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RIA / WealthAdvisor29 years in industry

ALAN ZAFRAN

Advisor at IEQ CAPITAL, LLC

FOSTER CITY, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:715949e4-dfc3-6376-4fcf-4f18bb218aea

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:36 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 1
Observed: Apr 28, 1997 to Sep 14, 2026

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

Alan Zafran

same person, same CRD on Schedule A · confidence 95% · family precision 100%

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: IEQ CAPITAL, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 28, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 20
Exams: S63|S65
First exam: May 12, 1997
First registration: Apr 28, 1997
Dual registered: no
IAPD individual key: 2098205

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
IEQ CAPITAL, LLC	Independent wealth	Mar 25, 2020	n/a	yes	FOSTER CITY, CA	Current employment
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC	Former SEC adviser	Jan 2, 2013	Jun 4, 2019	no	SAN FRANCISCO, CA\|MENLO PARK, CA\|Palo Alto, CA	Previous registration
LUMINOUS CAPITAL, LLC	Former SEC adviser	May 12, 2008	Feb 1, 2013	no	PORTOLA VALLEY, CA\|MENLO PARK, CA\|LOS ANGELES, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Apr 28, 1997	May 19, 2008	no	MENLO PARK, CA\|PALO ALTO, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC	IEQ CAPITAL, LLC	Jun 4, 2019	Mar 25, 2020	295	Firm change	Ibd to RIA
LUMINOUS CAPITAL, LLC	J.P. MORGAN PRIVATE WEALTH ADVISORS LLC	Feb 1, 2013	Jan 2, 2013	-30	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	LUMINOUS CAPITAL, LLC	May 19, 2008	May 12, 2008	-7	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
108559:301819:CA:2019-06-04	Jun 4, 2019	Mar 25, 2020	PALO ALTO, CA	Firm change

Relationships

Registered with (4)

→ IEQ CAPITAL, LLCRegistered adviserregistration: current employment
Mar 25, 2020 to presentfactForm ADV
→ J.P. MORGAN PRIVATE WEALTH ADVISORS LLCRegistered adviserregistration: previous registration
Jan 2, 2013 to Jun 4, 2019factForm ADV
→ LUMINOUS CAPITAL, LLCRegistered adviserregistration: previous registration
May 12, 2008 to Feb 1, 2013factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Apr 28, 1997 to May 19, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:715949e4-dfc3-6376-4fcf-4f18bb218aea
First observed: Apr 28, 1997
Last observed: Sep 14, 2026 5 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

ALAN ZAFRAN

Advisor at IEQ CAPITAL, LLC

FOSTER CITY, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:715949e4-dfc3-6376-4fcf-4f18bb218aea

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:36 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

IEQ CAPITAL, LLC

Independent wealth

Mar 25, 2020

n/a

yes

FOSTER CITY, CA

Current employment

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

Former SEC adviser

Jan 2, 2013

Jun 4, 2019

SAN FRANCISCO, CA|MENLO PARK, CA|Palo Alto, CA

Previous registration

LUMINOUS CAPITAL, LLC

Former SEC adviser

May 12, 2008

Feb 1, 2013

PORTOLA VALLEY, CA|MENLO PARK, CA|LOS ANGELES, CA

Previous registration

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Wirehouse

Apr 28, 1997

May 19, 2008

MENLO PARK, CA|PALO ALTO, CA

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

IEQ CAPITAL, LLC

Jun 4, 2019

Mar 25, 2020

295

Firm change

Ibd to RIA

LUMINOUS CAPITAL, LLC

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

Feb 1, 2013

Jan 2, 2013

-30

Firm change

Other

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

LUMINOUS CAPITAL, LLC

May 19, 2008

May 12, 2008

-7

Firm change

Other

Team

Left

Joined

From

Kind

108559:301819:CA:2019-06-04

Jun 4, 2019

Mar 25, 2020

PALO ALTO, CA

Firm change