F
Five Factor Capital Advisors
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$29,900,000
This total excludes 2 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Total clients
37
51% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
37
Average account size
$808,108
About
Five Factor Capital Advisors provides ongoing portfolio management and investment supervisory services to individuals, high‑net‑worth individuals, and select pension or endowment clients. The firm prepares an Investment Policy Statement for each client and implements portfolios using mutual funds, ETFs, equities, fixed income, annuities and REITs, and it retains an independent account administrator (LWI Financial) and may recommend the SA Funds managed by that administrator.
The firm’s investment framework is grounded in modern portfolio theory and a long‑term, passive‑oriented implementation that emphasizes institutional mutual funds (including Dimensional Fund Advisors) and states it does not engage in market timing or forecasting. Although discretionary authority is described in its advisory agreements, the firm reports approximately $29.9 million of assets as non‑discretionary and also discloses the use of higher‑risk instruments such as options, short sales and margin when appropriate.
Operationally, the firm requires clients to use a specific broker‑dealer for execution and relies on Schwab Institutional for custody and client statements, with the adviser not producing its own regular reports. As a solo independent adviser with 37 clients and a stated $500,000 account minimum (waivable), the combination of third‑party administrative relationships and a predominantly non‑discretionary asset base is a distinctive feature relative to many peers.
Client services
Financial planning
Portfolio management
Expertise
Active portfolio management
Options & derivatives strategies
Passive / index investing
Fee options
$0 - $1,000,000: 1.50% $1,000,001 - $2,500,000: 1.25% $2,500,001+: 1.00%
Account minimum: $500,000 (may be waived) Fee-only: Annual fees based on tiered percentage of assets under management as above, fees are negotiable.
Main office location
Five Factor Capital Advisors
20 Eagles Bluff
Rye Brook NY 10573, United States
Number of offices
1
Most active in
Five Factor Capital Advisors has reported serving >5 clients in these states in the last 12 months.
New York
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 not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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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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