SEC Form D Fundraising Signals & VC/PE Fund Monitor

An Apify Actor that turns official SEC filings into source-linked VC/PE fundraising signals. It combines EDGAR Form D notices with Form ADV firm data, conservative manager resolution, official manager-site classification, lifecycle tracking, and delivery integrations.

This is an original signal and workflow product, not a PitchBook clone or a complete private-markets database.

Unofficial product: This community Actor is independent and is not affiliated with, sponsored by, or endorsed by the U.S. Securities and Exchange Commission, PitchBook, Morningstar, or any observed fund manager.

Included in v1.0

• New D notices and D/A amendments from SEC daily indexes
• Venture Capital, Private Equity, Hedge, and Other Investment Fund filters
• Offering size, amount sold, remaining amount, first sale date, investor count, geography, jurisdiction, and exemptions
• Material amendment comparison through previousAccessionNumber
• Official Form ADV registered-adviser and exempt-reporting-adviser enrichment
• Conservative fund-to-manager entity resolution with matched, ambiguous, and unmatched states
• Official manager website, strategy, portfolio, news, and press-hub discovery
• robots.txt compliance for every official-site origin and redirect
• Rule-based strategy and sector classification without returning scraped page text
• Canonical fund IDs plus persistent first-seen, last-seen, alias, and observation history
• Field-level evidence, source URLs, provenance, and confidence scores
• Snapshot and persistent delta watchlists
• Every-signal and latest-per-fund output modes
• Generic webhook, Slack incoming webhook, and CRM/automation webhook delivery
• Pay-per-event billing through Apify's synthetic start and default-dataset events
• Spending-limit-aware output caps that stop before SEC source access when no result can be charged
• Pre-parse removal of person-level and contact-bearing Form D sections

Recommended production input

{
  "daysBack": 7,
  "fundTypes": [
    "Venture Capital Fund",
    "Private Equity Fund"
  ],
  "locations": [],
  "minOfferingAmountUsd": 10000000,
  "minAmountSoldUsd": 0,
  "onlyNewNotices": false,
  "includeAmendmentDiff": true,
  "runMode": "delta",
  "watchlistKey": "us-vc-pe-daily",
  "maxItems": 250,
  "maxFilingsToInspect": 1000,
  "secUserAgent": "Mozilla/5.0 YourFirm ops@yourfirm.com FundraiseSignalMonitor/1.0",
  "managerEnrichment": true,
  "websiteEnrichment": true,
  "maxOfficialPages": 2,
  "outputMode": "latest_per_fund",
  "strategyFilters": [],
  "sectorFilters": [],
  "failOnDeliveryError": false
}

Replace the User-Agent example with a monitored organization contact before running. startDate and endDate support explicit ranges up to 31 calendar days. Otherwise daysBack ends on the current date.

Output contract

Each dataset item includes:

• Filing identity: signalId, canonicalFundId, CIK, accession, filing date, and filing type
• Fundraise facts: fund type, amounts, dates, investor count, exemptions, and coarse location
• Amendment facts: comparison status, changed fields, and before/after values
• Manager resolution: status, method, score, ambiguity gap, and permitted Form ADV firm fields
• Official website evidence: root domain, classified hub pages, and dated news/press observations
• Classification: normalized strategy and sector tags, basis, and confidence
• Lifecycle: first/last seen, unique filing observation count, and legal-entity aliases
• Evidence: field, source type, official URL, observation time, note, and confidence
• Compliance flags: provenance: "official_as_filed" and personContactFieldsExcluded: true

Raw Form D amount strings are retained because the SEC permits values such as Indefinite. The corresponding ...Usd field is null when the value cannot be represented reliably as a number.

Real records from a live run

Both records below are unedited output from a live run on 2026-07-28 against the public EDGAR index (build 1.0.7). An active raise, exactly as filed: a $150M venture fund three days into its offering with $6.475M already sold to 23 investors:

