Raised
$7M
Investors
3
Min Invest
$50,000
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AltStreet Analysis
·Generated from EDGAR primary sources
UM Tax Aware Helix Fund LP is a Delaware limited partnership filed by Hui Chen under Rule 506(b), reporting $6.5M raised from 3 investors with a $50K minimum investment. This amended filing is part of the UpMarket platform, a pre-IPO focused sponsor group with approximately 30 related EDGAR entities.
This pre-IPO pooled investment vehicle uses the 506(b) private placement exemption with a $50K minimum, positioning it in the accessible retail-accredited tier. The filing is consistent with UpMarket's platform template across multiple thematic fund vehicles targeting alternative asset exposure.
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.
Capital Raise Timeline
2 Form D filings from Aug 28, 2023 to Sep 28, 2023, the latest a D/A.
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
Investor
- The dated record: 13 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
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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 UM Tax Aware Helix Fund LP
Each answer is built from the values on the SEC filing and the AltStreet ledger, not from the issuer's marketing.
What is UM Tax Aware Helix Fund LP?
UM Tax Aware Helix Fund LP is a Delaware limited partnership that filed a Form D with the SEC on September 28, 2023 in the Other industry group. The filing claims Rule 506(b) for an offering of pooled investment fund interests. AltStreet links the issuer to UpMarket.
Is UM Tax Aware Helix Fund LP legit?
AltStreet does not rate legitimacy; it reports the public record. UM Tax Aware Helix Fund LP filed a Form D with the SEC on September 28, 2023 claiming Rule 506(b). A Form D is a notice of an exempt offering, not a review or approval of it. The newest notice reports $6,500,000 sold to 3 investors. 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 UM Tax Aware Helix Fund LP 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 UM Tax Aware Helix Fund LP claimed Rule 506(b) 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 UM Tax Aware Helix Fund LP raised?
UM Tax Aware Helix Fund LP reported $6,500,000 sold from 3 investors in an offering of indefinite size as of the Form D filed September 28, 2023.
Who can invest in UM Tax Aware Helix Fund LP?
The offering relies on Rule 506(b), which permits sales to accredited investors and to no more than 35 non-accredited investors who meet a sophistication standard, and prohibits general solicitation. The filing reports no non-accredited investors. The minimum investment accepted from an outside investor is $50,000.
What is the minimum investment in UM Tax Aware Helix Fund LP?
The Form D lists $50,000 as the minimum investment accepted from any outside investor as of September 28, 2023. Issuers can waive their own minimums, and the figure does not include fees.
Who is selling UM Tax Aware Helix Fund LP 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 UM Tax Aware Helix Fund LP?
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 UM Tax Aware Helix Fund LP located?
The issuer's address on its SEC filings is 1250 Broadway, Suite #3610, New York, NY 10001. Its phone number of record is 15162814242. It is organized under the laws of Delaware.
How long is the UM Tax Aware Helix Fund LP 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; 1 amendment is on record for this CIK.
What is UM Tax Aware Helix Fund LP'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.