Mindy Yu

BETTERMENT

NEW YORK, NY 10001

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CRD#: 5275860

Professional summary

Mindy Yu, CIMA® is a registered financial advisor currently at BETTERMENT located in New York, New York.

Mindy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Mindy has worked at 6 firms and has passed the Series 65, Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Mindy Yu'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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

December 6, 2021 - Present

BETTERMENT

Office #1: 450 West 33rd Street Floor 11, New York, NY 10001

RIA

CRD#: 149117

NEW YORK, NY

Past

January 14, 2020 - September 15, 2021

STASH CAPITAL LLC

CRD#: 287728

New York, NY

Past

April 23, 2019 - December 4, 2019

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

NEW YORK, NY

Past

March 18, 2019 - December 4, 2019

UBS FINANCIAL SERVICES INC.

CRD#: 8174

NEW YORK, NY

Past

March 29, 2016 - March 6, 2019

FORESIDE FUND SERVICES, LLC

CRD#: 46106

New York, NY

Past

March 25, 2014 - March 1, 2016

BLACKROCK INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 108928

PRINCETON, NJ

Past

January 4, 2014 - March 1, 2016

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

PRINCETON, NJ

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".

BETTERMENT

BETTERMENT | BETTERMENT LLC (NEW LEGAL NAME) | BETTERMENT LLC | BETTERMENT ADIVSORS LLC

CRD#: 149117 / SEC#: 801-70171

RIA

Registered Investment Advisory firm - (5/21/2009 Approved)

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

Texas
(12/6/2021)

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: 4/22/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 3/24/2014

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/25/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/4/2014

General Securities Representative Examination

Current Firm

BETTERMENT

BETTERMENT | BETTERMENT LLC (NEW LEGAL NAME) | BETTERMENT LLC | BETTERMENT ADIVSORS LLC

CRD#: 149117 / SEC#: 801-70171

RIA

Registered Investment Advisory firm - (5/21/2009 Approved)

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Contact information

Main Address

450 West 33rd Street Floor 11, New York, NY 10001

Mailing Address

Phone number

(212) 228-1328

Established

Firm type

Fiscal year end

# of Employees

631

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BETTERMENT LLC BROCHURE (11/4/2025)

Regulatory assets under management

Total Number of Accounts	1,200,673
AUM (Assets Under Management)	$ 56,368,684,129

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/23/2025	Cover Page	Report
10/18/2024	Cover Page	Report
12/08/2023	Cover Page	Report
04/26/2023	Cover Page	Report
01/06/2023	Cover Page	Report

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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Firm Stability Insights

Mindy Yu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mindy Yu's CRS (Customer Relationship Summary).

Certified licenses

Experience

STASH CAPITAL LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

FORESIDE FUND SERVICES, LLC

BLACKROCK INVESTMENT MANAGEMENT, LLC

BLACKROCK INVESTMENTS, LLC

Primary Firm SEC Registration

BETTERMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 4/22/2019

Series 66

Date: 3/24/2014

Series 7TO

Date: 3/25/2024

SIE

Date: 10/1/2018

Series 7

Date: 1/4/2014

Current Firm

BETTERMENT

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BETTERMENT

TRUST BUT VERIFY

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