# 1st & 3rd Investments LLC

> 1st & 3rd Investments LLC is a state-registered investment advisory firm, registered since 2025, reporting under $25 million in regulatory assets under management in its Form ADV filing dated March 3, 2026.

- CRD: 337417
- Filed as: 1ST & 3RD INVESTMENTS LLC
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Filing period: October 2026
- Form ADV filing dated: March 3, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/337417
- AdvisorCensus page: https://advisorcensus.com/firm/1st-and-3rd-investments-llc-337417

## Quick answers

**How is 1st & 3rd Investments LLC compensated?**
On its Form ADV (Item 5.E, October 2026), 1st & 3rd Investments LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Is 1st & 3rd Investments LLC registered with the SEC or a state?**
1st & 3rd Investments LLC is a state-registered investment advisory firm, registered since 2025. Status as filed: APPROVED. CRD 337417.

**How much does 1st & 3rd Investments LLC manage?**
1st & 3rd Investments LLC reports $1,785,000 in regulatory assets under management in its Form ADV filing dated March 3, 2026 (61% discretionary).

**What types of clients does 1st & 3rd Investments LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (18); pension and profit sharing plans (but not the plan participants or government pension plans) (2).

**Does 1st & 3rd Investments LLC report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/337417

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Regulatory assets under management (Item 5.F)
- Total: $1,785,000
- Discretionary: $1,080,000
- Non-discretionary: $705,000

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 18 | $1,363,385 |
| High net worth individuals | Not reported | $0 |
| Investment companies | Not reported | $0 |
| Business development companies | Not reported | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | Not reported | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 2 | $421,615 |
| Charitable organizations | Not reported | $0 |
| State or municipal government entities (including government pension plans) | Not reported | $0 |
| Insurance companies | Not reported | $0 |
| Corporations or other businesses not listed above | Not reported | $0 |
| Other | Not reported | $0 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Educational seminars/workshops

### Firm details
- Registered since: 2025 (1 year)
- Employees: 2 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AL, LA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- [1stand3rdinvestments.com](https://1stand3rdinvestments.com)

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. 1st & 3rd Investments LLC (CRD 337417): Form ADV filing data as of October 2026.