Fig Tree Financials LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
The firm provides customized investment advisory services to individuals, high‑net‑worth clients, trusts, estates and small businesses, delivering discretionary portfolio construction, ongoing investment management and related advice. It is newly formed and seeking state registration, and the filing reports no assets under management or active client accounts at the time of the brochure.
The firm employs both fundamental and technical analysis and describes a primarily long‑term investment orientation while allowing shorter‑term trading for rebalancing or client needs. Portfolios are typically constructed from individual equities, exchange‑traded funds (including bond and leveraged ETFs), mutual funds and covered options, with asset allocation and risk‑tolerance considerations set in collaboration with each client.
Notable aspects of the firm include the principal’s outside industry roles: the principal also operates as a registered representative of a broker‑dealer in a separate capacity (receiving commissions for commissionable transactions) and maintains an academic appointment, with the advisor noting it will not collect ongoing advisory fees for commissionable products sold through that separate role. The firm maintains an institutional relationship with a major custodian that provides technology and other economic benefits, and it does not accept custody of client assets except for authorization to deduct advisory fees.
Client services
Expertise
Fee options
0.25% to 0.75% annually (fee varies based on factors such as complexity, asset level, relationship)
Minimum fee: Clients may be offered a fixed annual fee (specific amounts not stated) Fee-only: Investment advisory fees paid quarterly based on assets under management; fees range from 0.25% to 0.75% annually or fixed annual fees may be offered
Main office
New York NY
Advisors at this office
1
Most active in
New York
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
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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.
Forms ADV
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