NORTHEAST-PTP SPV FUND I Amends Form D, Citing 3(c)(1) Exemption

TL;DR

**NORTHEAST-PTP SPV FUND I just confirmed its private fund status, meaning less public oversight.**

AI Summary

NORTHEAST-PTP SPV FUND I, LP filed an amended Form D/A on March 24, 2026, updating its Notice of Exempt Offering of Securities. This amendment specifically indicates that the fund operates under Section 3(c)(1) of the Investment Company Act, meaning it has fewer than 100 investors and is exempt from registering as an investment company. For investors, this matters because it confirms the fund's private, limited nature, which typically implies higher risk and less regulatory oversight compared to publicly registered funds.

Why It Matters

This filing confirms NORTHEAST-PTP SPV FUND I, LP's status as a private fund, which means it's not subject to the same regulatory scrutiny as public funds, impacting transparency and investor protections.

Risk Assessment

Risk Level: high — Private funds operating under 3(c)(1) typically have less regulatory oversight and disclosure requirements, increasing risk for investors.

Analyst Insight

Investors should recognize that NORTHEAST-PTP SPV FUND I, LP is a private fund with less public disclosure. Those considering investment should conduct thorough due diligence beyond public filings.

Key Numbers

• 021-438163 — File No. (the SEC file number associated with this offering)
• 26785253 — Film No. (the film number for this specific filing)
• 1231 — Fiscal Year End (the month and day the filer's fiscal year ends)

Key Players & Entities

• NORTHEAST-PTP SPV FUND I, LP (company) — the filer of the D/A form
• 0001917142 (company) — the CIK (Central Index Key) for the filer
• 2026-03-24 (date) — the filing and acceptance date of the D/A form
• 475 5TH AVENUE SUITE 1501 NEW YORK NY 10017 (company) — the mailing and business address of the filer
• 863991642 (company) — the EIN (Employer Identification Number) of the filer

Forward-Looking Statements

• NORTHEAST-PTP SPV FUND I, LP will continue to operate as a private fund, maintaining its 3(c)(1) exemption. (NORTHEAST-PTP SPV FUND I, LP) — high confidence, target: 2027-03-24

FAQ

Key Financial Figures

• $1 — enues   No Aggregate Net Asset Value   $1 - $1,000,000 $1 - $5,000,000   $1,000,
• $1,000,000 — No Aggregate Net Asset Value   $1 - $1,000,000 $1 - $5,000,000   $1,000,001 - $5,000,
• $5,000,000 — Net Asset Value   $1 - $1,000,000 $1 - $5,000,000   $1,000,001 - $5,000,000   $5,000,001
• $1,000,001 — e   $1 - $1,000,000 $1 - $5,000,000   $1,000,001 - $5,000,000   $5,000,001 - $25,000,000
• $5,000,001 — $5,000,000   $1,000,001 - $5,000,000   $5,000,001 - $25,000,000 $5,000,001 - $25,000,000
• $25,000,000 — $1,000,001 - $5,000,000   $5,000,001 - $25,000,000 $5,000,001 - $25,000,000   $25,000,001
• $25,000,001 — $25,000,000 $5,000,001 - $25,000,000   $25,000,001 - $50,000,000 $25,000,001 - $100,000,0
• $50,000,000 — 5,000,001 - $25,000,000   $25,000,001 - $50,000,000 $25,000,001 - $100,000,000   $50,000,0
• $100,000,000 — 25,000,001 - $50,000,000 $25,000,001 - $100,000,000   $50,000,001 - $100,000,000   Over $1
• $50,000,001 — 0,000,000 $25,000,001 - $100,000,000   $50,000,001 - $100,000,000   Over $100,000,000   O

Filing Documents

• primary_doc.html (D/A)
• primary_doc.xml (D/A) — 8KB
• 0001917142-26-000001.txt ( ) — 9KB

