{"url":"https://nivawealth.com/firms/3fourteen-and-smi-advisory-services-331301","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/331301","regulatoryAum":723000000,"crd":"331301","history":[{"filedOn":"2024-07-23","regulatoryAum":160000000,"clients":1,"employees":6,"offices":1},{"filedOn":"2025-06-03","regulatoryAum":840000000,"clients":2,"employees":6,"offices":1},{"filedOn":"2026-01-20","regulatoryAum":723000000,"clients":2,"employees":6,"offices":1}],"secFileNumber":"801-130295","legalName":"3fourteen & Smi Advisory Services, LLC","displayName":"3fourteen & Smi Advisory Services","slug":"3fourteen-and-smi-advisory-services-331301","website":null,"classification":{"segment":"registered_funds","segmentLabel":"Fund management","type":"fund_manager","typeLabel":"Mutual funds & ETFs","feeDisclosure":"payment_only"},"founded":null,"organization":"Indiana limited liability company","fiscalYearEnd":"December","headquarters":{"street":"4400 Ray Boll BLVD.","city":"Columbus","state":"IN","stateName":"Indiana","country":"United States","postalCode":"47203"},"tradeNames":[],"registration":{"secApproved":"17 May 2024","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":6,"advisory":6,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":723000000,"discretionary":723000000,"discretionaryAccounts":2,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Investment companies","clients":2,"regulatoryAum":723000000}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[],"custodyNote":"3fourteen & Smi Advisory Services does not have custody of client assets.","leadership":[{"name":"Mark Biller","title":"Chief Executive Officer","crd":"5052164"},{"name":"Frederick Beerwart","title":"Chief Compliance Officer","crd":"5052175"},{"name":"Eric Collier","title":"Portfolio Manager","crd":"5052172"},{"name":"Warren Pies","title":"Chief Investment Officer","crd":"6053520"}],"ownership":[{"label":"Smi Advisory Services, LLC","detail":"Owner in the 50% to 75% ownership band and a control person, since April 2024."},{"label":"3fourteen Research, LLC","detail":"Owner in the 50% to 75% ownership band and a control person, since August 2010."},{"label":"Marathon Partners, LLC","detail":"Indirect owner: a owner of Smi Advisory Services, LLC in the 50% to 75% band and a control person, since August 2005.","parent":"Smi Advisory Services, LLC"},{"label":"Omnium Investment Company, LLC","detail":"Indirect owner: a owner of Smi Advisory Services, LLC in the 25% to 50% band and a control person, since August 2005.","parent":"Smi Advisory Services, LLC"},{"label":"Warren Pies","detail":"Indirect owner: a owner of 3fourteen Research, LLC in the 25% to 50% band and a control person, since October 2020.","parent":"3fourteen Research, LLC"},{"label":"Fernando Vidal","detail":"Indirect owner: a owner of 3fourteen Research, LLC in the 25% to 50% band and a control person, since October 2020.","parent":"3fourteen Research, LLC"},{"label":"Amie Pies","detail":"Indirect owner: a owner of 3fourteen Research, LLC in the 25% to 50% band and a control person, since October 2020.","parent":"3fourteen Research, LLC"}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Indiana","offices":1,"addresses":[{"street":"4400 Ray Boll BLVD.","city":"Columbus","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"800-796-4975","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for investment companies"],"financialPlanningClients":null,"assetMix":[],"privateFunds":0},"sources":{"adv1FilingDate":"20 January 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/331301/PDF/331301.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does 3fourteen & Smi Advisory Services have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does 3fourteen & Smi Advisory Services offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does 3fourteen & Smi Advisory Services have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns 3fourteen & Smi Advisory Services?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does 3fourteen & Smi Advisory Services get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Is 3fourteen & Smi Advisory Services registered with the SEC?","answer":"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","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact 3fourteen & Smi Advisory Services?","answer":"3fourteen & Smi Advisory Services’ main office is at 4400 Ray Boll BLVD., Columbus, IN 47203. Its phone number is 800-796-4975.","source":"Form ADV Part 1A, Item 1.F, filed 20 January 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."}