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.
Latest filing Mar 19, 2026
First filing on the tape Jun 19, 2020 · 12 filings
SEC status approved since Jul 17, 2020
RAUM
$136M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$136M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$136M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$136M as of Mar 19, 2026
Feb 8, 2021$128M then
HNW client RAUM$136M as of Mar 19, 2026
Feb 8, 2021$128M then
State-registered IARs (5.B.3)1 as of Mar 19, 2026
Feb 8, 20211 then
Employees (5.A)1 as of Mar 19, 2026
Feb 8, 20211 then
Private funds: no history
RAUM +6.1% over the last fiscal year+7.9% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 19, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $136MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.4MderivedHNW RAUM over HNW clients
- Average account
- $2.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$136M100%
- Individual clients
- n/areported
- HNW clients
- 25reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 50reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Yen Wu | Hillsborough, Ca | Aug 3, 2020 | 18 y | 4 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Yen Wu from Intellectus Partners, LLCAug 3, 2020 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Yen Wu · Chief Compliance Officer And Sole Membercontrolsince 07/2020 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $128M to $136MMar 12, 2025 to Mar 19, 2026
- HNW RAUM · $128M to $136MMar 12, 2025 to Mar 19, 2026
- RAUM · $128M to $136MMar 12, 2025 to Mar 19, 2026
- Accounts · 43 to 50Mar 11, 2024 to Mar 12, 2025
- Financial planning clients · unset to Mar 11, 2024 to Mar 12, 2025
- HQ city · unset to Mar 11, 2024 to Mar 12, 2025
- HQ state · unset to Mar 11, 2024 to Mar 12, 2025
- Discretionary RAUM · $106M to $128MMar 11, 2024 to Mar 12, 2025
- HNW RAUM · $106M to $128MMar 11, 2024 to Mar 12, 2025
- RAUM · $106M to $128MMar 11, 2024 to Mar 12, 2025
- Accounts · 45 to 43Feb 22, 2023 to Mar 11, 2024
- HNW clients · 22 to 25Feb 22, 2023 to Mar 11, 2024
- Discretionary RAUM · $108M to $106MFeb 22, 2023 to Mar 11, 2024
- HNW RAUM · $108M to $106MFeb 22, 2023 to Mar 11, 2024
- RAUM · $108M to $106MFeb 22, 2023 to Mar 11, 2024
- Accounts · 40 to 45Apr 12, 2022 to Feb 22, 2023
- HNW clients · 20 to 22Apr 12, 2022 to Feb 22, 2023
- Discretionary RAUM · $113M to $108MApr 12, 2022 to Feb 22, 2023
- HNW RAUM · $113M to $108MApr 12, 2022 to Feb 22, 2023
- RAUM · $113M to $108MApr 12, 2022 to Feb 22, 2023
- Discretionary RAUM · $128M to $113MNov 24, 2021 to Mar 18, 2022
- HNW RAUM · $128M to $113MNov 24, 2021 to Mar 18, 2022
- RAUM · $128M to $113MNov 24, 2021 to Mar 18, 2022
- Other offices · 1 to 0Feb 8, 2021 to Nov 24, 2021
- Discretionary RAUM · $100M to $128MOct 30, 2020 to Feb 8, 2021
- HNW RAUM · $100M to $128MOct 30, 2020 to Feb 8, 2021
- RAUM · $100M to $128MOct 30, 2020 to Feb 8, 2021
- Accounts · 0 to 40Jul 31, 2020 to Oct 30, 2020
- Business name · MOONSTONE ADVISORS, LLC to 1N CAPITAL, LLCJul 31, 2020 to Oct 30, 2020
- HNW clients · unset to 20.0Jul 31, 2020 to Oct 30, 2020
- HQ city · SAN FRANCISCO to unsetJul 31, 2020 to Oct 30, 2020
- HQ state · CA to unsetJul 31, 2020 to Oct 30, 2020
- Legal name · MOONSTONE ADVISORS, LLC to 1N CAPITAL, LLCJul 31, 2020 to Oct 30, 2020
- Other offices · 0 to 1Jul 31, 2020 to Oct 30, 2020
- Discretionary RAUM · $0 to $100MJul 31, 2020 to Oct 30, 2020
- HNW RAUM · unset to 100190000.0Jul 31, 2020 to Oct 30, 2020
- RAUM · $0 to $100MJul 31, 2020 to Oct 30, 2020
- Advisory employees · 0 to 1Jul 7, 2020 to Jul 31, 2020
- HQ city · ENGLEWOOD to SAN FRANCISCOJul 7, 2020 to Jul 31, 2020
- HQ state · NJ to CAJul 7, 2020 to Jul 31, 2020
Signals
3 dated events
- Yen Wu (Chief Compliance Officer And Sole Member) appeared on Schedule A of 1N Capital, LlcJul 31, 2020 · Control person joined · fact
- Adam Daniel Bernstein (Chief Compliance Officer) no longer on Schedule A of 1N Capital, Llc (listed 2020-07-07, absent 2020-07-31)Jul 31, 2020 · Control person left · inference
- Moonstone Advisors, Llc filed its initial SEC registration (Form ADV)Jun 19, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- team@1ncapital.comreportedpublished by the firm, firm site, Sep 16, 2026
- Website
- 1ncapital.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (510) 585-3040reportedpublic record, Form ADV, Mar 19, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $136Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026