Filing volume digest
Friday about 9:10 AM to 11:05 AM ET (EDGAR live feed): Roughly 46 new Form D and D/A notices posted in the window. Standouts include Lancaster European Equity refreshing an indefinite hedge-fund notice at $1.04 billion sold, Empower Annuity Insurance Co updating an indefinite insurance placement at $681.7 million sold, and Invus Alternative Strategy Fund, L.P. at $85.6 million sold. Operating-company notices included Nadhi AI with a nearly fully sold $21.14 million Rule 506(b) equity Form D and FM MHC Investors IV opening a $50 million residential notice with no sales yet. On the Reg A side, Upstream Life Securities Fund I filed a Form 1-A/A for a $75 million Tier 2 Investment Certificate offering. No new Reg CF Form C or Form C-AR annual reports appeared in this window. Offering amounts are maximums, not money raised.
Thursday, Nov 5, 2026 (full day, per the EDGAR daily index): Reg D: 193 new Form D and 69 D/A filings. Reg CF: 5 new Form C (Beauty Right Back, Meridian Growth Collective, Borinqueneers Film, Agent Lift and Paraland Realms), 5 C/A (Innovega, Tapville Franchising, Standard Carbon Technology, Satschel and Hollywood Hills), 2 C-U progress updates (Automated Retail Technologies and TOKYOPOP) and 2 C-AR annual reports (SmartSoda Holdings and Yummy Future). Reg A: no new Form 1-A or 1-A/A; 2 1-A POS (Doroni Aerospace and Wellstreet Realty). Offering amounts are maximums, not money raised.
After about 5 PM ET Thursday through early Friday morning (EDGAR live feed): About 48 new Form D and 15 D/A filings crossed after the last hourly window. Southwest Value Partners Fund 25 reported $205.2 million sold to 176 investors, Endogenex updated a health-care raise at $132.4 million sold of $144.6 million, and Wolverine Flagship Fund vehicles refreshed indefinite notices at $2.15 billion and $2.59 billion sold. Encouraging Mountain reported a fully sold $40 million venture vehicle, and DPEG Market Heights opened a $43.95 million Texas real estate notice with no sales yet. Two Form C-AR annual reports arrived overnight (3 Rivers Outdoor Co and Cadi). No new Reg CF Form C or Reg A filings overnight. Offering amounts are maximums, not money raised.
Friday morning about 6 to 7:10 AM ET (EDGAR live feed): A quiet open for private offerings, with GSI Absolute Return Fund amending an indefinite hedge fund notice at $82.5 million sold to 138 investors. No new Reg A, Form C or additional C-AR filings in this early window. Offering amounts are maximums, not money raised.
Spotlight
Upstream Life Securities Fund I files a $75M Reg A Tier 2 amendment
Form 1-A/A · Reg A Tier 2 · Insurance / Investment Certificates · $75M maximum (3,000 certificates at $25,000) · Best efforts via Icon Capital Group · Louisiana LLC (Oxford, MS) · Filed Nov 6, 2026
Upstream Life Securities Fund I, LLC, a Louisiana limited liability company based in Oxford, Mississippi, filed a Form 1-A/A on Friday amending its Regulation A Tier 2 offering circular for up to $75,000,000 of junior unsecured Investment Certificates (3,000 certificates at $25,000 each). The best-efforts offering is marketed with Icon Capital Group (CRD 4029) and is intended to support associated life, health and annuity insurance operations, including Upstream Life Insurance Company. The amendment revises the header on unaudited financial statements; estimated net proceeds at the maximum are about $67.4 million after up to $7.5 million of sales commissions. Offering amounts are maximums, not money raised.
Reg A Tier 2 amendment (file 024-12740). Prior amendments dated through Oct 23, 2026. Securities are debt certificates, not equity; minimum subscription cited in the circular is $25,000. No new Form C-AR in this window.
Lancaster European Equity refreshes Form D at $1.04B sold
Form D/A · Rule 506(b) · Hedge fund · Indefinite offering, $1.04B sold · 46 investors · First sale Dec 1, 2013 · Cayman Islands · Filed Nov 6, 2026
LANCASTER EUROPEAN EQUITY Ltd, a Cayman Islands exempted company hedge fund (formerly LEE Fund Ltd), filed a Form D/A on Friday updating an indefinite Rule 506(b) / Section 3(c)(7) offering to $1,041,772,425 sold to 46 investors. The first sale dates to December 1, 2013, and the minimum investment is listed at $100,000. Jordan L. Irving, a director, signed the amendment. The investment manager receives customary management fees per the filing.
Large long-running Cayman hedge fund amendment. Companion-style fund notices (Invus, Empower) also refreshed in the same late-morning window.
