Arthur V. Shaw

3 FACTOR INDEXING

Woodside, CA

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CRD#: 2231047

Professional summary

Arthur Victor Shaw is a registered financial advisor currently at 3 FACTOR INDEXING, LLC located in Woodside, California.

Arthur is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Arthur has worked at 4 firms and has passed the Series 65, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

CEO of RepairPal, NOT INVESTMENT RELATED, 363 Clementina Street, First Floor San Francisco, CA 94103, APPROX. JAN. 2011, APPROX. 30 HRS/week, APPROX. 30 HOURS PER WEEK DURING TRADING HOURS. Board member of Insikt, a Financial technology platform startup, Lead Director, started 06/2013, approx 3-5 hours per week rarely during trading hours, 225 Bush Street, Suite 1840, San Francisco, CA 94104

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Arthur Victor Shaw's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 22, 2016 - Present

3 FACTOR INDEXING, LLC

RIA

CRD#: 160356

Woodside, CA

Past

November 1, 2002 - June 20, 2003

HARRISDIRECT LLC

CRD#: 42159

JERSEY CITY, NJ

Past

January 22, 2002 - October 15, 2002

MYCFO SECURITIES, LLC

CRD#: 111657

SAN FRANCISCO, CA

Past

April 9, 1996 - November 15, 1999

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

3 FACTOR INDEXING, LLC

3 FACTOR INDEXING, LLC | SYNTHIUM CAPITAL, LLC

CRD#: 160356 / SEC#: 801-110926

RIA

Registered Investment Advisory firm - (8/1/2017 Approved)

California

Registered Investment Advisory firm - (2/5/2022 Terminated)

Texas

Registered Investment Advisory firm - (1/6/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(12/22/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/22/2016

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 4/4/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/2/1996

General Securities Principal Examination

Current Firm

3 FACTOR INDEXING, LLC

3 FACTOR INDEXING, LLC | SYNTHIUM CAPITAL, LLC

CRD#: 160356 / SEC#: 801-110926

RIA

Registered Investment Advisory firm - (8/1/2017 Approved)

California

Registered Investment Advisory firm - (2/5/2022 Terminated)

Texas

Registered Investment Advisory firm - (1/6/2022 Terminated)

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Contact information

Main Address

Woodside, CA

Mailing Address

Phone number

(650) 387-0055

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (4/1/2025)

ADV PART 2B AS (4/1/2025)

ADV PART 2B RS (4/1/2025)

Regulatory assets under management

Total Number of Accounts	200
AUM (Assets Under Management)	$ 169,584,549

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Arthur V. Shaw

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Arthur Victor Shaw's CRS (Customer Relationship Summary).

Certified licenses

Experience

3 FACTOR INDEXING, LLC

HARRISDIRECT LLC

MYCFO SECURITIES, LLC

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

3 FACTOR INDEXING, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/22/2016

Series 7

Date: 4/4/1996

Series 24

Date: 10/2/1996

Current Firm

3 FACTOR INDEXING, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

3 FACTOR INDEXING, LLC

TRUST BUT VERIFY

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