Unclaimed Profile

Alan Zafran

IEQ CAPITAL, LLC·FOSTER CITY, California

SIE, Series 3, Series 7, Series 9, Series 10, Series 22, Series 30, Series 31, Series 63, Series 6529 years registeredIEQ CAPITAL, LLC

950 TOWER LANE, FOSTER CITY, CA 94404CRD# 2098205Firm CRD# 301819

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Alan Zafran · FOSTER CITY, CA

Registration

CRD #2098205 · IEQ CAPITAL, LLC · 29 years registered

Brand Profile

Not yet started

Career History

IEQ CAPITAL, LLC

Jun 2019 – present

FIRST REPUBLIC INVESTMENT MANAGEMENT, INC.

Jan 2013 – Jun 2019

Palo Alto, CA

LUMINOUS CAPITAL, LLC

May 2008 – Feb 2013

PORTOLA VALLEY, CA

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Apr 1997 – May 2008

MENLO PARK, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 3

Series 7

Series 9

Series 10

Series 22

Series 30

Series 31

Series 63

Series 65

Registration record

First registered · April 28, 1997

Years registered · 29

Disclosure History

2002Customer Dispute·Settled

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

IEQ CAPITAL, LLC

CRD 301819 · SEC 801-115278

AUM

$23.6B

Regulatory assets under management

Employees

156

1,434 client accounts

Services offered by IEQ CAPITAL, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at IEQ CAPITAL, LLC →

Introduction

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Frequently Asked Questions

What services does Alan Zafran offer?

Alan Zafran specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in FOSTER CITY, California for a consultation.

What are Alan Zafran's credentials?

Alan Zafran is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Alan Zafran located?

Alan Zafran is based in FOSTER CITY, California, working with IEQ CAPITAL, LLC. Their office serves clients in the FOSTER CITY metropolitan area and surrounding communities.

How does Alan Zafran charge for services?

Alan Zafran's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is IEQ CAPITAL, LLC?

IEQ CAPITAL, LLC has approximately 156 employees and manages $23.6B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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