Series C, a series of UM AI & Frontier Technology Fund LLC
Raised
$413K
Investors
10
Min Invest
$100,000
Is this your company or fund? Claim this page free.
AltStreet Analysis
·Generated from EDGAR primary sources
Series C, a series of UM AI & Frontier Technology Fund LLC, is a Delaware pooled investment fund filed by Hui Chen (Director) under Rule 506(c). The filing reports $413K raised from 10 investors with a $100K minimum investment. This entity is part of the UpMarket platform, which operates approximately 30 related EDGAR entities in the pre-IPO category.
This 506(c) pre-IPO vehicle operates at the lower end of the capital scale for institutional alternatives, with a $100K minimum positioning it for accredited retail and emerging HNW investors. The exemption allows general solicitation, consistent with platform-distributed offerings targeting verified accredited investors through digital channels.
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 Jun 2, 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 · Jun 2, 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 2025-06-02, 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 AK, 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 C, 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 C, a series of UM AI & Frontier Technology Fund LLC?
Series C, a series of UM AI & Frontier Technology Fund LLC is a Delaware limited liability company that filed a Form D with the SEC on June 2, 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 C, a series of UM AI & Frontier Technology Fund LLC legit?
AltStreet does not rate legitimacy; it reports the public record. Series C, a series of UM AI & Frontier Technology Fund LLC filed a Form D with the SEC on June 2, 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 $413,000 sold to 10 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 C, 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 C, 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 C, a series of UM AI & Frontier Technology Fund LLC raised?
Series C, a series of UM AI & Frontier Technology Fund LLC reported $413,000 sold from 10 investors in an offering of indefinite size as of the Form D filed June 2, 2025.
Who can invest in Series C, 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 $100,000.
What is the minimum investment in Series C, a series of UM AI & Frontier Technology Fund LLC?
The Form D lists $100,000 as the minimum investment accepted from any outside investor as of June 2, 2025. Issuers can waive their own minimums, and the figure does not include fees.
Who is selling Series C, 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, 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 $24,780 and finders' fees as $0. Form D allows these to be estimates.
Who is behind Series C, 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 C, 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 C, 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 C, 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.
Is this your company or fund?
Free claim: add your contact details, website, team and a description to this page. The filed facts stay as filed.
Platform verification: the separate analyst-reviewed program for platforms, with right of reply and a document library.
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.