3 FACTOR INDEXING, LLC
Adviser information for 3 FACTOR INDEXING, LLC last updated from Form ADV on March 29th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Partnership |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 181 | $144.4M |
| Non-Discretionary | 1 | $133,499 |
| Total | 182 | $144.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 52 | $144.5M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-110926 |
|---|---|
| SEC ERA File Number | 801-110926 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 160356 |
| Legal Entity Identifier | None |
Principal Office
156 ALTA VISTA RDWOODSIDE
CA
United States
BY APPOINTMENT ONLY, BY APPOINTMENT ONLY
Tel: 650-332-2478, Fax: None
Websites
Chief Compliance Officer
ROBERT SAWYER
116 AUDIFFRED LANE
WOODSIDE
CA
United States
Tel:
650-260-4689
B***@******************M
(Full email address available in API data)
Regulatory Contact
ROB KEELER
CONSULTANT
PO BOX 231
HARRINGTON PARK
NJ
United States
Tel:
800-607-3340
R**@*********************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| LUXENBERG, ROBERT, A. | Individual | – | CTO | 10/2011 | 25-50% |
| SHAW, ARTHUR, VICTOR | Individual | – | CEO | 10/2011 | 25-50% |
| SAWYER, ROBERT, PAUL | Individual | – | CCO | 05/2013 | < 5% |