RegAlert2026-01-02
Added · Updated
Bulletin 3228 - January 2, 2026
The Banking Commissioner entered into a Stipulation and Agreement with Edge Partners Capital LLC, fining the firm $4,500 for failing to fulfill filing requirements as a federally exempt reporting adviser and for violating Sections 36b-16 and 36b-21(e) of the Connecticut Uniform Securities Act by not making timely Rule 506 notice filings for seven funds. Although the filing deficiencies were subsequently cured, the agreement mandates that the firm refrain from future regulatory violations. Written comments regarding this action must be directed to Banking Commissioner Jorge L. Perez within ten business days of the bulletin's date.
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State of Connecticut
Department of Banking
The Department of Banking News Bulletin
Bulletin # 3228 - Week Ending January 2, 2026
This Bulletin constitutes the only official notification you will receive from this office concerning any of the following applications. Any observations you may have are solicited. Any comments should be directed to Jorge L. Perez, Banking Commissioner. Written comments will be considered only if they are received within ten business days from the date of this bulletin.
SECURITIES AND BUSINESS INVESTMENTS DIVISION ACTIVITY
Edge Partners Capital LLC (CRD No. 330669)
On December 29, 2025, the Banking Commissioner entered into a Stipulation and Agreement (No. ST-25-202533-S) with Edge Partners Capital LLC of 55 Post Road W, Westport Connecticut 06880. The firm is an investment adviser that manages multiple affiliated private funds. The Stipulation and Agreement alleged that Edge Partners Capital LLC failed to fulfill the filing requirements governing federally exempt reporting advisers mandated by Connecticut law. The Stipulation and Agreement also alleged that the firm violated Sections 36b-16 and 36b-21(e) of the Connecticut Uniform Securities Act by failing to make a timely Rule 506 notice filing for seven funds whose securities were being offered.
The filing deficiencies were later cured.
The Stipulation and Agreement fined the firm $4,500 and required that it refrain from regulatory violations.
Dated: Tuesday, January 6, 2026
Jorge L. Perez
Banking Commissioner
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Source: Connecticut Department of Banking — original document · Summary generated with machine assistance and reviewed before publication; the authoritative text is the regulator's original document. How RegAlert works
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