AdvisorCensus / Financial advisors / Indiana / Columbus / 3FOURTEEN & SMI Advisory Services, LLC
3FOURTEEN & SMI Advisory Services, LLC
Filed as 3FOURTEEN & SMI ADVISORY SERVICES, LLC
3FOURTEEN & SMI Advisory Services, LLC is an SEC-registered investment advisory firm in Columbus, IN, registered since 2024, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated January 20, 2026.
Quick answers
From the filingHow is 3FOURTEEN & SMI Advisory Services, LLC compensated?
On its Form ADV (Item 5.E, October 2026), 3FOURTEEN & SMI Advisory Services, LLC reports these compensation arrangements: a percentage of assets under its management.
Where is 3FOURTEEN & SMI Advisory Services, LLC located?
3FOURTEEN & SMI Advisory Services, LLC's principal office is in Columbus, IN, according to its Form ADV.
Is 3FOURTEEN & SMI Advisory Services, LLC registered with the SEC or a state?
3FOURTEEN & SMI Advisory Services, LLC is an SEC-registered investment advisory firm, registered since 2024. Status as filed: Approved. CRD 331301.
How much does 3FOURTEEN & SMI Advisory Services, LLC manage?
3FOURTEEN & SMI Advisory Services, LLC reports $723,000,000 in regulatory assets under management in its Form ADV filing dated January 20, 2026 (100% discretionary).
How have 3FOURTEEN & SMI Advisory Services, LLC's assets and staff changed since 2024?
In the Form ADV data for 3FOURTEEN & SMI Advisory Services, LLC: Regulatory assets under management: $160,000,000 in the October 2024 data and $723,000,000 in the October 2026 data, up 352%. Total employees: 6 in October 2024 and 6 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does 3FOURTEEN & SMI Advisory Services, LLC serve?
By number of clients on Form ADV Item 5.D: investment companies (2).
Does 3FOURTEEN & SMI Advisory Services, LLC report any disciplinary disclosures?
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/331301
What changed in 3FOURTEEN & SMI Advisory Services, LLC's recent Form ADV filings?
In the February 2026 filing data: Regulatory assets under management went from $840,000,000 to $723,000,000 (-14%).
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Regulatory assets under management
Item 5.F$723,000,000 as of October 2026, filing dated January 20, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Portfolio management for investment companies (and business development companies)
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2024 (2 years)
- Employees
- Total: 6. Performing investment advisory functions: 6.
- Wrap fee program participation
- No.
- States registered or notice-filed
-
2 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $723,000,000 | 6 | January 20, 2026 |
| October 2025 | $840,000,000 | 6 | June 3, 2025 |
| October 2024 | $160,000,000 | 6 | July 23, 2024 |
Regulatory assets under management: $160,000,000 in the October 2024 data and $723,000,000 in the October 2026 data, up 352%.
Total employees: 6 in October 2024 and 6 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- February 2026
- Regulatory assets under management went from $840,000,000 to $723,000,000 (-14%).
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.INot reported.
Source: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. 3FOURTEEN & SMI Advisory Services, LLC (CRD 331301): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/3fourteen-and-smi-advisory-services-llc-columbus-in-331301