Inactive

Alex Wen

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Current Employers

Ethic

99 Hudson Street, 17Th Floor, New York, NY 10013 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2025-11-24

NY RA
APPROVED

Since 2025-11-24

Branch Locations

99 Hudson Street, 17Th Floor, New York, NY 10013 • 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

Organization	City	State	From	To
Ethic	New York	NY	07/2025	Present
Ubs Asset Management	New York	NY	06/2019	07/2025
Pimco	New York	NY	08/2017	06/2019
Lord Abbett & Co.	New York	NY	05/2013	07/2017

07/2025 → Present

Ethic

New York, NY
06/2019 → 07/2025

Ubs Asset Management

New York, NY
08/2017 → 06/2019

Pimco

New York, NY
05/2013 → 07/2017

Lord Abbett & Co.

New York, NY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2025-11-22

S65 Uniform Investment Adviser Law Examination

2025-11-22

View on SEC IAPD

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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

Logan Stephen Michals

JONATHAN HARRY SIEGEL

HAL WILLIAM BROWN

RICCARDO MARIA RAINIERI

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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