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Inactive

Mindy Yu

Betterment

New York, NY

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Current Employers
Betterment

450 West 33Rd Street Floor 11, New York, NY 10001 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-12-06
  • TX RA
    APPROVED_RES
    Since 2021-12-06

Branch Locations

450 West 33Rd Street Floor 11, New York, NY 10001 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wisdomtree Asset Management, Inc. New York NY 02/2016 03/2019
Foreside Fund Services, Llc New York NY 03/2016 03/2019
Ubs Financial Services Inc. New York NY 03/2019 11/2019
Stash Capital Llc New York NY 12/2019 08/2021
Stash Financial Inc New York NY 12/2019 08/2021
Betterment New York NY 08/2021 Present
  • 02/2016 → 03/2019
    Wisdomtree Asset Management, Inc.
    New York, NY
  • 03/2016 → 03/2019
    Foreside Fund Services, Llc
    New York, NY
  • 03/2019 → 11/2019
    Ubs Financial Services Inc.
    New York, NY
  • 12/2019 → 08/2021
    Stash Capital Llc
    New York, NY
  • 12/2019 → 08/2021
    Stash Financial Inc
    New York, NY
  • 08/2021 → Present
    Betterment
    New York, NY
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-04-22
S66 Uniform Combined State Law Examination 2014-03-24
  • S65 Uniform Investment Adviser Law Examination
    2019-04-22
  • S66 Uniform Combined State Law Examination
    2014-03-24

View on SEC IAPD

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KINYAN CAPITAL MANAGEMENT LLC
BRIGHTSPIRE CAPITAL ADVISORS, LLC
ACORN ADVISORY CAPITAL, L.P.
COMPASS GROUP LLC
CRESTVIEW PARTNERS
LEEDS EQUITY PARTNERS

Other Investors

STEVEN MARC MUEHLGAY
STEPHANIE LYNN FAGENSON
Ross Gladstone
Logan Stephen Michals
JONATHAN HARRY SIEGEL
HAL WILLIAM BROWN
RICCARDO MARIA RAINIERI
TEDDY LELLOS

Other Offices

ISLET MANAGEMENT, LP · NEW YORK, NY
P2 CAPITAL PARTNERS, LLC · NEW YORK, NY
KINYAN CAPITAL MANAGEMENT LLC · NEW YORK, NY
BRIGHTSPIRE CAPITAL ADVISORS, LLC · NEW YORK, NY
ACORN ADVISORY CAPITAL, L.P. · NEW YORK, NY
COMPASS GROUP LLC · NEW YORK, NY
CRESTVIEW PARTNERS · NEW YORK, NY
LEEDS EQUITY PARTNERS · NEW YORK, NY

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