, one filing day: the $95 million in new AQR Flex sleeves looks less like a product launch than a batch of discrete mandates.

An empty Form D is a parked option on the secondaries shelf.

A $124 million raise in two weeks, with no cap stated, shows up only on Form D — the public ledger of the private-markets wealth flow.

A $500 million raise in sixteen days lands on a Form D that leaves the fund's cap blank and its terms in the private placement memorandum.

Three Form Ds, one date, no capital sold: the architecture tells allocators the manager is selling choice, not a single fund.

A Form D filing shows the RIA pooling client money into a venture-capital vehicle.

The award may be the first final decision to name a 'land easement,' giving claimants a figure in a corner of arbitration where cases usually end in confidential settlements.

Vanguard Canada gives VVO unitholders until Oct. 29 to sell before a pro rata wind-down.

The filing adds a private realty vehicle to the asset manager's push for wealth allocator capital.

A Form D shows the private equity vehicle was fully subscribed by the time it reached EDGAR.

Brightstar and Coatue filed SEC Form Ds for two private equity vehicles apiece, each with no capital sold yet.

A proposed FINRA rule would give member firms a safe harbor to freeze suspicious transactions for 10 business days, and vulnerable-adult holds could stretch to 145 business days.

The firm’s loss narrowed, and reports say Franklin Templeton may be in talks to buy it.

SEC Form D shows $100 million raised by Cube Infrastructure Fund IV with no target disclosed.

Main fund sold $90M of $130M target; co-investment vehicle fully subscribed at $40M, per SEC filings.

A new SEC filing reports $52.4 million in sales for the fund as of Aug. 12.

Proposed IRS regulations set contribution limits and nondiscrimination tests for employer Trump Account programs.