Yen Wu is a registered investment advisor at 1n Capital, LLC, based in Hillsborough, CA, with 16 years of industry experience. Yen operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 25 clients with $130M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
1N Capital's investment management fee is based on the amount of your portfolio and ranges from 0.50% to 1.25% per year. The specific fee is agreed upon in your advisory agreement. The fee is calculated quarterly, in advance, based on the average daily account balance. There is a $10,000 minimum annual fee. The firm may negotiate a different fee rate for certain client holdings, such as held-away assets or alternative investments.
Location
Hillsborough, CA
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Regulatory History (1)
Employment Separation After Allegations
November 2015Employment History
Current Registrations
1n Capital, LLC
Previous Registrations
Intellectus Partners, LLC
Robertson Stephens SecuritiesBroker
Robertson Stephens Advisors
Credit Suisse Securities (USA) LLCBroker
Credit Suisse Securities (USA) LLC
Morgan Stanley & CO. Incorporated
Morgan Stanley & CO. IncorporatedBroker
State Registrations2 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.