Firm profile

3fourteen & Smi Advisory Services, LLC

COLUMBUS, INCRD 331301Registration Status: ApprovedEffective since May 17, 2024SEC # 801-130295Latest ADV January 20, 2026

3Fourteen & Smi Advisory Services, LLC is an SEC registered investment adviser organized as a limited liability company with a primary office location in Columbus, IN. Its latest Form ADV filing, dated January 20, 2026, reports $723M in regulatory assets under management, 6 employees, 1 office, and 2 accounts.

Assets Under Management
$723M
Employees
6
Offices
1 office
Total Clients
<5

Associated firm names

1 name listed
  • 3FOURTEEN & SMI ADVISORY SERVICES, LLC

Leadership

3 roles identified
CEOMark A. Biller
CCOFrederick J. Beerwart
CIOWarren A. Pies

Advisory services offered

1 types reported
Portfolio management for investment companies

Fee models offered

1 types reported
Asset based fees

Offices & Contact

Primary office

COLUMBUS, Indiana, United States

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Primary office regionOther reported regions

Shading shows states and countries with reported offices. Cities are listed below; shading does not indicate service coverage.

Indiana

COLUMBUSPrimary office

1 office records listed · 1 total offices reported. Counts can use different reporting dates. SEC filers may list only their largest 25 additional offices.

Contact and digital presence

ADV profile links
Phone800-796-4975
WebsiteNot found
LinkedInNot found

Regulatory Assets Under Management Breakdown

Total regulatory assets under management$723Mas of January 20, 2026
Discretionary100.0%
$723M
100% of total RAUM100.0%
Non-discretionary0.0%
$0
0% of total RAUM0.0%
All regulatory assets under management are discretionary.

Client Coverage Demographics

Top client segmentInvestment Cos. represent 100.0% of total clients.
Top client categories% of clientsClients
1
Investment Cos.
100.0%
2

Assets under management Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total AUM$723M
Total Accounts2
10Y AUM Change+$723M

Private Funds

Private funds reported by 3fourteen & Smi Advisory Services, LLC

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Employee Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total Employees6
Clients per Employee0:1
10Y Employee Change+1 (+20.0%)

Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.


Ownership

Reported direct and indirect ownership ranges

Each range applies to a separate reported relationship and should not be added together.

Reported ownership ranges

Highlighted bands show the percentage range reported in Form ADV.

0%25%50%75%100%
SMI ADVISORY SERVICES, LLCDirect owner · Schedule AInterest in 3FOURTEEN & SMI ADVISORY SERVICES, LLC
50% to < 75%
3FOURTEEN RESEARCH, LLCDirect owner · Schedule AInterest in 3FOURTEEN & SMI ADVISORY SERVICES, LLC
50% to < 75%
MARATHON PARTNERS, LLCIndirect owner · Schedule BInterest in SMI ADVISORY SERVICES, LLC
50% to < 75%
OMNIUM INVESTMENT COMPANY, LLCIndirect owner · Schedule BInterest in SMI ADVISORY SERVICES, LLC
25% to < 50%
WARREN ANDREW PIESIndirect owner · Schedule BInterest in 3FOURTEEN RESEARCH, LLC
25% to < 50%
FERNANDO RAUL VIDALIndirect owner · Schedule BInterest in 3FOURTEEN RESEARCH, LLC
25% to < 50%
Amie PiesIndirect owner · Schedule BInterest in 3FOURTEEN RESEARCH, LLC
25% to < 50%

Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to 3fourteen & Smi Advisory Services, LLC.

Reported ownership and control details

Form ADV · Filing date 2026-01-20 · Schedules A and B

11 entries
#Owner / person & roleInterest in entityReported interestControl personTitle / status acquiredSource
1SMI ADVISORY SERVICES, LLCOWNERDomestic entity3FOURTEEN & SMI ADVISORY SERVICES, LLC50% to less than 75%Code DYesOWNER04/2024Schedule APDF page 19
2FREDERICK JACOB BEERWARTCHIEF COMPLIANCE OFFICERIndividual3FOURTEEN & SMI ADVISORY SERVICES, LLCLess than 5%Code NAYesCHIEF COMPLIANCE OFFICER04/2024Schedule APDF page 19
33FOURTEEN RESEARCH, LLCOWNERDomestic entity3FOURTEEN & SMI ADVISORY SERVICES, LLC50% to less than 75%Code DYesOWNER08/2010Schedule APDF page 19
4MARK ANDREW BILLERCHIEF EXECUTIVE OFFICERIndividual3FOURTEEN & SMI ADVISORY SERVICES, LLCLess than 5%Code NAYesCHIEF EXECUTIVE OFFICER04/2024Schedule APDF page 19
5WARREN ANDREW PIESCHIEF INVESTMENT OFFICERIndividual3FOURTEEN & SMI ADVISORY SERVICES, LLCLess than 5%Code NAYesCHIEF INVESTMENT OFFICER04/2024Schedule APDF page 19
6ERIC STEPHEN COLLIERPORTFOLIO MANAGERIndividual3FOURTEEN & SMI ADVISORY SERVICES, LLCLess than 5%Code NAYesPORTFOLIO MANAGER04/2024Schedule APDF page 19
7MARATHON PARTNERS, LLCOWNERDomestic entitySMI ADVISORY SERVICES, LLC50% to less than 75%Code DYesOWNER08/2005Schedule BPDF page 19
8OMNIUM INVESTMENT COMPANY, LLCOWNERDomestic entitySMI ADVISORY SERVICES, LLC25% to less than 50%Code CYesOWNER08/2005Schedule BPDF page 20
9WARREN ANDREW PIESOWNERIndividual3FOURTEEN RESEARCH, LLC25% to less than 50%Code CYesOWNER10/2020Schedule BPDF page 20
10FERNANDO RAUL VIDALOWNERIndividual3FOURTEEN RESEARCH, LLC25% to less than 50%Code CYesOWNER10/2020Schedule BPDF page 20
11Amie PiesOWNERIndividual3FOURTEEN RESEARCH, LLC25% to less than 50%Code CYesOWNER10/2020Schedule BPDF page 20

Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.

Compliance & Disclosures

Filing dated 1/20/2026 1:52:43 PM

Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.

RIA or supervised-person involvementThe RIA reported that none of the events below involve the firm or its supervised persons.RIA responseNo
AFelonies2 No

In the past ten years, have you or any advisory affiliate:

  • A1Been convicted of or pleaded guilty or no contest to a felony?No
  • A2Been charged with a felony?No
BMisdemeanors2 No

In the past ten years, have you or any advisory affiliate:

  • B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?No
  • B2Been charged with a misdemeanor of the kind listed above?No
CSEC or CFTC actions5 No

Has the SEC or CFTC ever:

  • C1Found you or an advisory affiliate made a false statement or omission?No
  • C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?No
  • C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • C4Entered an order against you or an advisory affiliate in connection with investment-related activity?No
  • C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?No
DOther regulatory actions5 No

Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:

  • D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?No
  • D2Found you or an advisory affiliate violated investment-related regulations or statutes?No
  • D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?No
  • D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?No
ESelf-regulatory organization actions4 No

Has a self-regulatory organization or commodities exchange ever:

  • E1Found you or an advisory affiliate made a false statement or omission?No
  • E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?No
  • E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?No
FProfessional authorizations1 No
  • FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?No
GPending regulatory proceedings1 No
  • GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?No
HCivil judicial actions and proceedings4 No

(1) Court actions

Has a domestic or foreign court:

  • H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?No
  • H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?No
  • H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?No

(2) Pending civil proceedings

  • H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?No

* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.