4-3-3 Capital LLC

4-3-3 Capital LLC is a registered investment adviser that offers discretionary portfolio management and prepares an Investment Policy Statement for each client; its ADV lists services to individuals, small businesses, and high-net-worth individuals and states there is no account minimum. Although the firm’s regulatory category typically covers managers of pooled or institutional assets, the brochure reports zero assets under management and no client accounts as of its ADV filing.

The firm generally limits its recommendations to equities and ETFs and documents risk tolerance and objectives in client IPSs; its analytical toolkit includes charting, cyclical, fundamental, quantitative, and technical analysis, and it employs long- and short-term trading as well as short sales and margin transactions. 4-3-3 Capital operates with discretionary trading authority, says it seeks fair and equitable allocation of opportunities across accounts, and provides quarterly custodian reporting with at least annual portfolio reviews.

Several features are notable relative to peers: the adviser discloses acceptance of performance-based fees in addition to asset-based billing, the use of higher-risk strategies (shorting and margin), and a requirement that clients custody assets with a specific broker-dealer (Schwab Institutional), through which it may receive research and other soft-dollar benefits. The firm is newly formed and operates with a single management person, and it discloses that it does not aggregate trades for multiple client accounts—practices that can affect execution and raise side-by-side management considerations that the adviser says it addresses through policies.