# 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.

- CRD: 331301
- Filed as: 3FOURTEEN & SMI ADVISORY SERVICES, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Columbus, IN
- Filing period: October 2026
- Form ADV filing dated: January 20, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/331301
- AdvisorCensus page: https://advisorcensus.com/firm/3fourteen-and-smi-advisory-services-llc-columbus-in-331301

## Quick answers

**How 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. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**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

### Compensation (Item 5.E)
- A percentage of assets under your management

### Regulatory assets under management (Item 5.F)
- Total: $723,000,000
- Discretionary: $723,000,000
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Investment companies | 2 | $723,000,000 |

### Advisory services (Item 5.G)
- Portfolio management for investment companies (and business development companies)

### Firm details
- Registered since: 2024 (2 years)
- Employees: 6 total, 6 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: FL, IN
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2024 | $160,000,000 | 6 | July 23, 2024 |
| October 2025 | $840,000,000 | 6 | June 3, 2025 |
| October 2026 | $723,000,000 | 6 | January 20, 2026 |

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.

## Changes in the filing (last 12 months)

### February 2026
- Regulatory assets under management went from $840,000,000 to $723,000,000 (-14%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. 3FOURTEEN & SMI Advisory Services, LLC (CRD 331301): Form ADV filing data as of October 2026.