{
  "signalId": "sec-form-d:0002146550-26-000001",
  "canonicalFundId": "sec-cik:0002146550",
  "signalType": "new_notice",
  "accessionNumber": "0002146550-26-000001",
  "filingDate": "2026-07-27",
  "acceptedAt": "2026-07-27T13:17:04",
  "cik": "0002146550",
  "fundName": "LRI Vision Partners Fund III, L.P.",
  "entityType": "Limited Partnership",
  "fundType": "Venture Capital Fund",
  "locationCity": "SEATTLE",
  "locationRegion": "WASHINGTON",
  "locationCountry": "UNITED STATES",
  "jurisdiction": "DELAWARE",
  "incorporationYear": 2025,
  "firstSaleDate": "2026-06-30",
  "firstSaleStatus": "occurred",
  "offeringDuration": "more_than_one_year",
  "minimumInvestmentUsd": 0,
  "totalOfferingAmount": "150000000",
  "totalOfferingAmountUsd": 150000000,
  "totalAmountSold": "6475000",
  "totalAmountSoldUsd": 6475000,
  "totalRemaining": "143525000",
  "totalRemainingUsd": 143525000,
  "investorCount": 23,
  "hasNonAccreditedInvestors": false,
  "exemptions": [
    "06b",
    "3C",
    "3C.1",
    "3C.7"
  ],
  "isAmendment": false,
  "previousAccessionNumber": null,
  "diffStatus": "not_applicable",
  "changedFields": [],
  "changes": [],
  "source": {
    "publisher": "U.S. Securities and Exchange Commission",
    "dataset": "EDGAR Form D",
    "filingUrl": "https://www.sec.gov/Archives/edgar/data/2146550/000214655026000001/0002146550-26-000001-index.html",
    "submissionTextUrl": "https://www.sec.gov/Archives/edgar/data/2146550/0002146550-26-000001.txt"
  },
  "manager": {
    "status": "matched",
    "matchMethod": "name_similarity",
    "matchScore": 0.88,
    "ambiguityGap": 0.095,
    "profile": {
      "managerId": "sec-adv-crd:291983",
      "crdNumber": "291983",
      "secNumber": "802-112567",
      "cik": null,
      "primaryBusinessName": "UNLOCK VENTURE PARTNERS",
      "legalName": "LRI VISION MANAGEMENT, LLC",
      "firmType": "ERA",
      "website": "https://www.facebook.com/unlockvp/",
      "city": null,
      "region": null,
      "country": null,
      "latestAdvFilingDate": "2025-03-18",
      "privateFundCount": 3,
      "ventureCapitalFundCount": 3,
      "privateEquityFundCount": null,
      "hedgeFundCount": null,
      "privateFundGrossAssetsUsd": 88312620,
      "sourceUrl": "https://adviserinfo.sec.gov/firm/summary/291983",
      "sourceDownloadUrl": "https://www.sec.gov/files/investment/data/other/information-about-registered-investment-advisers-exempt-reporting-advisers/ia07012026-exempt.zip"
    }
  },
  "officialWebsite": {
    "status": "disabled",
    "url": null,
    "domain": null,
    "pages": [],
    "updates": [],
    "fetchedAt": null
  },
  "classification": {
    "strategyTags": [
      "venture-capital"
    ],
    "sectorTags": [],
    "confidence": 0.87,
    "basis": [
      "form_d",
      "fund_name",
      "form_adv"
    ]
  },
  "lifecycle": {
    "firstSeenAt": "2026-07-28T14:26:36.610Z",
    "lastSeenAt": "2026-07-28T21:15:36.031Z",
    "isFirstSeen": false,
    "observationCount": 1,
    "aliases": [
      "LRI Vision Partners Fund III, L.P."
    ]
  },
  "confidenceScore": 0.9084,
  "evidence": "(evidence details, shortened here)",
  "provenance": "official_as_filed",
  "personContactFieldsExcluded": true,
  "retrievedAt": "2026-07-28T21:15:36.031Z"
}

And a day-one filing that shows the honesty rules working. The SEC permits non-numeric amounts, so the raw string "Indefinite" is retained and totalOfferingAmountUsd stays null instead of being guessed; firstSaleStatus reports yet_to_occur with zero investors; provenance marks the record as official as-filed data, and personContactFieldsExcluded confirms that natural-person contact fields are never extracted:

