3 Factor Indexing, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
3 Factor Indexing provides investment management to individuals, families, trusts, and closely held businesses, managing approximately $193 million for 48 clients through a two-advisor team. Services center on portfolio construction and discretionary management, with portfolios built around clients’ financial plans, age, time horizon, risk tolerance and investable assets.
The firm’s investment approach is grounded in modern portfolio theory, emphasizing asset allocation and broad diversification implemented primarily with exchange-traded products, mutual funds, separately managed accounts, equities and bonds; fundamental analysis is used when packaged products are not appropriate. 3 Factor typically manages accounts on a discretionary basis, performs at least annual reviews, allows clients to request security restrictions (subject to termination if those restrictions impede proper servicing), and may recommend third-party managers for specialized mandates.
Compared with many peers, 3 Factor’s client roster contains no non–high-net-worth individual clients, resulting in a relatively small number of households with substantial assets per household managed by a compact advisory team. The brochure also discloses that the firm may refer clients to private-equity or option-hedging providers while acknowledging it has no expertise in those areas, receives institutional research and brokerage services from its custodian, does not accept proxy-voting authority, and does not take custody of client funds.
Client services
Expertise
Fee options
Up to $100,000 per year depending on services
$0 - $3,000,000: 0.50% annually (0.125% quarterly) $3,000,000+: 0.35% annually (0.0875% quarterly)
$375 per hour
Account minimum: $500,000 Minimum fee: $625 per quarter minimum Fee-only: Fees charged as percentage of AUM, hourly, or fixed fee; no commissions earned.
Main office
Woodside CA
Advisors at this office
2
Most active in
California
Also doing business as
3 Factor Indexing, LLC · Synthium Capital, LLC
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Quick links
Advisors at this firm
Robert S
Series 65
Woodside, CA
3 Factor Indexing, LLC
Robert Sawyer is a Series 65 licensed financial advisor with 14 years of industry experience. He is associated with 3 Factor Indexing, LLC and has worked at Synthium Capital since 2012. In addition to his advisory work, Sawyer operates as a self-employed consultant providing product marketing advice to companies. 3 Factor Indexing serves individuals, families, trusts, and closely held businesses, managing approximately $193 million across 48 clients. The firm employs a modern portfolio theory approach focused on asset allocation and diversification, primarily utilizing exchange-traded products, mutual funds, separately managed accounts, equities, and bonds.
Arthur S
Series 65
Woodside, CA
3 Factor Indexing, LLC
Arthur Shaw is a Series 65 licensed financial advisor with 9 years of industry experience. He is affiliated with 3 Factor Indexing, LLC and also serves as CEO of RepairPal and as Lead Director on the board of the financial technology startup Insikt. 3 Factor Indexing is a registered investment adviser focusing on discretionary investment management for high-net-worth individuals, families, trusts, and closely held businesses. The firm emphasizes strategic asset allocation and broad diversification using exchange-traded products, mutual funds, separately managed accounts, equities, and bonds.
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