Series Fund L, a series of UM Pre-IPO
Raised
$578K
Investors
7
Min Invest
$100,000
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AltStreet Analysis
·Generated from EDGAR primary sources
Series Fund L, a series of UM Pre-IPO, is a Delaware pooled investment fund filed by Hui Chen (Director) under Rule 506(c). The fund has raised $578K from 7 investors with a $100K minimum investment. This entity is part of the UpMarket platform, which operates approximately 30 related EDGAR entities focused on pre-IPO access.
This pre-IPO fund uses the 506(c) exemption with a $100K minimum investment threshold, positioning it in the accessible end of the private pre-IPO market. The structure as a series fund within a larger Delaware statutory trust is typical of platform-based investment vehicles that offer segmented exposure to individual pre-IPO opportunities.
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 Oct 10, 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 · Oct 10, 2024
SEC.govInvestor
- 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 2024-10-10, and alerts on the next one
- 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
Milpitas, CA · Soliciting in AR, AZ, CA, CO, CT, DC, FL, GA, IL, LA, MA, MD, ME, MI, MN, NC, NJ, NM, NV, NY, OH, OR, PA, PR, RI, TN, TX, UT, VA, WA
Questions About Series Fund L, a series of UM Pre-IPO
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 L, a series of UM Pre-IPO?
Series Fund L, a series of UM Pre-IPO is a Delaware limited liability company that filed a Form D with the SEC on October 10, 2024 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 L, a series of UM Pre-IPO legit?
AltStreet does not rate legitimacy; it reports the public record. Series Fund L, a series of UM Pre-IPO filed a Form D with the SEC on October 10, 2024 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 $577,500 sold to 7 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 L, a series of UM Pre-IPO 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 L, a series of UM Pre-IPO 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 L, a series of UM Pre-IPO raised?
Series Fund L, a series of UM Pre-IPO reported $577,500 sold from 7 investors in an offering of indefinite size as of the Form D filed October 10, 2024.
Who can invest in Series Fund L, a series of UM Pre-IPO?
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 $100,000.
What is the minimum investment in Series Fund L, a series of UM Pre-IPO?
The Form D lists $100,000 as the minimum investment accepted from any outside investor as of October 10, 2024. Issuers can waive their own minimums, and the figure does not include fees.
Who is selling Series Fund L, a series of UM Pre-IPO 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, LA, 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 $11,550 and finders' fees as $0. Form D allows these to be estimates.
Who is behind Series Fund L, a series of UM Pre-IPO?
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 L, a series of UM Pre-IPO 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 L, a series of UM Pre-IPO 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 L, a series of UM Pre-IPO'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.