Universe & Classification Criteria
How entities are discovered, classified, and monitored in this system.
153
BDCs
active
206
Interval Funds
active
19
Non-Traded REITs
active
0
Named Platform
active
Entity Types
Each entity in the registry has one primary type that controls grouping on the Filings page.
| Type | What it is | Discovery source | Forms monitored | SIC code(s) | Examples |
|---|---|---|---|---|---|
| BDC | Business Development Company — closed-end fund electing BDC status under the 1940 Act; lends to or invests in middle-market companies | SEC authoritative BDC reference list (sec.gov/files/investment/data/) via edgartools get_bdc_list() |
10-K
10-Q
8-K
N-2
N-14
SC 13G
SC 13D
|
6726 |
Ares Capital, Blue Owl Capital Corp, Main Street Capital, Gladstone Investment |
| Interval Fund | Closed-end fund offering periodic (quarterly/semi-annual) liquidity via redemption windows; registered on Form N-2; includes tender-offer funds | N-2 filers sweep (2020–present); name-keyword auto-classification |
N-2
N-2/A
N-14
10-K
10-Q
8-K
|
6726 |
Blackstone Private Credit Fund, Diameter Dynamic Credit Fund, OHA Direct Credit Fund |
| CLO | Collateralized Loan Obligation — structured vehicle issuing tranched notes backed by leveraged loans; some file N-2 as registered investment companies | N-2 filers sweep; classified by name keywords: CLO, collateralized loan, loan obligation, structured credit |
N-2
N-2/A
10-K
10-Q
8-K
|
6199 · 6726 |
VanEck CLO Opportunities Fund, Aristotle Pacific Enhanced CLO Income Fund, LibreMax Asset-Backed Income Fund |
| NTR | Non-Traded REIT — real estate investment trust sold via broker-dealer networks rather than a stock exchange; often offers periodic NAV-based redemptions | S-11 filers sweep (2019–present); only named-platform manager matches are auto-added (see NTR Platform Map below) |
S-11
S-11/A
10-K
10-Q
8-K
|
6798 |
BREIT (Blackstone Real Estate Income Trust), Starwood Real Estate Income Trust, Ares Real Estate Income Trust, PIMCO Mortgage Income Trust |
| Named Platform | Top-level holding company or manager entity for a major alternative credit / real estate platform. Used when the parent entity itself files (e.g. manager-level 13G/13D). Most entities carry this as a tag rather than primary type. | Name keyword match against Named Platform Map (see below); applied as a tag on BDC, interval-fund, CLO, and NTR entries |
SC 13G
SC 13D
10-K
8-K
|
varies | Blue Owl Capital Inc, Ares Management Corp, Apollo Global Management |
Forms Monitored (Daily Fetch)
The daily fetch scans EDGAR's quarterly index for any of these form types filed by active registry entities. Amendment variants (/A) are detected automatically and linked back to the base filing.
| Form | What it is | Amendment |
|---|---|---|
N-2 | Registration statement for closed-end investment company (BDC / interval fund / CLO) | N-2/A |
N-14 | Registration for merger or acquisition involving investment companies | N-14/A |
10-K | Annual report (audited financials) | 10-K/A |
10-Q | Quarterly report (unaudited financials) | 10-Q/A |
8-K | Material event disclosure (distributions, management changes, credit facility updates, etc.) | 8-K/A |
SC 13G | Passive beneficial ownership report (>5% stake) | SC 13G/A |
SC 13D | Active beneficial ownership report (>5% stake with intent) | SC 13D/A |
S-11 | Registration statement for real estate companies (NTR offering registrations) | S-11/A |
Universe Search Sources
Run python run.py universe-search to repopulate the registry from all three sources.
| Source | EDGAR endpoint | Years swept | Filter | Resulting status |
|---|---|---|---|---|
| BDC reference list | sec.gov/files/investment/data/…/business-development-company-{year}.csv |
Current year (edgartools managed) | Active BDCs only (by default) | active |
| N-2 filers | Archives/edgar/full-index/{year}/QTR{q}/form.gz |
2020–2025 | Form = N-2 or N-2/A; keyword match for CLO/interval/platform → auto-activate; everything else → pending review | active or pending |
| S-11 NTR filers | Archives/edgar/full-index/{year}/QTR{q}/form.gz |
2019–2025 | Form = S-11 or S-11/A; must match NTR Platform Map (named platforms only) | active |
Named Platform Keywords (BDC / Interval Fund / CLO)
If a company name contains any of these keywords (case-insensitive), the entity receives the named-platform tag and the parent company field is auto-populated.
