Series Fund K, a series of UM Pre-IPO Portfolio Fund II LLC
Raised
$235K
Investors
5
Min Invest
$100,000
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AltStreet Analysis
·Generated from EDGAR primary sources
Series Fund K is a pooled investment fund organized as a series of UM Pre-IPO Portfolio Fund II LLC, filed by Hui Chen (Director) on 2024-08-21. The fund raised $235K from 5 investors under Rule 506(b) with a $100K minimum investment. It is part of the UpMarket platform, a pre-IPO investment franchise with 30 related EDGAR entities.
This pre-IPO fund operates in the typical lower-middle tier of private secondary market access vehicles, with a $100K minimum characteristic of retail-accredited platforms. The 506(b) exemption and modest raise size align with standard UpMarket platform conventions for series-structured SPVs targeting emerging growth company exposures.
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
1
latest Aug 21, 2024
Critical / warning
0 / 0
0 watch · 1 info
Statements extracted
0
none on file
NAV prints
0
none on file
Offering chains
1
lapsed
Latest event New filer · Aug 21, 2024
SEC.govFund 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: 9 facts with source, effective date and capture date, viewable as AltStreet knew them on any past day
- 1 filing event with values and deltas, latest 2024-08-21, and alerts on the next one
- 1 offering timeline: velocity, share raised, first-sale lag, stalled flags
Pro
- This issuer against its cohort: rank by velocity and share raised among offerings filed the same quarter
- The same events, statements and NAV moves across every issuer, screenable, with unlimited watches and CSV
Counts and dates above are the free record. The values, the series and the comparisons are the seat. Loading your view…
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
Milpitas, CA · Soliciting in AR, AZ, CA, CO, CT, DC, FL, GA, IL, MA, MD, ME, MI, MN, NC, NJ, NM, NV, NY, OH, OR, PA, PR, RI, TN, TX, UT, VA, WA
Questions About Series Fund K, 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 K, a series of UM Pre-IPO Portfolio Fund II LLC?
Series Fund K, 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 21, 2024 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 Series Fund K, a series of UM Pre-IPO Portfolio Fund II LLC legit?
AltStreet does not rate legitimacy; it reports the public record. Series Fund K, a series of UM Pre-IPO Portfolio Fund II LLC filed a Form D with the SEC on August 21, 2024 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 $235,000 sold to 5 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 Series Fund K, 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 K, a series of UM Pre-IPO Portfolio Fund II LLC 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 Series Fund K, a series of UM Pre-IPO Portfolio Fund II LLC raised?
Series Fund K, a series of UM Pre-IPO Portfolio Fund II LLC reported $235,000 sold from 5 investors in an offering of indefinite size as of the Form D filed August 21, 2024.
Who can invest in Series Fund K, a series of UM Pre-IPO Portfolio Fund II LLC?
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 $100,000.
What is the minimum investment in Series Fund K, a series of UM Pre-IPO Portfolio Fund II LLC?
The Form D lists $100,000 as the minimum investment accepted from any outside investor as of August 21, 2024. Issuers can waive their own minimums, and the figure does not include fees.
Who is selling Series Fund K, 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, AZ, CA, CO, CT, DC, FL, GA, IL, MA, MD, ME, MI, MN, NC, NJ, NM, NV, NY, OH, OR, PA, PR, RI, TN, TX, UT, VA, WA. Sales commissions are reported as $4,700 and finders' fees as $0. Form D allows these to be estimates.
Who is behind Series Fund K, 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 K, 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 516-281-4242. It is organized under the laws of Delaware.
How long is the Series Fund K, 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 K, a series of UM Pre-IPO Portfolio Fund II LLC's revenue?
The issuer declined to disclose its revenue range on the Form D, which the form permits.
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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.