Fig Tree Capital
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Fig Tree Capital provides fee‑based financial planning, ongoing investment management, and public and client educational seminars to individual and high‑net‑worth clients. The firm offers both portfolio management (in discretionary and non‑discretionary formats), stand‑alone financial planning, and workshop/dinner seminar programs; it does not sell insurance or annuity products.
Investment strategies are tailored to each client’s goals, time horizon and risk tolerance and are documented in investment policy statements, with analyses that include fundamental research. The firm may use a range of approaches — long‑ and short‑term positions, trading, and option strategies — and treats non‑discretionary accounts as requiring prior client approval before trade execution.
Distinctive features include a principal with both CFA and CFP credentials and prior broker‑dealer experience, and participation in Charles Schwab’s institutional program that provides research and operational benefits. Although the brochure emphasizes client involvement in investment decisions, nearly all reported assets ($8,667,915 of $8,690,000) are managed on a discretionary basis, and the firm discloses the potential use of option‑writing strategies, including uncovered options.
Client services
Expertise
Fee options
$0 - $1,000,000: 1.70% annually $1,000,001 - $2,500,000: 1.50% annually $2,500,001 - $5,000,000: 1.20% annually $5,000,001+: 1.00% annually
Financial planning and consulting fees at $200 per hour, negotiable, payment due upon delivery of plan.
Account minimum: $250,000 Fee-only: Financial planning and consulting at $200 per hour, negotiable hourly fees, fees may be waived if client implements plan with Fig Tree Capital.
Main office
Pasadena CA
Advisors at this office
1
Most active in
California
Also doing business as
Fig Tree Capital · Lora, Joseph B.
Disclosures
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Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
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