Joseph Lora is a CFA-designated registered investment advisor at Fig Tree Capital, based in Pasadena, CA, with 22 years of industry experience. Joseph operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, High Net Worth, Investment Management, Retirement Planning. Their firm serves 20 clients with $5.7M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $1.0M | 1.70% |
| $1.0M - $2.5M | 1.50% |
| $2.5M - $5.0M | 1.20% |
| $5M+ | 1.00% |
Annual fee may be negotiable. Accounts within the same household may be combined for a reduced fee.
Fee Estimator
Location
Pasadena, CA
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Regulatory History (1)
Customer Dispute
November 2010Other Business Activities
Joseph is a sole proprietor who rents out his master bedroom in his condo unit. This activity requires minimal time.
Employment History
Current Registrations
Fig Tree Capital
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Investacorp Advisory Services INC
Investacorp, INC.Broker
Wells Fargo Advisors, LLC
Wells Fargo Advisors, LLCBroker
Banc of America Investment Services, INC.Broker
Banc of America Investment Services, INC.
American Express Financial Advisors, INC.
American Express Financial Advisors INC.Broker
Ids Life Insurance CompanyBroker
AXA Advisors, LLC
AXA Advisors, LLCBroker
State Registrations1 state
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.