Figtree Financial Advisors, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Figtree Financial Advisors serves individual and high‑net‑worth clients, providing discretionary asset management, financial planning and consulting, portfolio monitoring and pension consulting. The firm is a small, privately held RIA (formed in 2019 and wholly owned by its managing member) that manages roughly $32 million across about fifty clients and offers both managed accounts and written financial plans.
The firm tailors portfolios to client goals and monitors them on an ongoing basis, using a mix of asset allocation, fixed‑income strategies, and both long‑ and short‑term security selections. Its stated methods of analysis include fundamental, technical (charting), cyclical and sector analysis, and it generally acts as a discretionary manager while also offering consultative portfolio monitoring where clients execute trades.
A distinguishing feature is that the firm’s representatives are licensed insurance agents who offer insurance products and receive customary commissions, a practice the brochure discloses as a conflict of interest and describes steps taken to mitigate. This combination of investment advisory services with commissionable insurance sales is less common among similar firms and is explicitly acknowledged in the firm’s disclosures.
Client services
Expertise
Fee options
Financial Planning & Consulting flat fees up to $12,000; minimum fee generally $1,000 for written plans
$0 - $100,000: Minimum flat annual fee of $750 $100,000+: Maximum annual fee of 0.75%
Representatives are licensed insurance agents and may receive commissions from insurance sales
Minimum fee: Portfolio Monitoring minimum flat annual fee of $750 for accounts under $100,000 Fee-only: Financial Planning & Consulting fees up to $12,000 flat or recurring annually
Main office
5201 Great America Parkway, Suite 320
Santa Clara CA 95054
Advisors at this office
2
Most active in
California · Texas
Also doing business as
Figtree Financial Advisors · Figtree Financial Advisors, LLC
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
Advisors at this firm
Regina L
Series 63, Series 65
Santa Clara, CA
Figtree Financial Advisors, LLC
Regina Legates is a financial advisor at Figtree Financial Advisors, LLC with 27 years of industry experience. She holds Series 63 and Series 65 licenses and has previously worked at Prosperity Financial Group, Inc. and Ameriprise Financial Services, Inc. Legates is also a licensed insurance agent handling health, disability, life, and long-term care insurance products. Figtree Financial Advisors provides investment advisory and planning services to individual and high-net-worth clients, focusing on asset allocation and a combination of fundamental, technical, cyclical, and sector analysis. The firm manages portfolios on a discretionary basis and offers consultative monitoring services, integrating insurance offerings alongside traditional investment management.
Marjorie C
Series 66
Santa Clara, CA
Figtree Financial Advisors, LLC
Marjorie Carbajal is a financial advisor at Figtree Financial Advisors, LLC in Santa Clara, CA, holding a Series 66 designation with 21 years of industry experience. She previously worked at Prosperity Wealth Management, Inc. and Ameriprise Financial Services, Inc. before joining Figtree Financial Advisors in 2019. Figtree Financial Advisors provides investment advisory and planning services to individual and high-net-worth clients, focusing on asset management, financial planning, and pension consulting. The firm employs a multi-faceted investment approach that includes asset allocation, fundamental and technical analysis, and continuous portfolio monitoring and rebalancing.
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