Yen Wu

1N CAPITAL

Hillsborough, CA

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CRD#: 5393970

Professional summary

Yen Wu, who also goes by Alice Wu, Yen Alice Wu, is a registered financial advisor currently at 1N CAPITAL, LLC located in Hillsborough, California.

Yen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Yen has worked at 6 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Alice Wu | Yen Alice 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 Yen 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

August 3, 2020 - Present

1N CAPITAL, LLC

RIA

CRD#: 309502

Hillsborough, CA

Past

June 7, 2017 - August 28, 2020

INTELLECTUS PARTNERS, LLC

RIA

CRD#: 173140

SAN FRANCISCO, CA

Past

January 6, 2016 - May 25, 2017

ROBERTSON STEPHENS SECURITIES

CRD#: 167704

SAN FRANCISCO, CA

Past

January 5, 2016 - May 25, 2017

ROBERTSON STEPHENS ADVISORS

RIA

CRD#: 166736

SAN FRANCISCO, CA

Past

June 14, 2011 - December 2, 2015

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

SAN FRANCISCO, CA

Past

June 2, 2011 - December 2, 2015

CREDIT SUISSE SECURITIES (USA) LLC

RIA

CRD#: 816

SAN FRANCISCO, CA

Past

September 21, 2007 - June 19, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

SAN FRANCISCO, CA

Past

September 12, 2007 - June 19, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

SAN FRANCISCO, CA

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".

1N CAPITAL, LLC

1N CAPITAL, LLC | MOONSTONE ADVISORS, LLC

CRD#: 309502 / SEC#: 801-119093

RIA

Registered Investment Advisory firm - (7/17/2020 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

California
(8/3/2020)

IAR

Texas
(8/3/2020)

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 66

Date: 9/20/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 5/25/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 11/8/2007

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 9/10/2007

General Securities Representative Examination

Current Firm

1N CAPITAL, LLC

1N CAPITAL, LLC | MOONSTONE ADVISORS, LLC

CRD#: 309502 / SEC#: 801-119093

RIA

Registered Investment Advisory firm - (7/17/2020 Approved)

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Contact information

Main Address

Hillsborough, CA

Mailing Address

Phone number

(510) 585-3040

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

DISCLOSURE BROCHURE FOR 1N CAPITAL, LLC (3/12/2025)

Regulatory assets under management

Total Number of Accounts	50
AUM (Assets Under Management)	$ 128,039,519

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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Advisor Monitoring

Firm Stability Insights

Yen Wu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

INTELLECTUS PARTNERS, LLC

ROBERTSON STEPHENS SECURITIES

ROBERTSON STEPHENS ADVISORS

CREDIT SUISSE SECURITIES (USA) LLC

CREDIT SUISSE SECURITIES (USA) LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

Primary Firm SEC Registration

1N CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/20/2007

SIE

Date: 5/25/2017

Series 31

Date: 11/8/2007

Series 7

Date: 9/10/2007

Current Firm

1N CAPITAL, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

1N CAPITAL, LLC

TRUST BUT VERIFY

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