Form D · Other
Series E, a series of UM AI & Frontier Technology Fund LLC
New York, NY · CIK 0002098368
Offering snapshot reported Dec 1, 2025 · SEC filing
- Reported sold
- $600K Indefinite offering
- Investors reported
- 15 Form D · investor count
- Minimum accepted
- $50K Reported outside-investor minimum
- First sale
- Nov 4, 2025 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Dec 1, 2025 | Initial | $600,000 | No comparison | 15 | SEC filing |
Offering details
- Securities
- Pooled investment fund
- Exemptions
- 06c
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $36K (estimated)
- Finders' fees
- $0
- Form D file number
- 021-565337
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Upmarket Securities LLC | None | Upmarket Securities LLC · CRD 295634 |
Source: Form D, filed Dec 1, 2025. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
People & organizations
Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.
| Name | Reported role |
|---|---|
| Hui Chen | Director |
Issuer details
Industry: Other (See others in industry)
Address:
1325 Avenue Of The Americas
New York, NY, 10019
New York, NY, 10019