Empower Annuity Insurance Co updates Form D at $681.7M sold
Form D/A · Rule 506(b) · Insurance · Indefinite offering, $681.7M sold · 41 investors · Min $500,000 · First sale Dec 13, 2012 · Connecticut · Filed Nov 6, 2026
Empower Annuity Insurance Co (formerly Prudential Retirement Insurance & Annuity Co), a Connecticut insurer, filed a Form D/A on Friday updating an indefinite Rule 506(b) offering to $681,720,201 sold to 41 investors. The filing states total amount sold reflects sales as of October 31, 2026 plus estimated amounts through November 6, 2026, with no specified end date or cap. Minimum investment is $500,000; first sale dates to December 13, 2012. Simon Poole, Vice President, Stable Value Products, signed the amendment. Revenue range is listed as over $100,000,000.
Insurance private-placement refresh, not a Reg CF/Reg A retail raise. Section 3(c)(3) Investment Company Act exclusion also cited.
Nadhi AI reports a nearly fully sold $21.1M Form D
Form D · Rule 506(b) · Other Technology · $21.14M offering, $21.14M sold · 7 investors · First sale Oct 26, 2026 · Delaware corp (Fremont, CA) · Filed Nov 6, 2026
Nadhi AI, Inc., a Delaware corporation based in Fremont, California, filed a first-time Form D on Friday for a Rule 506(b) equity offering of $21,140,000 with $21,139,989 already sold to 7 accredited investors. The first sale is dated October 26, 2026. CEO Raghuraman Balasubramanian signed the notice. The filing says a portion of proceeds may pay first-year executive salaries and repay founder loans (about $6.2 million flagged for that use). Industry group is Other Technology; revenue range declined to disclose.
Operating-company tech/AI notice amid a late-morning wave of fund Form Ds. Not a crowdfunding Form C.
Invus Alternative Strategy Fund updates Form D at $85.6M sold
Form D/A · Rule 506(b) · Hedge fund · Indefinite offering, $85.6M sold · 14 investors · Min $1M · First sale Feb 1, 2008 · Delaware LP (New York) · Filed Nov 6, 2026
Invus Alternative Strategy Fund, L.P., a Delaware limited partnership hedge fund managed from New York, filed a Form D/A on Friday updating an indefinite Rule 506(b) / Section 3(c)(7) offering to $85,553,483 sold to 14 investors. The first sale dates to February 1, 2008, and the minimum investment is $1,000,000. Leslie Lake, Managing Member of the General Partner, signed the amendment. Related persons include Invus Financial Advisors GP, L.L.C. and Invus Financial Advisors, L.L.C. A companion offshore D/A for Invus Alternative Strategy Fund, Ltd. also posted in the same window.
DQ page not yet indexed for this accession; EDGAR index used as link. Long-running Invus vehicle refresh.
Recent Annual Reports (Form C-AR)
3 Rivers Outdoor Co
Filed 2026-11-06 · FY 2024
- Revenue
- $645.6K
- Net income
- -$23K
- Total assets
- $268.5K
- Employees
- 2
3 Rivers Outdoor Co filed its annual report reporting revenue of $645.6K (vs $676.5K the prior year) and a net loss of $23.0K for fiscal year 2024, with $268.5K in total assets and 2 employees.
View on EDGAR →
Cadi, Inc.
Filed 2026-11-06 · FY 2022
- Revenue
- $581.2K
- Net income
- -$100.2K
- Total assets
- $1.15M
- Employees
- 3
Cadi, Inc. filed its annual report reporting revenue of $581.2K (vs $393.2K the prior year) and a net loss of $100.2K for fiscal year 2022, with $1.15M in total assets and 3 employees.
View on EDGAR →
Yummy Future Inc.
Filed 2026-11-05 · FY 2021
- Revenue
- $0
- Net income
- $0
- Total assets
- $0
- Employees
- 5
Yummy Future Inc. of Champaign, Illinois filed a late annual report for fiscal year 2021, reporting no revenue, zero net income and zero total assets (down from $42.2K) with 5 employees.
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SmartSoda Holdings, Inc.
Filed 2026-11-05 · FY 2024
- Revenue
- $2.34M
- Net income
- -$1.65M
- Total assets
- $5.75M
- Employees
- 15
SmartSoda Holdings, Inc. filed its annual report reporting revenue of $2.34M and a net loss of $1.65M for fiscal year 2024, with $5.75M in total assets and 15 employees.
View on EDGAR →
ZeroT24 Nation LLC
Filed 2026-11-04 · FY 2025 · ALAO Invest LLC
- Revenue
- $0
- Net income
- -$90.3K
- Total assets
- $183.6K
- Employees
- 0
ZeroT24 Nation LLC filed its annual report reporting revenue of $0 and a net loss of $90.3K for fiscal year 2025, with $183.6K in total assets and 0 employees.
View on EDGAR →
Data generated: 2026-11-06T16:22:39Z