{
  "signalId": "sec-form-d:0002147468-26-000001",
  "canonicalFundId": "sec-cik:0002147468",
  "signalType": "new_notice",
  "accessionNumber": "0002147468-26-000001",
  "filingDate": "2026-07-27",
  "acceptedAt": "2026-07-27T17:09:22",
  "cik": "0002147468",
  "fundName": "Uplift Investors Mockingbird Co-Invest Fund, LP",
  "entityType": "Limited Partnership",
  "fundType": "Private Equity Fund",
  "locationCity": "DARIEN",
  "locationRegion": "CONNECTICUT",
  "locationCountry": "UNITED STATES",
  "jurisdiction": "DELAWARE",
  "incorporationYear": 2026,
  "firstSaleDate": null,
  "firstSaleStatus": "yet_to_occur",
  "offeringDuration": "one_year_or_less",
  "minimumInvestmentUsd": 0,
  "totalOfferingAmount": "Indefinite",
  "totalOfferingAmountUsd": null,
  "totalAmountSold": "0",
  "totalAmountSoldUsd": 0,
  "totalRemaining": "Indefinite",
  "totalRemainingUsd": null,
  "investorCount": 0,
  "hasNonAccreditedInvestors": false,
  "exemptions": [
    "06b",
    "3C",
    "3C.1",
    "3C.7"
  ],
  "isAmendment": false,
  "previousAccessionNumber": null,
  "diffStatus": "not_applicable",
  "changedFields": [],
  "changes": [],
  "source": {
    "publisher": "U.S. Securities and Exchange Commission",
    "dataset": "EDGAR Form D",
    "filingUrl": "https://www.sec.gov/Archives/edgar/data/2147468/000214746826000001/0002147468-26-000001-index.html",
    "submissionTextUrl": "https://www.sec.gov/Archives/edgar/data/2147468/0002147468-26-000001.txt"
  },
  "manager": {
    "status": "matched",
    "matchMethod": "name_and_location",
    "matchScore": 0.845,
    "ambiguityGap": 0.845,
    "profile": {
      "managerId": "sec-adv-crd:335515",
      "crdNumber": "335515",
      "secNumber": "801-132856",
      "cik": null,
      "primaryBusinessName": "UPLIFT",
      "legalName": "UPLIFT INVESTORS, LP",
      "firmType": "Registered",
      "website": "https://www.linkedin.com/COMPANY/UPLIFT-INVESTORS/",
      "city": "DARIEN",
      "region": "CT",
      "country": "United States",
      "latestAdvFilingDate": "2026-03-31",
      "privateFundCount": 2,
      "ventureCapitalFundCount": null,
      "privateEquityFundCount": 2,
      "hedgeFundCount": null,
      "privateFundGrossAssetsUsd": 230500000,
      "sourceUrl": "https://adviserinfo.sec.gov/firm/summary/335515",
      "sourceDownloadUrl": "https://www.sec.gov/files/investment/data/other/information-about-registered-investment-advisers-exempt-reporting-advisers/ia07012026.zip"
    }
  },
  "officialWebsite": {
    "status": "disabled",
    "url": null,
    "domain": null,
    "pages": [],
    "updates": [],
    "fetchedAt": null
  },
  "classification": {
    "strategyTags": [
      "co-investment",
      "private-equity"
    ],
    "sectorTags": [],
    "confidence": 0.87,
    "basis": [
      "form_d",
      "fund_name",
      "form_adv"
    ]
  },
  "lifecycle": {
    "firstSeenAt": "2026-07-28T14:26:36.610Z",
    "lastSeenAt": "2026-07-28T21:15:36.031Z",
    "isFirstSeen": false,
    "observationCount": 1,
    "aliases": [
      "Uplift Investors Mockingbird Co-Invest Fund, LP"
    ]
  },
  "confidenceScore": 0.9007,
  "evidence": "(evidence details, shortened here)",
  "provenance": "official_as_filed",
  "personContactFieldsExcluded": true,
  "retrievedAt": "2026-07-28T21:15:36.031Z"
}

Classification filters

Common strategy tags include:

venture-capital, private-equity, seed, early-stage, growth-equity, buyout, venture-debt, private-credit, real-estate, co-investment, fund-of-funds, secondary, and infrastructure.

Common sector tags include:

software, artificial-intelligence, fintech, healthcare, life-sciences, climate-energy, consumer, industrials, real-estate, defense-aerospace, crypto-web3, education, food-agriculture, and mobility-logistics.

Filters use OR within each list and AND between strategy and sector lists. Classification is deterministic and evidence-linked; it is not presented as an audited investment mandate.

Delta and lifecycle behavior

runMode: "delta" stores seen SEC accession numbers per watchlist. Later runs omit already-seen accessions. watchlistKey identifies independent schedules; when omitted, a stable key is generated from business filters.

outputMode: "latest_per_fund" returns only the newest filing in the selected range for each canonical SEC fund CIK. Suppressed older accessions are consumed correctly in delta mode, so they do not resurface on later runs.