antares
→
Antares Capital
apollo
→
Apollo Global Management
ares
→
Ares Management
bain capital
→
Bain Capital
benefit street
→
Benefit Street Partners / Franklin Templeton
blackrock
→
BlackRock
blackstone
→
Blackstone
blue owl
→
Blue Owl Capital
brookfield
→
Brookfield
capital southwest
→
Capital Southwest
carlyle
→
Carlyle Group
crescent
→
Crescent Capital
diameter
→
Diameter Capital
gladstone
→
Gladstone Companies
goldman sachs
→
Goldman Sachs
golub
→
Golub Capital
hercules
→
Hercules Capital
hps
→
HPS Investment Partners
j.p. morgan
→
JPMorgan
jpmorgan
→
JPMorgan
kayne
→
Kayne Anderson
kayne anderson
→
Kayne Anderson
kkr
→
KKR
libremax
→
LibreMax Capital
loomis
→
Loomis Sayles
main street
→
Main Street Capital
monroe
→
Monroe Capital
morgan stanley
→
Morgan Stanley
nuveen
→
Nuveen / TIAA
oaktree
→
Oaktree Capital
oha
→
Oak Hill Advisors
owl rock
→
Blue Owl Capital
partners group
→
Partners Group
pershing
→
Pershing Square
pimco
→
PIMCO
prospect
→
Prospect Capital Management
sixth street
→
Sixth Street Partners
sound point
→
Sound Point Capital
tcg
→
TCG
tcp capital
→
BlackRock / TCP Capital
voya
→
Voya Financial
NTR Platform Keywords (Non-Traded REITs)
S-11 filers are only added to the registry if their company name matches one of these keywords. Prevents generic non-traded REITs (equity-focused, no credit angle) from polluting the universe.
american healthcare
→
American Healthcare REIT
apollo
→
Apollo Global Management
ares
→
Ares Management
basis
→
Basis Investment Group
benefit street
→
Benefit Street Partners / Franklin Templeton
bgo
→
BentallGreenOak
black creek
→
Black Creek Group
blackstone
→
Blackstone
blue owl
→
Blue Owl Capital
brookfield
→
Brookfield
carlyle
→
Carlyle Group
cottonwood
→
Cottonwood Communities
crescent
→
Crescent Capital
eqt exeter
→
EQT Exeter
franklin
→
Franklin Templeton
fs credit
→
FS Investments
goldman
→
Goldman Sachs
griffin
→
Griffin-American
hines
→
Hines
inland
→
Inland
inpoint
→
InPoint Commercial
invesco
→
Invesco
j.p. morgan
→
JPMorgan
jpmorgan
→
JPMorgan
kkr
→
KKR
morgan stanley
→
Morgan Stanley
nexpoint
→
NexPoint
nuveen
→
Nuveen / TIAA
oaktree
→
Oaktree Capital
pimco
→
PIMCO
sixth street
→
Sixth Street Partners
starwood
→
Starwood Capital
CLO Classification Keywords
N-2 filers whose name contains any of these are classified as CLO.
clocollateralized loanloan obligationstructured creditasset-backedclo incomeclo opportunities
Interval Fund Auto-Approval Keywords
N-2 filers matching these are auto-activated as Interval Fund. Others go to pending review.
intervaltender offertender-offersemi-liquidevergreenalternatives fundprivate marketsprivate creditprivate equity fundinfrastructure fundreal estate creditreal assetsdirect lendingsenior securedmiddle marketcredit incomecredit opportunitiesincome trust
Daily Fetch Mechanics
Data source
EDGAR quarterly index (
form.gz) — one file covers all filings for the quarter, filtered to a single day. One download per day captures the full universe of filers.Scheduling
Windows Task Scheduler fires
scheduler.bat at 3:30 AM ET — after SEC's nightly index rebuild (~3:00 AM). All previous-day filings are guaranteed present.Known-entity pass
Index rows where CIK is in the active registry and form type is in the monitored list → inserted into the filings DB.
Discovery pass
Index rows where form type is N-2 or S-11 and CIK is not in registry → added as pending review for manual promotion.
Amendment detection
Any form ending in
/A (e.g. 10-K/A) is flagged AMENDMENT and linked to the most recent prior base filing in the DB.Rate limiting
SEC allows 10 requests/sec. LULU_SEC uses 8 req/sec via edgartools' built-in rate limiter. Identity declared as
Manuel Ulloa mani@isqsv.com.