{"url":"https://nivawealth.com/firms/factory-capital-341250","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/341250","regulatoryAum":102526166,"crd":"341250","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7762357","suffix":null,"lastName":"Bryde","firstName":"Trenton","middleName":"Jaret"},{"crd":"6386860","suffix":null,"lastName":"Eccles","firstName":"Sebastian","middleName":"Earl"},{"crd":"7590426","suffix":null,"lastName":"Gandolfo","firstName":"Joseph","middleName":"Robert"},{"crd":"5953648","suffix":null,"lastName":"HENRY","firstName":"TRAVIS","middleName":"ANTHONY"},{"crd":"4187057","suffix":null,"lastName":"STEPHENS","firstName":"AARON","middleName":"JEROME"}],"total":5,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"secFileNumber":"801-135866","legalName":"Factory Capital LLC","displayName":"Factory Capital","slug":"factory-capital-341250","website":"https://thefactoryhq.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"5431 W 104th Street","city":"Los Angeles","state":"CA","stateName":"California","country":"United States","postalCode":"90045"},"tradeNames":[],"registration":{"secApproved":"6 April 2026","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":4424677.521739131,"staff":{"employees":7,"advisory":4,"brokerDealerReps":0,"insuranceAgents":0,"promoters":1},"aum":{"regulatory":102526166,"discretionary":102526166,"discretionaryAccounts":26,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":9,"regulatoryAum":4226183},{"label":"High-net-worth individuals","clients":14,"regulatoryAum":97541400},{"label":"Corporations and other businesses","clients":3,"fewerThan5":true,"regulatoryAum":758583}],"feePrograms":[{"role":"other","program":"Financial Planning and Consulting","summary":"Financial planning and consulting are charged an hourly fee not to exceed $350, or a flat fee of $1,500 to $10,000.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1054233","versionId":1054233,"submittedOn":"2026-08-07","documentName":"FACTORY CAPITAL ADV PART 2"},{"role":"other","program":"Retirement Plan Consulting","summary":"Retirement plan consulting is billed as a flat fee of $750 to $25,000, or a percentage of plan assets not exceeding 1.00%.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1054233","versionId":1054233,"submittedOn":"2026-08-07","documentName":"FACTORY CAPITAL ADV PART 2"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T18:16:34.471929+00:00","documents":[{"name":"FACTORY CAPITAL ADV PART 2","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1054233","versionId":1054233,"submittedOn":"2026-08-07"}]},"custodians":[{"name":"Fidelity Brokerage Services LLC","shortName":"Fidelity","location":"Smithfield, RI","smaAssets":11891934}],"custodyNote":"Factory Capital does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Travis Henry","title":"Head of Factory Capital LLC & CCO","crd":"5953648"}],"ownership":[{"label":"Factory Holdings, LLC","detail":"Owner in the 75% or more ownership band and a control person, since March 2026."},{"label":"Travis Henry","detail":"Indirect owner: a co-founder of Factory Holdings, LLC in the 25% to 50% band and a control person, since May 2026.","parent":"Factory Holdings, LLC"},{"label":"Keenan Beasley","detail":"Indirect owner: a founder & ceo of Factory Holdings, LLC in the 50% to 75% band and a control person, since March 2026.","parent":"Factory Holdings, LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"5431 W 104th Street","city":"Los Angeles","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"954-803-9987","stateRegisteredReps":4,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":33},{"label":"U.S. state and local bonds","percent":3},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":6},{"label":"Cash and cash equivalents","percent":2},{"label":"Other","percent":56,"detail":"Private Equity and Credit Funds"}],"privateFunds":0},"sources":{"adv1FilingDate":"7 August 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/341250/PDF/341250.pdf","brochureDate":"7 August 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1054233","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Factory Capital have?","answer":"Factory Capital has 26 clients and manages $103 million for them, as of August 2026. They include 14 high-net-worth individuals, 9 individual clients, and 3 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 7 August 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Factory Capital offer?","answer":"Factory Capital provides financial planning, portfolio management for individuals and small businesses, portfolio management for pooled vehicles, portfolio management for institutions, pension consulting, and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Factory Capital use?","answer":"Factory Capital’s separately managed account assets are held at Fidelity Brokerage Services LLC (Smithfield, RI), with $11.9M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 7 August 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Factory Capital have?","answer":"Factory Capital has 4 investment adviser representatives registered with state securities authorities, out of 7 employees, and 4 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Factory Capital invest in?","answer":"At the end of its last fiscal year, Factory Capital’s separately managed accounts held 56% other, 33% exchange-traded equities, 6% pooled vehicles (private funds and similar), 3% state and local bonds and 2% cash and equivalents. The 56% other category is described as: Private Equity and Credit Funds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Factory Capital?","answer":"Factory Capital is owned through a holding company by Travis Henry and Keenan Beasley. Its direct owner is Factory Holdings, LLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 7 August 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Factory Capital get paid?","answer":"Factory Capital is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Factory Capital?","answer":"Factory Capital’s main office is at 5431 W 104th Street, Los Angeles, CA 90045. Its phone number is 954-803-9987. Its website is thefactoryhq.com.","source":"Form ADV Part 1A, Item 1.F, filed 7 August 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}