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Inactive

Yen Wu

1N Capital, LLC

Hillsborough, CA

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Current Employers
1N Capital, Llc

Hillsborough, CA • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APP_PEND_IARCE 2026-01-01
TX RA APPROVED_RES 2020-08-03
  • CA RA
    APP_PEND_IARCE
    Since 2026-01-01
  • TX RA
    APPROVED_RES
    Since 2020-08-03

Branch Locations

Hillsborough, CA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Robertson Stephens San Francisco CA 01/2016 06/2017
Intellectus Partners, Llc San Fransisco CA 06/2017 07/2020
Oceaniq Capital Llc Redwood Shores CA 05/2016 06/2017
1N Capital, Llc San Francisco CA 07/2020 Present
  • 01/2016 → 06/2017
    Robertson Stephens
    San Francisco, CA
  • 06/2017 → 07/2020
    Intellectus Partners, Llc
    San Fransisco, CA
  • 05/2016 → 06/2017
    Oceaniq Capital Llc
    Redwood Shores, CA
  • 07/2020 → Present
    1N Capital, Llc
    San Francisco, CA
Previous Registrations
  • 2017-06-07 → 2020-08-28
    Intellectus Partners, Llc
    San Francisco, CA
  • 2016-01-05 → 2017-05-25
    Robertson Stephens Advisors
    San Francisco, CA
  • 2011-06-02 → 2015-12-02
    Credit Suisse Securities (Usa) Llc
    San Francisco, CA
  • 2007-09-21 → 2009-06-19
    Morgan Stanley & Co. Llc
    New York, NY
    San Francisco, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-09-20
  • S66 Uniform Combined State Law Examination
    2007-09-20
Other Names
  • Yen Alice Wu
  • Alice Wu

View on SEC IAPD

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