Role at IEQ Capital
- Title on Schedule A
- Chief Operations Officer
- Control
- Dean Horwitz is a control person of IEQ Capital.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- Dean Horwitz has held the filed role since June 2019.
The firm
Form ADV filed 9 June 2026
Career on record
Dean Horwitz has been registered through IEQ Capital since June 2019, and before that through First Republic Investment Management, Inc. and Luminous Capital, LLC.
- Ieq Capital, LLCCurrent– present · 7 yearsFoster City, CA · Adviser representative · Firm CRD 301819
- Passed SIE · 2018
- Passed Series 22 and Series 63 · 2013
- First Republic Investment Management, Inc.– · 6 yearsPalo Alto, CA · Adviser representative · Firm CRD 108559
- Passed Series 3 · 2012
- Luminous Capital, LLC– · 4 yearsPortola Valley, CA · Adviser representative · Firm CRD 145566
- Passed Series 65 · 2009
Registrations and exams
Dean Horwitz has a current investment-adviser registration in California and has passed 5 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| California | Investment adviser representative | Approved | 7 June 2019 |
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 63 | Uniform Securities Agent State Law Examination | 28 January 2013 |
| Series 65 | Uniform Investment Adviser Law Examination | 19 June 2009 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 22 | Direct Participation Programs Representative Examination | 25 January 2013 |
| Series 3 | National Commodity Futures Examination | 17 December 2012 |
- Name
- Uniform Securities Agent State Law Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Securities Industry Essentials Examination
- Name
- Direct Participation Programs Representative Examination
- Name
- National Commodity Futures Examination
Individual record
- Full name
- Dean Isaac Horwitz
- CRD
- 5658885
- Firm
- IEQ Capital, LLC
- Registration status
- Investment adviser registration
- Office
- 950 TOWER LANE, SUITE 1800, Foster City, CA 94404
- Firm bio
- ieqcapital.com
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov
Background
IEQ Capital identifies Dean Horwitz as Partner and Chief Operating Officer, responsible for the firm’s day-to-day administrative and operational functions. Official firm biography
Education
- BS, Business Administration, University of California, BerkeleyOfficial firm biography
Common questions
Where does Dean Horwitz work?
Dean Horwitz has been Chief Operations Officer of IEQ Capital, LLC since June 2019, and is a control person of the firm.
Is Dean Horwitz a financial advisor?
Yes. Dean Horwitz has a current investment-adviser registration in California, through IEQ Capital since June 2019, as of 18 October 2026.
How many years of experience does Dean Horwitz have?
Dean Horwitz has worked in the financial industry for 17 years as of 18 October 2026, counted from 23 June 2009, across 3 adviser firms.
What exams has Dean Horwitz passed?
Dean Horwitz has passed 5 licensing exams: the Series 65, Series 3, Series 22, Series 63 and SIE. The earliest, the Series 65, was passed in June 2009.
Where did Dean Horwitz work before IEQ Capital?
Before IEQ Capital, Dean Horwitz was registered through First Republic Investment Management, Inc., January 2013 to June 2019; Luminous Capital, LLC, June 2009 to February 2013.
Where is Dean Horwitz based?
Dean Horwitz’s registered office is in Foster City, CA.
Leadership at IEQ Capital
- Bethany PetersonChief Financial Officer
- Lior KeshetChief Compliance Officer & General Counsel
- Eric HarrisonManaging Partner
- Robert SkinnerManaging Partner
- Jeffrey WestsmithExecutive Team Member
- Megan WhyteExecutive Team Member
- Alan ZafranManaging Partner