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RIA / WealthAdvisorChartered Financial Analyst23 years in industry

JOSEPH BERNARDO LORA

Advisor at FIG TREE CAPITAL

PASADENA, CA

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Search this name across graphsid dfx:ria:e1ec2d45-b9f4-1296-c1fa-47f8b962e71d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:29 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Jun 2, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: FIG TREE CAPITAL
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 31, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Designations: Chartered Financial Analyst
Exams: S66
First exam: May 31, 2003
First registration: Jun 2, 2003
Dual registered: no
Other names: PEI EN LAI|JOSEPH LORA
IAPD individual key: 4651234

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
FIG TREE CAPITAL	State registered	Sep 4, 2026	n/a	yes	PASADENA, CA	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 19, 2010	May 1, 2017	no	PASADENA, CA\|PASADENA, CA	Previous registration
INVESTACORP ADVISORY SERVICES INC	Former SEC adviser	Feb 3, 2010	Oct 20, 2010	no	LOS ANGELES, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	May 13, 2008	Jan 14, 2010	no	LOS ANGELES, CA	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	May 4, 2004	Apr 25, 2008	no	CITY OF COMMERCE, CA\|PASADENA, CA\|LOS ANGELES, CA\|PASADENA, CA\|UNIVERSAL CITY, CA\|CITY OF COMMERCE, CA\|PASADENA, CA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jul 3, 2003	Jan 13, 2004	no	LOS ANGELES, CA	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	Jun 2, 2003	Jun 16, 2003	no	WOODLAND HILLS, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	FIG TREE CAPITAL	May 1, 2017	Sep 4, 2026	3,413	Firm change after gap	Wirehouse to state RIA
INVESTACORP ADVISORY SERVICES INC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 20, 2010	Oct 19, 2010	-1	Firm change	Other
WELLS FARGO ADVISORS	INVESTACORP ADVISORY SERVICES INC	Jan 14, 2010	Feb 3, 2010	20	Firm change	Other
BANC OF AMERICA INVESTMENT SERVICES, INC.	WELLS FARGO ADVISORS	Apr 25, 2008	May 13, 2008	18	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	BANC OF AMERICA INVESTMENT SERVICES, INC.	Jan 13, 2004	May 4, 2004	112	Firm change	Other
EQUITABLE ADVISORS, LLC	AMERIPRISE FINANCIAL SERVICES, LLC	Jun 16, 2003	Jul 3, 2003	17	Firm change	Ibd to ibd

Relationships

Registered with (7)

→ FIG TREE CAPITALRegistered adviserregistration: current employment
Sep 4, 2026 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 19, 2010 to May 1, 2017factForm ADV
→ INVESTACORP ADVISORY SERVICES INCRegistered adviserregistration: previous registration
Feb 3, 2010 to Oct 20, 2010factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
May 13, 2008 to Jan 14, 2010factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
May 4, 2004 to Apr 25, 2008factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Jul 3, 2003 to Jan 13, 2004factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Jun 2, 2003 to Jun 16, 2003factForm ADV

Dated events

No dated event names this entity yet.