Fundraisers / Upmarket Securities LLC

FundraiserRegistered broker-dealer

Upmarket Securities LLC

FINRA 295634 · placing rounds since Aug 2020

Q1 2026#3 placement agent in Other
48company rounds placed
17in the last two years, last Jan 2026
$39Msold in the rounds they placed
5.0%typical commission; the median firm takes 4.9%

Named on 52 Form D filings as paid to sell the offering: 48 for operating companies, 1 for funds, 3 for real estate. 3 registered agents named.

Quarter by quarter

Company rounds they placed in each quarter, from the filings.

123Q2323Q3123Q4224Q1524Q2224Q3224Q4225Q1425Q2325Q3425Q4326Q1

What they place

79rounds
  • Other70%
  • Other Technology19%
  • Investing4%
  • Other Health Care4%
  • Oil and Gas1%
  • Biotechnology1%
  • Other Banking and Financial Services1%

How big the rounds are

  1. Under $1M42
  2. $1M to $5M17
  3. $5M to $20M4
  4. $20M to $100M0
  5. $100M+0

Where the companies are

NY54CA7TX4OH2IL2NV1OR1UT1

Rounds they placed

Company roundsEverything, funds and real estate too

FiledIssuerIndustrySold
Jan 2026SMID Biotech Access Fund LPAgents: Upmarket Securities LLCOther$250k
Jan 2026Series Fund Q, a series of UM Pre-IPO Portfolio Fund II LLCAgents: Upmarket Securities LLCOther$1.1M
Jan 2026Series Fund E, a series of UM Pre-IPO Portfolio Fund III LLCAgents: Upmarket Securities LLCOther$1.9M
Dec 2025Series Fund D, a series of UM Pre-IPO Portfolio Fund III LLCAgents: Upmarket Securities LLCOther$375k
Dec 2025Series E, a series of UM AI & Frontier Technology Fund LLCAgents: Upmarket Securities LLCOther$600k
Oct 2025Series D, a series of UM AI & Frontier Technology Fund LLCAgents: Upmarket Securities LLCOther$3.1M
Oct 2025Series Fund P, a series of UM Pre-IPO POrtfolio Fund II LLCAgents: Upmarket Securities LLCOther$3.9M
Sept 2025Series Fund O, a series of UM Pre-IPO Portfolio Fund II LLCAgents: Upmarket Securities LLCOther$1.4M
Aug 2025Series Fund C, a series of UM Pre-IPO Portfolio Fund III LLCAgents: Upmarket Securities LLCOther-
Aug 2025Series Fund N, a series of UM Pre-IPO Portfolio Fund II LLCAgents: Upmarket Securities LLCOther$4.9M
Jun 2025Series C, a series of UM AI & Frontier Technology Fund LLCAgents: Upmarket Securities LLCOther$413k
May 2025Series B A Series of UM AI & Frontier Technology Fund LLCAgents: Upmarket Securities LLCOther$180k
May 2025Series Fund A, a series if UM Pre-IPO Portfolio Fund III LLCAgents: Upmarket Securities LLCOther$575k
Apr 2025Series B, a series of UM Pre-IPO Portfolio Fund III LLCAgents: Upmarket Securities LLCOther$1.8M
Jan 2025Series Fund M, a series of UM Pre-IPO Portfolio Fund II LLCAgents: Upmarket Securities LLCOther$550k
Jan 2025Market Neutral Crypto Access Fund LPAgents: Upmarket Securities LLCOther-
Oct 2024Series Fund L, a series of UM Pre-IPOAgents: Upmarket Securities LLCOther$578k
Oct 2024Series Fund J, a series of UM Pre-IPO Portfolio Fund II LLCAgents: Upmarket Securities LLCOther$700k
Aug 2024Adeline Berkely Immigration Fund LPAgents: Upmarket Securities LLCOther$800k
Aug 2024Series Fund K, a series of UM Pre-IPO Portfolio Fund II LLCAgents: Upmarket Securities LLCOther$235k
Jun 2024Power & Gas Energy Access Fund LPAgents: Upmarket Securities LLCOther$400k
Jun 2024Adeline Funding SPV LLCAgents: Upmarket Securities LLCOther$700k
Jun 2024Litigation Finance Equity Access Fund LLCAgents: Upmarket Securities LLCOther-
May 2024Series I, a series of UM Pre-IPO Portfolio Fund II LLCAgents: Upmarket Securities LLCOther-
Apr 2024Series Fund H, a series of UM Pre-IPO Portfolio Fund II LLCAgents: Upmarket Securities LLCOther$105k
Feb 2024Series Fund G, a series of UM Pre-IPO Portfolio Fund II LLCAgents: Upmarket Securities LLCOther$250k
Jan 2024Series Fund F, a series of UM Pre-IPO Portfolio Fund II LLCAgents: Upmarket Securities LLCOther$280k
Dec 2023Specialized Investment Structures Access Fund LPAgents: Upmarket Securities LLCOther-
Sept 2023Series E, a series of UM Pre-IPO Portfolio Fund II LLCAgents: Upmarket Securities LLCOther-
Aug 2023UM Tax Aware Helix Fund LPAgents: Upmarket Securities LLCOther-
Aug 2023Series Fund D, a series of UM Pre-IPO Portfolio Fund II LLCAgents: Upmarket Securities LLCOther$25k
May 2023Series Fund C, a series of UM Pre-IPO Portfolio Fund II LLCAgents: Upmarket Securities LLCOther-
Mar 2023Series Fund B, a series of UM Pre-IPO Portfolio Fund II LLCAgents: Upmarket Securities LLCOther-
Jan 2023HH Secondary Fund LLCAgents: Upmarket SecuritiesInvesting-
Jul 2022NG Energy Access Fund LPAgents: Upmarket SecuritiesInvesting$500k
Jun 2022SPX Access Fund II LLCAgents: Upmarket Securities LLCOther$960k
Apr 2022Series Fund M, a Series of MX Pre-IPO Portfolio Fund I LLCAgents: Upmarket Securities LLCOther-
Mar 2022UM Blockchain Access Fund I LLCAgents: Upmarket Securities LLCOther$450k
Mar 2022Series Fund L, a series of MX Pre-IPO Portfolio Fund I LLCAgents: Upmarket Securities LLCOther$150k
Jan 2022SPX Access Fund I LLC A4/B4Agents: MX Securities LLCOther$6.1M

From the SEC's Form D data sets: the issuer named this firm as paid to sell the offering. The latest 40 shown.

Often on the same rounds

Other fundraisers named on the same filings: the firms they syndicate with.

Boustead Securities, LLC1 round togetherSI Securties, LLC1 round together

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