DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Feed of 09/14/2026
Also filed as Yen Alice Wu
At current firm
6 y
since Aug 3, 2020
In the industry
18 y
since Sep 20, 2007 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- 1n Capital, LLC independent RIA currentsince Aug 3, 2020 · Hillsborough, Ca
- Intellectus Partners, LLC independent RIAJun 7, 2017 to Aug 28, 2020 · San Francisco, Ca
- Robertson Stephens Advisors formerJan 5, 2016 to May 25, 2017 · San Francisco, Ca
- Credit Suisse Securities (USA) LLC formerJun 2, 2011 to Dec 2, 2015 · San Francisco, Ca
- Morgan Stanley & Co. LLC unclassifiedSep 21, 2007 to Jun 19, 2009 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- Intellectus Partners, LLC to 1n Capital, LLCleft Aug 28, 2020, registered Aug 3, 2020 (-25 days) · RIA to a newly registered adviser
- Robertson Stephens Advisors to Intellectus Partners, LLCleft May 25, 2017, registered Jun 7, 2017 (13 days) · Other
- Credit Suisse Securities (USA) LLC to Robertson Stephens Advisorsleft Dec 2, 2015, registered Jan 5, 2016 (34 days) · Other
- Morgan Stanley & Co. LLC to Credit Suisse Securities (USA) LLCleft Jun 19, 2009, registered Jun 2, 2011 (713 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address