Series Fund D, a series of UM Pre-IPO Portfolio Fund II LLC
Raised
$25K
Investors
1
Min Invest
$50,000
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AltStreet Analysis
·Generated from EDGAR primary sources
Series Fund D is a pooled investment fund structured as a series of UM Pre-IPO Portfolio Fund II LLC, filed August 17, 2023, raising $25K from 1 investor under Rule 506(c). The fund carries a $50K minimum investment and is part of the UpMarket platform, which operates approximately 30 pre-IPO investment vehicles. Delaware-domiciled with Hui Chen listed as director.
This pre-IPO pooled fund uses the 506(c) general solicitation exemption, typical for retail-accessible platforms seeking accredited investors through public marketing. The $50K minimum investment is consistent with mid-tier retail pre-IPO access platforms, substantially lower than institutional thresholds but positioned above micro-ticket SPVs.
Data Flags
EDGAR Filing Data
Form D — Primary Source
View on SEC.govFilings on Record
Every filing AltStreet's ledger holds for this CIK, newest first. Each opens the SEC archive folder.
In the Terminal
Filing events
0
none on file
Critical / warning
0 / 0
0 watch · 0 info
Statements extracted
0
none on file
NAV prints
0
none on file
Offering chains
1
lapsed
Fund family Part of the UM Pre IPO Portfolio Fund family: 20 vehicles across 2 generations · full family and the filing behind each link in the terminal
Investor
- The full fund family and any related vehicles (parallel, feeder, successor, sibling series) with the filing that shows each link
- The dated record: 7 facts with source, effective date and capture date, viewable as AltStreet knew them on any past day
- 1 offering timeline: velocity, share raised, first-sale lag, stalled flags
Pro
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Related Persons (Form D)
Executive officers, directors, and promoters listed on the SEC Form D filing. Source: SEC.gov.
Hui Chen
Director · New York, NY
Placement Agents and Sales Compensation (Form D)
Who the issuer reported paying to sell the securities (Form D Item 12), with the FINRA registration number the filer gave. Source: SEC.gov.
Upmarket Securities LLC
Campbell, CA · Soliciting in AR, CA, CO, CT, DC, FL, GA, IL, MA, MD, ME, MI, MN, NC, NJ, NV, NY, OH, OR, PA, RI, TN, TX, UT, VA, WA
Questions About Series Fund D, a series of UM Pre-IPO Portfolio Fund II LLC
Each answer is built from the values on the SEC filing and the AltStreet ledger, not from the issuer's marketing.
What is Series Fund D, a series of UM Pre-IPO Portfolio Fund II LLC?
Series Fund D, a series of UM Pre-IPO Portfolio Fund II LLC is a Delaware limited liability company that filed a Form D with the SEC on August 17, 2023 in the Other industry group. The filing claims Rule 506(c) for an offering of pooled investment fund interests. AltStreet links the issuer to UpMarket.
Is Series Fund D, a series of UM Pre-IPO Portfolio Fund II LLC legit?
AltStreet does not rate legitimacy; it reports the public record. Series Fund D, a series of UM Pre-IPO Portfolio Fund II LLC filed a Form D with the SEC on August 17, 2023 claiming Rule 506(c). A Form D is a notice of an exempt offering, not a review or approval of it. The newest notice reports $25,000 sold to 1 investor. AltStreet's enforcement record (SEC, FINRA and state actions) shows no action naming the issuer as of today. The issuer is linked to UpMarket, which AltStreet has reviewed. Before investing, confirm the filing on EDGAR, check the seller's registration on FINRA BrokerCheck, and read the offering documents, which a Form D does not include.
Is Series Fund D, a series of UM Pre-IPO Portfolio Fund II LLC registered with or approved by the SEC?
No. A Form D is a notice that an issuer is selling securities under an exemption from registration, and the SEC does not review, approve, or pass on the merits of the offering. The filing shows that Series Fund D, a series of UM Pre-IPO Portfolio Fund II LLC claimed Rule 506(c) and disclosed the items the form requires, such as the amount sold, the minimum investment, related persons, and anyone paid to sell the securities. It does not verify the issuer's claims or its business.
How much has Series Fund D, a series of UM Pre-IPO Portfolio Fund II LLC raised?
Series Fund D, a series of UM Pre-IPO Portfolio Fund II LLC reported $25,000 sold from 1 investor in an offering of indefinite size as of the Form D filed August 17, 2023.
Who can invest in Series Fund D, a series of UM Pre-IPO Portfolio Fund II LLC?
The offering relies on Rule 506(c), so the issuer may advertise it but may sell only to investors it has verified as accredited. The filing reports no non-accredited investors. The minimum investment accepted from an outside investor is $50,000.
What is the minimum investment in Series Fund D, a series of UM Pre-IPO Portfolio Fund II LLC?
The Form D lists $50,000 as the minimum investment accepted from any outside investor as of August 17, 2023. Issuers can waive their own minimums, and the figure does not include fees.
Who is selling Series Fund D, a series of UM Pre-IPO Portfolio Fund II LLC and how are they paid?
The Form D names Upmarket Securities LLC as the recipient of sales compensation soliciting in AR, CA, CO, CT, DC, FL, GA, IL, MA, MD, ME, MI, MN, NC, NJ, NV, NY, OH, OR, PA, RI, TN, TX, UT, VA, WA.
Who is behind Series Fund D, a series of UM Pre-IPO Portfolio Fund II LLC?
The Form D lists 1 related person: Hui Chen, director. Form D Item 3 requires executive officers, directors, and promoters of the issuer to be listed.
Where is Series Fund D, a series of UM Pre-IPO Portfolio Fund II LLC located?
The issuer's address on its SEC filings is 1250 Broadway, Suite #3610, New York, NY 10001. Its phone number of record is 5162814242. It is organized under the laws of Delaware.
How long is the Series Fund D, a series of UM Pre-IPO Portfolio Fund II LLC offering open?
The issuer indicated that the offering is not intended to last more than one year. An issuer must amend its Form D annually while a continuing offering stays open, and no amendment is on record yet.
What is Series Fund D, a series of UM Pre-IPO Portfolio Fund II LLC's revenue?
The Form D reports a revenue range of Not Applicable.
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Data Methodology
Capital raise figures, investor counts, and filing dates are sourced directly from SEC EDGAR Form D primary documents via the SEC EDGAR submissions API and full-text search index. EDGAR entity profiles and deal-level data are reviewed by AltStreet analysts with backgrounds in corporate finance and securities law — cross-referenced against offering circulars, audited financial statements, and primary regulatory filings before publication. Platform-provided information, where present, is clearly labeled and does not affect EDGAR data or AltStreet editorial coverage. Platforms may request factual corrections for demonstrable inaccuracies by contacting [email protected]. This page does not constitute investment advice.