Investment adviser · CRD 336095

UPMARKET MANAGEMENT LLC

Exempt reporting adviser (ERA)

Exempt reporting advisers use a shorter Form ADV report. Some adviser-level figures are not reported; fund disclosures appear below when available.

NEW YORK, NY, United States · Form ADV filed Jul 3, 2025

Adviser-level assets, account counts and staffing figures are unavailable in this filing. View the reported fund disclosures below →

Private funds & service providers

25 Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

SERIES FUND F, A SERIES OF UM PRE-IPO PORTFOLIO FUND II LLCOther Private Fund · Last reported Jul 3, 2025$16.2MGross asset value

Form D fundraising filings

Series Fund F, a series of UM Pre-IPO Portfolio Fund II LLC

Custodian EAST WEST BANK PASADENA, California, United States Related to adviser: No
Marketer UPMARKET SECURITIES LLC MILPITAS, California, United States Related to adviser: Yes
Provider details
Annual audit
No
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
No
External marketing
Yes

EAST WEST BANK
LEI F28JOQ8OBWCFUYM0UX93

UPMARKET SECURITIES LLC
CRD 295634 · SEC 8-70120

Fund details & source
Fund ID
805-1853497865
Reported beneficial owners
162
Minimum commitment
$20K
Form D file number
021-501564

Form ADV 1978358 · Jul 3, 2025 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

SERIES FUND H, A SERIES OF UM PRE-IPO PORTFOLIO FUND II LLC-XAIOther Private Fund · Last reported Jul 3, 2025$10.8MGross asset value

Form D fundraising filings

Series Fund H, a series of UM Pre-IPO Portfolio Fund II LLC

Custodian EAST WEST BANK PASADENA, California, United States Related to adviser: No
Marketer UPMARKET SECURITIES LLC MILPITAS, California, United States Related to adviser: Yes
Provider details
Annual audit
No
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
No
External marketing
Yes

EAST WEST BANK
LEI F28JOQ8OBWCFUYM0UX93

UPMARKET SECURITIES LLC
CRD 295634 · SEC 8-70120

Fund details & source
Fund ID
805-6502708366
Reported beneficial owners
68
Minimum commitment
$100K
Form D file number
021-511815

Form ADV 1978358 · Jul 3, 2025 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

UM PRE-IPO PORTFOLIO FUND II LLCPrivate Equity Fund · Last reported Jul 3, 2025$7.67MGross asset value
Custodian EAST WEST BANK PASADENA, California, United States Related to adviser: No
Provider details
Annual audit
No
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
No
External marketing
No

EAST WEST BANK
LEI F28JOQ8OBWCFUYM0UX93

Fund details & source
Fund ID
805-9866385061
Reported beneficial owners
63
Minimum commitment
$0

Form ADV 1978358 · Jul 3, 2025 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

SERIES FUND B, A SERIES OF UM PRE-IPO PORTFOLIO FUND II LLCOther Private Fund · Last reported Jul 3, 2025$7.05MGross asset value

Form D fundraising filings

Series Fund B, a series of UM Pre-IPO Portfolio Fund II LLC

Custodian EAST WEST BANK PASADENA, California, United States Related to adviser: No
Marketer UPMARKET SECURITIES LLC MILPITAS, California, United States Related to adviser: Yes
Provider details
Annual audit
No
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
No
External marketing
Yes

EAST WEST BANK
LEI F28JOQ8OBWCFUYM0UX93

UPMARKET SECURITIES LLC
CRD 295634 · SEC 8-70120

Fund details & source
Fund ID
805-6902902566
Reported beneficial owners
61
Minimum commitment
$100K
Form D file number
021-476268

Form ADV 1978358 · Jul 3, 2025 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

UM TAX AWARE HELIX FUNDHedge Fund · Last reported Jul 3, 2025$6.59MGross asset value

Form D fundraising filings

UM Tax Aware Helix Fund LP

Fund administrator HC GLOBAL FUND SERVICES, LLC SAN FRANCISCO, California, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Custodian EAST WEST BANK PASADENA, California, United States Related to adviser: No
Marketer UPMARKET SECURITIES LLC MILPITAS, California, United States Related to adviser: Yes
Provider details
Annual audit
No
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

EAST WEST BANK
LEI F28JOQ8OBWCFUYM0UX93

UPMARKET SECURITIES LLC
CRD 295634 · SEC 8-70120

Fund details & source
Fund ID
805-6580361971
Reported beneficial owners
31
Minimum commitment
$50K
Form D file number
021-490767

Form ADV 1978358 · Jul 3, 2025 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

UM AI & FRONTIER TECHNOLOGY FUND LLCPrivate Equity Fund · Last reported Jul 3, 2025$6.31MGross asset value

Form D fundraising filings

Series A, a series of UM AI & Frontier Technology Fund LLC

Custodian EAST WEST BANK PASADENA, California, United States Related to adviser: No
Marketer UPMARKET SECURITIES LLC MILPITAS, California, United States Related to adviser: Yes
Provider details
Annual audit
No
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
No
External marketing
Yes

EAST WEST BANK
LEI F28JOQ8OBWCFUYM0UX93

UPMARKET SECURITIES LLC
CRD 295634 · SEC 8-70120

Fund details & source
Fund ID
805-8487954472
Reported beneficial owners
34
Minimum commitment
$100K
Form D file number
021-535944

Form ADV 1978358 · Jul 3, 2025 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

SERIES FUND L, A SERIES OF UM PRE-IPO PORTFOLIO FUND II LLCOther Private Fund · Last reported Jul 3, 2025$6.02MGross asset value

Form D fundraising filings

Series Fund L, a series of UM Pre-IPO

Custodian EAST WEST BANK PASADENA, California, United States Related to adviser: No
Marketer UPMARKET SECURITIES LLC MILPITAS, California, United States Related to adviser: Yes
Provider details
Annual audit
No
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
No
External marketing
Yes

EAST WEST BANK
LEI F28JOQ8OBWCFUYM0UX93

UPMARKET SECURITIES LLC
CRD 295634 · SEC 8-70120

Fund details & source
Fund ID
805-5193585121
Reported beneficial owners
54
Minimum commitment
$100K
Form D file number
021-526493

Form ADV 1978358 · Jul 3, 2025 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Jul 3, 2025. View historical filings

Reported services

Not reported in these imported fields

Compensation

Not reported in these imported fields

Principal office

1325 AVENUE OF THE AMERICAS
NEW YORK, NY, 10019, United States

CRD 336095

Filing source

Form ADV 1978358 · Jul 3, 2025 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.