F
Factor Investment Solutions, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$0
Total clients
13
0% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
13
Average account size
$0
About
Factor Investment Solutions serves individuals, trusts, estates, charitable organizations, corporations and other business entities by recommending and referring clients to third‑party investment advisers and assisting with onboarding and client communications. The firm does not manage client assets on a continuous basis and does not exercise custody or investment discretion for client accounts.
The firm’s process is to gather information about a client’s financial situation, goals and risk tolerance, review third‑party advisers’ methods and performance, and recommend programs it deems suitable while acting as a liaison and periodically monitoring alignment with client objectives. It does not select broker‑dealers for trading, recommend particular securities, or provide routine account monitoring or proxy voting on clients’ behalf; those services are provided by the third‑party advisers to whom clients are referred.
Noteworthy aspects include that the firm’s principal is separately licensed as an insurance agent and may earn commission‑based compensation for insurance sales, and the firm receives referral compensation from third‑party advisers and discloses a passive ownership stake (2.69%) in a recommended adviser, which are potential conflicts of interest. The firm’s referral‑focused model, absence of ongoing AUM management, and very small client roster distinguish it from many independent advisers that directly manage client portfolios or rely primarily on percentage‑of‑assets fee arrangements.
Client services
Selection of other advisers
Expertise
Wealth management
Fee options
David W. Cook, Managing Director, is licensed as an independent insurance agent and earns commissions from selling insurance products. These commissions are in addition to advisory fees.
Account minimum: No minimum stated by Factor Investment Solutions; minimums may be required by third party advisers as per their own brochures. Fee-only: Factor Investment Solutions charges fees negotiated directly with the client, up to 1.00% of assets under management annually, paid quarterly in advance. This fee is separate from the third party adviser's advisory fees.
Main office location
Factor Investment Solutions, LLC
5271 N. Coronado Place
Tucson AZ 85750, United States
Number of offices
2
Most active in
Factor Investment Solutions, LLC has reported serving >5 clients in these states in the last 12 months.
Arizona · New Jersey
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
-
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.
Forms ADV
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