Lifecycle state is separate from watchlist state. It stores canonical fund ID, first/last observation times, legal-entity aliases, manager organization ID, and up to 500 observed accession numbers. Re-running the same filing does not increase observationCount.

Delivery integrations

Three encrypted input destinations are supported:

• webhookUrl: complete versioned signal envelope
• crmWebhookUrl: the same envelope for a CRM or automation intake endpoint
• slackWebhookUrl: concise Block Kit alert with SEC filing links

webhookBearerToken is sent only to generic and CRM webhooks. Delivery URLs must use HTTPS, resolve exclusively to public IP addresses, and must not redirect. Failed requests retry up to three times. Runs with no matching signals record configured deliveries as skipped and do not send empty alerts.

Generic and CRM deliveries are split into ordered batches of at most 50 signals. Each envelope includes batch position metadata, a schema-version header, and a stable idempotency key so receivers can safely deduplicate retries.

Set failOnDeliveryError: true when delivery failure should fail the Actor run after dataset and summary persistence.

Pricing and spending limits

The Store configuration charges $0.01 when a run starts and $0.003 for each normalized fundraising signal written to the default dataset ($30 / 1,000). The fundraising-signal event is the primary event and platform usage is included by the publisher.

When a user sets a maximum charge for a run, the Actor calculates the remaining number of chargeable dataset items before source access and caps work accordingly. If the remaining budget cannot pay for one result, the Actor writes a budgetLimited: true zero-result summary without contacting the SEC.

This Actor is also exposed to AI agents through Apify's MCP server (mcp.apify.com): an agent can discover it by search and run it with the same pay-per-event billing, with no separate integration.

Privacy and security

The Actor removes these Form D XML sections before parsing:

• Related persons
• Sales-compensation recipients
• Signatures
• Issuer phone and street address
• Use-of-proceeds free text
• Commissions and finder-fee sections

It never downloads the Form D RECIPIENTS, RELATEDPERSONS, or SIGNATURES bulk tables. From Form ADV rosters it selects only firm identifiers, firm names, website, coarse geography, filing date, and aggregate private-fund counts/assets; phone, email, and street-address columns are discarded during CSV parsing.

Official website HTML is used transiently for rule-based classification and every origin is checked against robots.txt before fetching. Page text, article titles, article URLs, people, emails, phone numbers, and contact details are not returned or stored. News/press output is limited to the official hub URL and a machine-readable publication date when available.

Entity and firm names can themselves contain a human name. The precise data-handling contract is documented in DATA_AND_PRIVACY.md; the product claim is exclusion of defined person/contact fields, not an absolute legal guarantee that no entity name can identify a person.

Delivery secrets use Apify encrypted inputs. Network destinations block local, private, link-local, carrier-grade NAT, documentation, reserved, and non-unicast IP ranges, including IPv4-mapped IPv6 addresses.

Sources and limitations

Primary sources:

• SEC Form D data sets and EDGAR archive
• SEC Form ADV adviser and exempt-reporting-adviser information
• Official manager website reported in the matched Form ADV roster

SEC records are published as filed and may contain mistakes, omissions, amendments, or indefinite amounts. A Form D notice is a fundraising signal-not proof of a final close, SEC approval, or an exhaustive view of a manager. Manager matching is deliberately conservative; low-confidence or ambiguous candidates are not attached.

Outputs are provided for research and monitoring. They are not investment, legal, tax, or compliance advice.

The Actor observes SEC access throttling. secUserAgent is required and must include a monitored contact email. Missing weekend and holiday daily indexes are skipped.

Local verification

Requires Node.js 20 or later:

npm ci
npm run check
npm run build
npm run release:check

The test suite covers configuration validation, source parsers, defined person/contact-field removal, filters, amendment comparison, manager resolution, classification, lifecycle idempotency, official-site privacy, network destination protection, schema conformance, and webhook/Slack/CRM delivery behavior.

Run locally with the Apify CLI, or place INPUT.json in the default local key-value store and run:

$npm run start:dev

Apify publication

The source includes Actor input/output/dataset schemas and a two-stage Node.js 24 Docker build.

For a private deploy plus remote build and automatic Console opening:

$npm run deploy:private

Prepared Store copy, pricing, and an optional schedule template are in publication/. The sample SEC User-Agent is intentionally a placeholder: every caller must replace it with a monitored organization contact before a run.