Form D · Other

UM Tax Aware Helix Fund LP

New York, NY · CIK 0001990761

Offering snapshot reported Sep 28, 2023 · SEC filing

Reported sold: $6.5M
Investors reported: 3
Minimum accepted: $50K
First sale: Aug 18, 2023

What changed?

Latest filing versus its linked predecessor, where available.

Reported investors0 → 3

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Sep 28, 2023	Amendment	$6,500,000	No comparison	3	SEC filing
Aug 28, 2023	Initial	Yet to sell	No comparison	0	SEC filing

Offering details

Securities: Pooled investment fund
Exemptions: 06b
Duration over one year: No
Business combination: No

Sales commissions: $13K (estimated)
Finders' fees: $0
Form D file number: 021-490767

1% mgt fee

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 Sep 28, 2023. Minimum accepted may differ from a standard advertised minimum.

Fund connections

The linked fund shows its most recently reported ADV details.

Matched by reported Form D file number

UM TAX AWARE HELIX FUND

Investment adviser: UPMARKET MANAGEMENT LLC

Gross asset value: $6.59M
Beneficial owners: 31
ADV minimum commitment: $50K

Reported in Form ADV on Jul 3, 2025. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

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

Filing source

Form ADV 1978358 · Jul 3, 2025 · Schedule D 7.B.(1), fund 805-6580361971

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

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.

People and organizations reported in Form D filings
Name	Reported role
Hui Chen	Director

Issuer details

Industry: Other (See others in industry)

Address:

1250 Broadway Suite #3610
New York, NY, 10001