From the Filing

Form D FORM D Notice of Exempt Offering of Securities UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. OMB APPROVAL OMB Number: 3235-0076 Estimated Average burden hours per response: 4.0 1. Issuer's Identity CIK (Filer ID Number) Previous Name(s) None Entity Type Corporation Limited Partnership   Limited Liability Company   General Partnership   Business Trust Other   Name of Issuer   NORTHEAST-PTP SPV FUND I, LP Jurisdiction of Incorporation/Organization DELAWARE   Year of Incorporation/Organization Over Five Years Ago Within Last Five Years (Specify Year) 2021 Yet to Be Formed           2. Principal Place of Business and Contact Information Name of Issuer   NORTHEAST-PTP SPV FUND I, LP Street Address 1 Street Address 2   475 5TH AVENUE   SUITE 1501   NEW YORK   NEW YORK     10017   212-444-2362   3. Related Persons Last Name First Name Middle Name NorthEast - PTP SPV Fund I GP, LLC . Street Address 1 Street Address 2   135 Crossways Park Drive     Suite 404   Woodbury   NEW YORK   11797   Relationship: Executive Officer Director Promoter Clarification of Response (if Necessary) General Partner of the Issuer Last Name First Name Middle Name Platform Technology Partners LLC d/b/a Northeast Private Wealth Management . Street Address 1 Street Address 2   135 Crossways Park Drive     Suite 404   Woodbury   NEW YORK   11797   Relationship: Executive Officer Director Promoter Clarification of Response (if Necessary) Investment Manager of the Issuer Last Name First Name Middle Name Filone Jeffrey Street Address 1 Street Address 2   135 Crossways Park Drive     Suite 404   Woodbury   NEW YORK   11797   Relationship: Executive Officer Director Promoter Clarification of Response (if Necessary) Manager of the General Partner of the Issuer Last Name First Name Middle Name Van Roten Patrick Street Address 1 Street Address 2   135 Crossways Park Drive     Suite 404   Woodbury   NEW YORK   11797   Relationship: Executive Officer Director Promoter Clarification of Response (if Necessary) Manager of the General Partner of the Issuer 4. Industry Group   Agriculture Banking & Financial Services     Commercial Banking     Insurance   Investing     Investment Banking     Pooled Investment Fund Hedge Fund Other Investment Fund Private Equity Fund Venture Capital Fund *Is the issuer registered as an investment company under the Investment Company Act of 1940? Yes  No   Other Banking & Financial Services   Business Services Energy     Coal Mining     Electric Utilities     Energy Conservation     Environmental Services     Oil & Gas     Other Energy Health Care     Biotechnology     Health Insurance     Hospitals & Physicians     Pharmaceuticals     Other Health Care                         Manufacturing Real Estate   Commercial   Construction   REITS & Finance   Residential Other Real Estate   Retailing Restaurants Technology   Computers   Telecommunications   Other Technology Travel   Airlines & Airports   Lodging & Conventions   Tourism & Travel Services   Other Travel Other        5. Issuer Size Revenue Range Aggregate Net Asset Value Range No Revenues   No Aggregate Net Asset Value   $1 - $1,000,000 $1 - $5,000,000   $1,000,001 - $5,000,000   $5,000,001 - $25,000,000 $5,000,001 - $25,000,000   $25,000,001 - $50,000,000 $25,000,001 - $100,000,000   $50,000,001 - $100,000,000   Over $100,000,000   Over $100,000,000   Decline to Disclose   Decline to Disclose   Not Applicable   Not Applicable   6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply) Rule 504(b)(1) (not (i), (ii) or (iii)) Rule 506(b)         Rule 504 (b)(1)(i) Rule 506(c) Rule 504 (b)(1)(ii) Securities Act Section 4(a)(5) Rule 504 (b)(1)(iii) Investment Company Act Section 3(c) Section 3(c)(1) Section 3(c)(9) Section 3(c)(2) Section 3(c)(10) Section 3(c)(3) Section 3(c)(11) Section 3(c)(4) Section 3(c)(12) Section 3(c)(5) Section 3(c)(13) Section 3(c)(6) Section 3(c)(14) Section 3(c)(7)     7. Type of Filing   New Notice Date of First Sale   2021-12-15   First Sale Yet to Occur   Amendment     8. Duration of Offering Does the Issuer intend this offering to last more than one year?   Yes   No     9. Type(s) of Securities Offered (select all that apply) Pooled Investment Fund Interests Equity Tenant-in-Common Securities Debt Mineral Property Securities Option, Warrant or Other Right to Acquire Another Security Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security Other (describe)       10. Business Combination Transaction Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer?   Yes   No Clarification of Response (if Necessary)       11. Minimum Investment Minimum investment accepted f

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