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RIA / WealthAdvisorCertified Financial Planner17 years in industry

RICK S WITHERS

Advisor at IEQ CAPITAL, LLC

San Francisco, CA

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Search this name across graphsid dfx:ria:9f50076e-96e3-a55d-1365-554bf3ed59a0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Aug 4, 2009 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

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: Aug 3, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 4
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Aug 3, 2009
First registration: Aug 4, 2009
Dual registered: no
IAPD individual key: 5379401

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	Feb 28, 2025	n/a	yes	San Francisco, CA	Current employment
EPIQ CAPITAL GROUP, LLC	Former SEC adviser	Jul 6, 2020	Feb 28, 2025	no	SAN FRANCISCO, CA	Previous registration
ICONIQ CAPITAL, LLC	Asset manager	Aug 5, 2016	Jul 27, 2018	no	SAN FRANCISCO, CA	Previous registration
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC	Former SEC adviser	Jan 7, 2013	Jul 11, 2016	no	SAN FRANCISCO, CA	Previous registration
LUMINOUS CAPITAL, LLC	Former SEC adviser	Aug 4, 2009	Feb 1, 2013	no	PORTOLA VALLEY, CA\|LOS ANGELES, 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
EPIQ CAPITAL GROUP, LLC	IEQ CAPITAL, LLC	Feb 28, 2025	Feb 28, 2025	0	Channel change	RIA to RIA
ICONIQ CAPITAL, LLC	EPIQ CAPITAL GROUP, LLC	Jul 27, 2018	Jul 6, 2020	710	Firm change after gap	RIA to RIA
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC	ICONIQ CAPITAL, LLC	Jul 11, 2016	Aug 5, 2016	25	Firm change	Other
LUMINOUS CAPITAL, LLC	J.P. MORGAN PRIVATE WEALTH ADVISORS LLC	Feb 1, 2013	Jan 7, 2013	-25	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
292526:301819:CA:2025-02-28	Feb 28, 2025	Feb 28, 2025	SAN FRANCISCO, CA	Firm change

Relationships

Registered with (5)

→ IEQ CAPITAL, LLCRegistered adviserregistration: current employment
Feb 28, 2025 to presentfactForm ADV
→ EPIQ CAPITAL GROUP, LLCRegistered adviserregistration: previous registration
Jul 6, 2020 to Feb 28, 2025factForm ADV
→ ICONIQ CAPITAL, LLCRegistered adviserregistration: previous registration
Aug 5, 2016 to Jul 27, 2018factForm ADV
→ J.P. MORGAN PRIVATE WEALTH ADVISORS LLCRegistered adviserregistration: previous registration
Jan 7, 2013 to Jul 11, 2016factForm ADV
→ LUMINOUS CAPITAL, LLCRegistered adviserregistration: previous registration
Aug 4, 2009 to Feb 1, 2013factForm ADV

Dated events

No dated event names this entity yet.