Series B A Series of UM AI & Frontier Technology Fund LLC
Raised
$180K
Investors
5
Min Invest
$50,000
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AltStreet Analysis
·Generated from EDGAR primary sources
Series B A Series of UM AI & Frontier Technology Fund LLC is a Delaware pooled investment fund filed by Hui Chen on 2025-05-29, raising $180K from 5 investors under Rule 506(c). The offering carries a $50K minimum investment and is part of the UpMarket platform, which operates approximately 30 pre-IPO investment vehicles.
This pre-IPO pooled fund uses the 506(c) exemption, allowing general solicitation to accredited investors. The $50K minimum investment is at the lower end of the institutional pre-IPO spectrum, consistent with platform-based offerings designed for individual accredited investors rather than family offices or institutions.
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 May 29, 2025
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 · May 29, 2025
SEC.govFund family Part of the UM AI & Frontier Technology Fund family: 5 vehicles across 0 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 2025-05-29, and alerts on the next one
- 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
Milpitas, CA · Soliciting in AK, AR, AZ, CA, CO, CT, DC, FL, GA, IL, LA, MA, MD, ME, MI, MN, NC, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, TN, TX, UT, VA, WA
Questions About Series B A Series of UM AI & Frontier Technology Fund 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 B A Series of UM AI & Frontier Technology Fund LLC?
Series B A Series of UM AI & Frontier Technology Fund LLC is a Delaware limited liability company that filed a Form D with the SEC on May 29, 2025 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 B A Series of UM AI & Frontier Technology Fund LLC legit?
AltStreet does not rate legitimacy; it reports the public record. Series B A Series of UM AI & Frontier Technology Fund LLC filed a Form D with the SEC on May 29, 2025 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 $180,000 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 B A Series of UM AI & Frontier Technology Fund 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 B A Series of UM AI & Frontier Technology Fund 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 B A Series of UM AI & Frontier Technology Fund LLC raised?
Series B A Series of UM AI & Frontier Technology Fund LLC reported $180,000 sold from 5 investors in an offering of indefinite size as of the Form D filed May 29, 2025.
Who can invest in Series B A Series of UM AI & Frontier Technology Fund 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 B A Series of UM AI & Frontier Technology Fund LLC?
The Form D lists $50,000 as the minimum investment accepted from any outside investor as of May 29, 2025. Issuers can waive their own minimums, and the figure does not include fees.
Who is selling Series B A Series of UM AI & Frontier Technology Fund LLC and how are they paid?
The Form D names Upmarket Securities LLC as the recipient of sales compensation soliciting in AK, AR, AZ, CA, CO, CT, DC, FL, GA, IL, LA, MA, MD, ME, MI, MN, NC, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, TN, TX, UT, VA, WA. Sales commissions are reported as $10,800 and finders' fees as $0. Form D allows these to be estimates.
Who is behind Series B A Series of UM AI & Frontier Technology Fund 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 B A Series of UM AI & Frontier Technology Fund LLC located?
The issuer's address on its SEC filings is 1325 Avenue of the Americas, New York, NY 10019. Its phone number of record is 5162814242. It is organized under the laws of Delaware.
How long is the Series B A Series of UM AI & Frontier Technology Fund 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 B A Series of UM AI & Frontier Technology Fund 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.