9AT: 3 FACTOR INDEXING, LLC

3 FACTOR INDEXING, LLC

3 FACTOR INDEXING, LLC

SYNTHIUM CAPITAL, LLC

Adviser Profile

As of Date	03/26/2026
Registration	SEC, Approved, 08/01/2017
Other registrations (2)	California, Terminated, 02/05/2022 Texas, Terminated, 01/06/2022
Contact Info	650 xxxxxxx
Websites

AUM^*	193,229,609 34%
of that, discretionary	190,417,995 32%
Number of Employees	4 33%
of those in investment advisory functions	2 -33%
Private Fund GAV^*	0
Avg Account Size	1,110,515 40%
% High Net Worth	83.33% -17%
SMA’s	Yes
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals

Advisory Activities

- Portfolio management for individuals and/or small businesses

Compensation Arrangments

- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

Reported AUM

190M 163M 136M 109M 82M 54M 27M

2017 2018 2019 2020 2021 2022 2023 2024 2025 2026

Discretionary

Non-discretionary

Private Funds

No private funds

Employees

Brochure Summary

Overview

A. Description of the Firm 3 Factor Indexing (“3 Factor”) was formed in 2011 to provide investment advisory services. 3 Factor provides investment management services. 3 Factor is owned by Robert Luxenberg, Arthur Shaw and Robert Sawyer. B. Types of Advisory Services 3 Factor and its advisors primarily provide investment management of client portfolios. In providing advisory services, 3 Factor solely relies on information provided by the client and the client’s other professional advisors. We do not verify information provided; you are reminded it is in your best interest to provide all information requested and notify your advisor promptly of any changes. Investment Management Investment Management is provided to clients as a stand-alone service. Client portfolios are constructed with respect to the client’s established financial plan or their age, time horizon, risk tolerance and investable assets. 3 Factor representatives will manage client portfolios by directly choosing the securities, types of securities, and allocations for part or all of a portfolio. Limitations on Types of Investments 3 Factor may connect clients with firms who specialize in selected alternate investments. Beyond that, 3 Factor generally does not provide advice on alternative investments such

as private placements, non-publicly traded securities, hedge funds, or similar types. Upon engaging 3 Factor, and owning such a position, the client will be informed of such limitations and may be provided with an opinion of the position. C. Tailored Services and Client Restrictions Advisory services provided to clients are matched to the client’s needs. We determine the best portfolio or course of action for each client based on their hopes, goals, dreams, age, time horizon, risk tolerance, and investable assets. Clients may request portfolios be handled in a more aggressive or more conservative manner than recommended if they acknowledge the risks of doing so. Clients may request in writing certain securities or types of securities be restricted; however, if the advisor feels it will be detrimental to the portfolio, prevent proper servicing of the account, deviate from our normal services, or be of excessive burden, 3 Factor reserves the right to terminate the engagement. D. Wrap Fee Programs We do not manage portfolios for wrap fee programs. E. Assets Under Management As of December 31, 2023, 3 Factor Indexing managed: $144,403,860.04 across 52 clients and 181 accounts on a discretionary basis; and $133,498.86 across 1 client and 1 account on a non-discretionary basis.

3 FACTOR INDEXING, LLC

3 FACTOR INDEXING, LLC

SYNTHIUM CAPITAL, LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Brochure Summary

Overview

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3 FACTOR INDEXING, LLC 3 FACTOR INDEXING, LLC SYNTHIUM CAPITAL, LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Brochure Summary

Overview

3 FACTOR INDEXING, LLC

3 FACTOR INDEXING, LLC

SYNTHIUM CAPITAL, LLC