Brian N. Wu

ELEMENTAL CAPITAL PARTNERS LLC

San Francisco, CA

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CRD#: 4081148

Professional summary

Brian Nmn Wu, who also goes by Brian Wu, is a registered financial advisor currently at ELEMENTAL CAPITAL PARTNERS LLC located in San Francisco, California.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Brian has worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brian Wu

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Nmn Wu's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 8, 2016 - Present

ELEMENTAL CAPITAL PARTNERS LLC

RIA

CRD#: 283897

San Francisco, CA

Past

May 22, 2015 - July 7, 2016

OCTAVIA INVESTMENTS LLC

RIA

CRD#: 167721

SAN FRANCISCO, CA

Past

March 6, 2013 - July 1, 2015

CONCERT WEALTH MANAGEMENT

RIA

CRD#: 141253

SAN JOSE, CA

Past

January 2, 2000 - March 19, 2004

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ELEMENTAL CAPITAL PARTNERS LLC

CRD#: 283897 / SEC#: 801-120363

RIA

Registered Investment Advisory firm - (2/19/2021 Approved)

California

Registered Investment Advisory firm - (3/22/2021 Terminated)

Texas

Registered Investment Advisory firm - (2/20/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(7/8/2016)

IAR

Texas
(5/19/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/31/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/4/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/29/1999

General Securities Representative Examination

Current Firm

ELEMENTAL CAPITAL PARTNERS LLC

CRD#: 283897 / SEC#: 801-120363

RIA

Registered Investment Advisory firm - (2/19/2021 Approved)

California

Registered Investment Advisory firm - (3/22/2021 Terminated)

Texas

Registered Investment Advisory firm - (2/20/2021 Terminated)

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Contact information

Main Address

San Francisco, CA

Mailing Address

Phone number

(415) 320-6647

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ELEMENTAL CAPITAL PARTNERS FORM ADV 2A (JANUARY 3, 2025) (1/6/2025)

Regulatory assets under management

Total Number of Accounts	118
AUM (Assets Under Management)	$ 117,221,744

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Brian N. Wu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Nmn Wu's CRS (Customer Relationship Summary).

Certified licenses

Experience

ELEMENTAL CAPITAL PARTNERS LLC

OCTAVIA INVESTMENTS LLC

CONCERT WEALTH MANAGEMENT

J.P. MORGAN SECURITIES LLC

Primary Firm SEC Registration

ELEMENTAL CAPITAL PARTNERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/31/2013

Series 63

Date: 5/4/2000

Series 7

Date: 12/29/1999

Current Firm

ELEMENTAL CAPITAL PARTNERS LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ELEMENTAL CAPITAL PARTNERS LLC

TRUST BUT VERIFY

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