DFX Intelligence

RIA Intelligence

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SEC-registered adviser

3• F••••• I•••••••• L••

Independent wealth managerCRD 160356SEC 801-110926website IAPD

Latest filing Mar 26, 2026

First filing on the tape Jun 29, 2017 · 12 filings

SEC status approved since Aug 1, 2017

RAUM

$193M

reported, Item 5.F

Discretionary

99%

of RAUM

Private clients

100%

$193M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$96.6M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

12 filings and snapshots on the tape

RAUM$193M as of Mar 26, 2026

Apr 2, 2018$150M then

HNW client RAUM$190M as of Mar 26, 2026

Apr 2, 2018$150M then

State-registered IARs (5.B.3)2 as of Mar 26, 2026

Apr 2, 20184 then

Employees (5.A)4 as of Mar 26, 2026

Apr 2, 20184 then

Private funds: no history

RAUM +14% over the last fiscal year+3.0% a year over threeIARs 2 to 2

Practice profile

derived from the filing of Mar 26, 2026; every figure names its basis

Archetypes, each a printed rule

Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $96.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 24derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $4.7MderivedHNW RAUM over HNW clients
Average account: $1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary: 99%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +14%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: portfolio management for individualsreportedItem 5.G
Ownership: no PE, bank or public-company owner found on Schedule Aderived
Advisor book size: not public; not estimatedreported

Also answered yes on Form ADV

buys or sells securities as principal to or from clients (8.A.2)
has discretionary authority over which securities are bought or sold (8.C.1)
receives research or other products from a broker-dealer, soft dollars (8.E)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$190M98%
Individuals$3.5M1.8%

Individual clients: 8reported
HNW clients: 40reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 174reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

2 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
A••••• V••••• S•••	Woodside, Ca	Oct 2, 2025	15 y	0
R••••• P••• S•••••	Woodside, Ca	Dec 5, 2025	16 y	0

Advisor movement

0 left, 0 joined in 12 months

net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months

Left, latest

E••••• M•••••• R••••• to D••••••••• G••••• C••••••• L••
Oct 20, 2023 · RIA to a state-registered adviser

Joined, latest

E••••• M•••••• R••••• from C•••••• S••••• • C••• I•••
Aug 29, 2012 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

L••••••••• R•••••• A• · Ctocontrol
since 10/2011 · owns 25% to 50%
S•••••• R•••••• P••• · Ccocontrol
since 05/2013 · owns less than 5%
S•••• A•••••• V••••• · Ceocontrol
since 10/2011 · owns 25% to 50%

Related persons

Schedule D 7.A

No related person reported.

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Woodside, Ca	2	2	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 200 to 174
Apr 1, 2025 to Mar 26, 2026
HNW clients · 51 to 40
Apr 1, 2025 to Mar 26, 2026
Individual clients · unset to 8.0
Apr 1, 2025 to Mar 26, 2026
Employees · 3 to 4
Apr 1, 2025 to Mar 26, 2026
Discretionary RAUM · $169M to $190M
Apr 1, 2025 to Mar 26, 2026
HNW RAUM · $170M to $190M
Apr 1, 2025 to Mar 26, 2026
Individual RAUM · unset to 3493584.0
Apr 1, 2025 to Mar 26, 2026
Non-discretionary RAUM · $158,257 to $2.8M
Apr 1, 2025 to Mar 26, 2026
RAUM · $170M to $193M
Apr 1, 2025 to Mar 26, 2026
Accounts · 182 to 200
Mar 29, 2024 to Apr 1, 2025
Advisory employees · 3 to 2
Mar 29, 2024 to Apr 1, 2025
HNW clients · 52 to 51
Mar 29, 2024 to Apr 1, 2025
Financial planning clients · 0 to 0
Mar 29, 2024 to Apr 1, 2025
HQ city · unset to
Mar 29, 2024 to Apr 1, 2025
HQ state · unset to
Mar 29, 2024 to Apr 1, 2025
State-registered IARs · 0 to 2
Mar 29, 2024 to Apr 1, 2025
Organization form · Limited Liability Partnership to Limited Liability Company
Mar 29, 2024 to Apr 1, 2025
Discretionary RAUM · $144M to $169M
Mar 29, 2024 to Apr 1, 2025
HNW RAUM · $145M to $170M
Mar 29, 2024 to Apr 1, 2025
Non-discretionary RAUM · $133,499 to $158,257
Mar 29, 2024 to Apr 1, 2025
RAUM · $145M to $170M
Mar 29, 2024 to Apr 1, 2025
Accounts · 288 to 182
Mar 31, 2023 to Mar 29, 2024
Advisory employees · 4 to 3
Mar 31, 2023 to Mar 29, 2024
HNW clients · 73 to 52
Mar 31, 2023 to Mar 29, 2024
Employees · 4 to 3
Mar 31, 2023 to Mar 29, 2024
Organization form · Limited Liability Company to Limited Liability Partnership
Mar 31, 2023 to Mar 29, 2024
Discretionary RAUM · $162M to $144M
Mar 31, 2023 to Mar 29, 2024
HNW RAUM · $177M to $145M
Mar 31, 2023 to Mar 29, 2024
Non-discretionary RAUM · $14.2M to $133,499
Mar 31, 2023 to Mar 29, 2024
RAUM · $177M to $145M
Mar 31, 2023 to Mar 29, 2024
Accounts · 248 to 288
Apr 1, 2022 to Mar 31, 2023
HNW clients · 70 to 73
Apr 1, 2022 to Mar 31, 2023
Organization form · Sole Proprietorship to Limited Liability Company
Apr 1, 2022 to Mar 31, 2023
Discretionary RAUM · $173M to $162M
Apr 1, 2022 to Mar 31, 2023
HNW RAUM · $185M to $177M
Apr 1, 2022 to Mar 31, 2023
Non-discretionary RAUM · $11.8M to $14.2M
Apr 1, 2022 to Mar 31, 2023
RAUM · $185M to $177M
Apr 1, 2022 to Mar 31, 2023
Accounts · 213 to 248
Mar 25, 2021 to Apr 1, 2022
HNW clients · 65 to 70
Mar 25, 2021 to Apr 1, 2022
State-registered IARs · 4 to 0
Mar 25, 2021 to Apr 1, 2022

Signals

3 dated events

Michael Edward Rodden (Ceo) no longer on Schedule A of 3• F••••• I•••••••• L•• (listed 2023-03-31, absent 2024-03-29)
Mar 29, 2024 · Control person left · inference
E••••• M•••••• R••••• left 3• F••••• I•••••••• L•• for D••••••••• G••••• C••••••• L•• (registered 2026-01-01)
Oct 20, 2023 · Advisor changed firm · fact
3• F••••• I•••••••• L•• filed its initial SEC registration (Form ADV)
Jun 29, 2017 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

How to reach

public business contact points only, each with its source

Business email: i•••@3•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
Firm profile: linkedin.com/company/3-factor-indexing-llcreportedpublic record, Form ADV, Sep 21, 2026
Website: 3F•••••I•••••••.COMreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 650-387-0055reportedpublic record, Form ADV, Mar 26, 2026

Provenance

Form ADV: SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors: IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class: Independent wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor: $96.6Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026