3fourteen & Smi Advisory Services provides portfolio management for investment companies.
3fourteen & Smi Advisory Services reports 2 investment companies. These counts refer to investment vehicles, rather than the individual investors in them. Of its assets, 100.0% ($723M across 2 accounts) are managed with discretion.
| Client type | Clients | Assets |
|---|---|---|
| Investment companies | 100% | 100% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Investment companies | 2 | $723M | 100.0% | $362M |
| Total | 2 | $723M | 100% | $362M |
- Clients
- 2
- Regulatory AUM
- $723M
- AUM share
- 100.0%
- Avg. per client
- $362M
Total
- Clients
- 2
- Regulatory AUM
- $723M
- AUM share
- 100%
- Avg. per client
- $362M
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
3fourteen & Smi Advisory Services is paid through a percentage of assets under management; its fees and minimums are set out in its brochures on the SEC website.
Smi Advisory Services, LLC owns 50% to 75% of 3fourteen & Smi Advisory Services and is in turn owned by Marathon Partners, LLC (50–75%) and Omnium Investment Company, LLC (25–50%). Mark Biller is CEO; the leadership team includes Chief Investment Officer Warren Pies and Chief Compliance Officer Frederick Beerwart. It has 6 employees.
Leadership
Mark BillerChief Executive Officer
Frederick BeerwartChief Compliance Officer
Eric CollierPortfolio Manager- Warren PiesChief Investment Officer
Staff
- 6 employees
- 6 in advisory functions
- Owns 50% to 75% of 3fourteen & Smi Advisory Services, LLC
Smi Advisory Services, LLC
Control person · since April 2024
- Owns 50% to 75% of Smi Advisory Services, LLC
Marathon Partners, LLC
Control person · since August 2005
- Owns 25% to 50% of Smi Advisory Services, LLC
Omnium Investment Company, LLC
Control person · since August 2005
- Owns 50% to 75% of 3fourteen & Smi Advisory Services, LLC
3fourteen Research, LLC
Control person · since August 2010
- Owns 25% to 50% of 3fourteen Research, LLC
Warren Pies
Control person · since October 2020
- Owns 25% to 50% of 3fourteen Research, LLC
Fernando Vidal
Control person · since October 2020
- Owns 25% to 50% of 3fourteen Research, LLC
Amie Pies
Control person · since October 2020
3fourteen & Smi Advisory Services’ regulatory assets grew 4.5× from $160M (July 2024) to $723M (January 2026); clients rose from 1 to 2 and employees were 6 in both filings.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| January 2026 | $723M | 2 | 6 | 1 |
| June 2025 | $840M | 2 | 6 | 1 |
| July 2024 | $160M | 1 | 6 | 1 |
Besides its headquarters, 3fourteen & Smi Advisory Services has 0 offices, with 1 listed address in Indiana.
Indiana · 1 listed address
- 4400 Ray Boll BLVD., ColumbusHQ
Contact and registration details
- Legal name
- 3fourteen & Smi Advisory Services, LLC
- Headquarters
- 4400 Ray Boll BLVD., Columbus, IN 47203
- Website
- Not reported
- Phone
- 800-796-4975
- SEC file
- 801-130295
- Structure
- Indiana LLC
- Fiscal year end
- December
3fourteen & Smi Advisory Services does not have custody of client assets.
How many clients does 3fourteen & Smi Advisory Services have?
3fourteen & Smi Advisory Services has 2 clients and manages $723 million for them, as of January 2026. They include 2 investment companies.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 20 January 2026
What services does 3fourteen & Smi Advisory Services offer?
3fourteen & Smi Advisory Services provides portfolio management for investment companies.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How many financial advisors does 3fourteen & Smi Advisory Services have?
3fourteen & Smi Advisory Services has 0 investment adviser representatives registered with state securities authorities, out of 6 employees, and 6 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
Who owns 3fourteen & Smi Advisory Services?
3fourteen & Smi Advisory Services is owned through holding companies by Marathon Partners, LLC, Omnium Investment Company, LLC, Warren and Amie Pies, and Fernando Vidal. Its direct owners are Smi Advisory Services, LLC (50% to 75%) and 3fourteen Research, LLC (50% to 75%).
Source: Form ADV Part 1A, Schedules A and B, filed 20 January 2026
How does 3fourteen & Smi Advisory Services get paid?
3fourteen & Smi Advisory Services is paid through a percentage of assets under management. 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
Is 3fourteen & Smi Advisory Services registered with the SEC?
Yes, 3fourteen & Smi Advisory Services has been registered with the SEC as an investment adviser since 17 May 2024. Its CRD number is 331301 and its SEC file number is 801-130295.
Source: Form ADV Part 1A, Item 1, filed 20 January 2026; IAPD firm record
How do I contact 3fourteen & Smi Advisory Services?
3fourteen & Smi Advisory Services’ main office is at 4400 Ray Boll BLVD., Columbus, IN 47203. Its phone number is 800-796-4975.