{
  "crd_number": 160356,
  "slug": "3-factor-indexing-llc-160356",
  "primary_business_name": "3 FACTOR INDEXING, LLC",
  "legal_name": "3 FACTOR INDEXING, LLC",
  "dbas": [],
  "city": null,
  "state": null,
  "country": null,
  "cbsa_code": null,
  "metro": null,
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2017-08-01",
  "years_registered": 9,
  "period": "2026-10-01",
  "filing_date": "2026-03-26",
  "carried_forward": false,
  "raum_total": 193229609.0,
  "raum_discretionary": 190417995.0,
  "raum_non_discretionary": 2811614.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 4,
  "advisory_employees": 2,
  "client_count_bucket": null,
  "clients_by_type": {
    "individuals": {
      "raum": 3493584.0,
      "count": 8
    },
    "high_net_worth_individuals": {
      "raum": 189736025.0,
      "count": 40
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "CA"
  ],
  "websites": [
    "https://3factorindexing.com",
    "https://linkedin.com/company/3-factor-indexing-llc"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/160356",
  "city_as_filed": null,
  "url": "https://advisorcensus.com/firm/3-factor-indexing-llc-160356",
  "display_name": "3 Factor Indexing, LLC",
  "summary": "3 Factor Indexing, LLC is an SEC-registered investment advisory firm, registered since 2017, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 26, 2026.",
  "citation": "AdvisorCensus. 3 Factor Indexing, LLC (CRD 160356): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Portfolio management for individuals and/or small businesses"
  ],
  "quick_answers": [
    {
      "q": "How is 3 Factor Indexing, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), 3 Factor Indexing, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees)."
    },
    {
      "q": "How much does 3 Factor Indexing, LLC charge?",
      "a": "Its Form ADV Part 2A brochure dated March 26, 2026 states: Hourly rate: $375 an hour; Flat fee: up to $100,000 a year (the services to be provided); Subscription: up to $100,000 a year (the services to be provided). Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Is 3 Factor Indexing, LLC registered with the SEC or a state?",
      "a": "3 Factor Indexing, LLC is an SEC-registered investment advisory firm, registered since 2017. Status as filed: Approved. CRD 160356."
    },
    {
      "q": "How much does 3 Factor Indexing, LLC manage?",
      "a": "3 Factor Indexing, LLC reports $193,229,609 in regulatory assets under management in its Form ADV filing dated March 26, 2026 (99% discretionary)."
    },
    {
      "q": "How have 3 Factor Indexing, LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for 3 Factor Indexing, LLC: Regulatory assets under management: $164,464,733 in the October 2021 data and $193,229,609 in the October 2026 data, up 17%. Total employees: 4 in October 2021 and 4 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does 3 Factor Indexing, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (40); individuals (other than high net worth individuals) (8)."
    },
    {
      "q": "Which custodians does 3 Factor Indexing, LLC use?",
      "a": "3 Factor Indexing, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does 3 Factor Indexing, LLC report any disciplinary disclosures?",
      "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/160356"
    },
    {
      "q": "Does 3 Factor Indexing, LLC state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated March 26, 2026 says: \"The minimum household assets to manage is $500,000; however, exceptions may be made on a case-by-case basis.\""
    },
    {
      "q": "What changed in 3 Factor Indexing, LLC's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Regulatory assets under management went from $169,584,549 to $193,229,609 (+14%). Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 164464733.0,
      "total_employees": 4,
      "filing_date": "2021-03-25"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 184617551.0,
      "total_employees": 4,
      "filing_date": "2022-04-01"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 176596376.0,
      "total_employees": 4,
      "filing_date": "2023-03-31"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 144537359.0,
      "total_employees": 3,
      "filing_date": "2024-03-29"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 169584549.0,
      "total_employees": 3,
      "filing_date": "2025-04-01"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 193229609.0,
      "total_employees": 4,
      "filing_date": "2026-03-26"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Regulatory assets under management went from $169,584,549 to $193,229,609 (+14%).",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 26, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": "$500,000",
    "account_minimum_may_be_waived": true,
    "minimum_annual_fee": null,
    "planning_fees": [
      "Hourly rate: $375 an hour",
      "Flat fee: up to $100,000 a year (the services to be provided)",
      "Subscription: up to $100,000 a year (the services to be provided)"
    ],
    "figures": [
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: $500,000 (the brochure says it may be waived or negotiated)"
        ],
        "quotes": [
          "The minimum household assets to manage is $500,000; however, exceptions may be made on a case-by-case basis."
        ]
      },
      {
        "label": "Planning fee",
        "statements": [
          "Hourly rate: $375 an hour"
        ],
        "quotes": [
          "In the case that hourly fees are agreed to and charged, the fee shall be $375 per hour."
        ]
      },
      {
        "label": "Planning fee",
        "statements": [
          "Flat fee: up to $100,000 a year (the services to be provided)"
        ],
        "quotes": [
          "When a flat fee or retainer is agreed upon and charged, it will vary depending of the services to be provided and may range up to $100,000 per year."
        ]
      },
      {
        "label": "Planning fee",
        "statements": [
          "Subscription: up to $100,000 a year (the services to be provided)"
        ],
        "quotes": [
          "When a flat fee or retainer is agreed upon and charged, it will vary depending of the services to be provided and may range up to $100,000 per year."
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": null,
      "max_pct": null,
      "account_minimum": 500000.0,
      "minimum_annual_fee": null,
      "planning": [
        {
          "kind": "hourly",
          "amount": 375.0,
          "min": null,
          "max": null,
          "period": "hour",
          "service": "hourly fees"
        },
        {
          "kind": "flat",
          "amount": null,
          "min": null,
          "max": 100000.0,
          "period": "annual",
          "service": "the services to be provided"
        },
        {
          "kind": "subscription",
          "amount": null,
          "min": null,
          "max": 100000.0,
          "period": "annual",
          "service": "the services to be provided"
        }
      ]
    },
    "quotes": [
      "The minimum household assets to manage is $500,000; however, exceptions may be made on a case-by-case basis.",
      "In the case that hourly fees are agreed to and charged, the fee shall be $375 per hour.",
      "When a flat fee or retainer is agreed upon and charged, it will vary depending of the services to be provided and may range up to $100,000 per year.",
      "When a flat fee or retainer is agreed upon and charged, it will vary depending of the services to be provided and may range up to $100,000 per year."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/3-factor-indexing-llc-160356.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 8,
      "fewer_than_5": false,
      "raum": 3493584.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 40,
      "fewer_than_5": false,
      "raum": 189736025.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/160356",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}