{
  "crd_number": 331301,
  "slug": "3fourteen-and-smi-advisory-services-llc-columbus-in-331301",
  "primary_business_name": "3FOURTEEN & SMI ADVISORY SERVICES, LLC",
  "legal_name": "3FOURTEEN & SMI ADVISORY SERVICES, LLC",
  "dbas": [],
  "city": "Columbus",
  "state": "IN",
  "country": "United States",
  "cbsa_code": "18020",
  "metro": {
    "cbsa_code": "18020",
    "common_name": "Columbus",
    "msa_name": "Columbus, IN",
    "path": "/advisors/in/columbus"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2024-05-17",
  "years_registered": 2,
  "period": "2026-10-01",
  "filing_date": "2026-01-20",
  "carried_forward": false,
  "raum_total": 723000000.0,
  "raum_discretionary": 723000000.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "500m_1b",
  "raum_band_label": "$500 million to $1 billion",
  "total_employees": 6,
  "advisory_employees": 6,
  "client_count_bucket": null,
  "clients_by_type": {
    "investment_companies": {
      "raum": 723000000.0,
      "count": 2
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "portfolio_management_investment_companies"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "FL",
    "IN"
  ],
  "websites": [],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/331301",
  "city_as_filed": "COLUMBUS",
  "url": "https://advisorcensus.com/firm/3fourteen-and-smi-advisory-services-llc-columbus-in-331301",
  "display_name": "3FOURTEEN & SMI Advisory Services, LLC",
  "summary": "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.",
  "citation": "AdvisorCensus. 3FOURTEEN & SMI Advisory Services, LLC (CRD 331301): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Portfolio management for investment companies (and business development companies)"
  ],
  "quick_answers": [
    {
      "q": "How is 3FOURTEEN & SMI Advisory Services, LLC compensated?",
      "a": "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."
    },
    {
      "q": "Where is 3FOURTEEN & SMI Advisory Services, LLC located?",
      "a": "3FOURTEEN & SMI Advisory Services, LLC's principal office is in Columbus, IN, according to its Form ADV."
    },
    {
      "q": "Is 3FOURTEEN & SMI Advisory Services, LLC registered with the SEC or a state?",
      "a": "3FOURTEEN & SMI Advisory Services, LLC is an SEC-registered investment advisory firm, registered since 2024. Status as filed: Approved. CRD 331301."
    },
    {
      "q": "How much does 3FOURTEEN & SMI Advisory Services, LLC manage?",
      "a": "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)."
    },
    {
      "q": "How have 3FOURTEEN & SMI Advisory Services, LLC's assets and staff changed since 2024?",
      "a": "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."
    },
    {
      "q": "What types of clients does 3FOURTEEN & SMI Advisory Services, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: investment companies (2)."
    },
    {
      "q": "Does 3FOURTEEN & SMI Advisory Services, LLC report any disciplinary disclosures?",
      "a": "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"
    },
    {
      "q": "What changed in 3FOURTEEN & SMI Advisory Services, LLC's recent Form ADV filings?",
      "a": "In the February 2026 filing data: Regulatory assets under management went from $840,000,000 to $723,000,000 (-14%)."
    }
  ],
  "filing_history": [
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 160000000.0,
      "total_employees": 6,
      "filing_date": "2024-07-23"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 840000000.0,
      "total_employees": 6,
      "filing_date": "2025-06-03"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 723000000.0,
      "total_employees": 6,
      "filing_date": "2026-01-20"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-02-01",
      "period_label": "February 2026",
      "notes": [
        "Regulatory assets under management went from $840,000,000 to $723,000,000 (-14%)."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/3fourteen-and-smi-advisory-services-llc-columbus-in-331301.md",
  "clients": [
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 2,
      "fewer_than_5": false,
      "raum": 723000000.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/331301",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}