DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

SEC-registered adviser

3fourteen & Smi Advisory Services, LLC

Asset manager (funds and pooled vehicles)Columbus, IndianaCRD 331301SEC 801-130295IAPD
Latest filing Jan 20, 2026
First filing on the tape Apr 17, 2024 · 7 filings
SEC status approved since May 17, 2024
RAUM
$723M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$723M as of Jan 20, 2026
Jan 10, 2025$446M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 20, 2026
Jan 10, 20250 then
Employees (5.A)6 as of Jan 20, 2026
Jan 10, 20256 then
Private funds: no history
RAUM +62% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jan 20, 2026; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$362MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+62%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$723M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Jacob Frederick Beerwart · Chief Compliance Officercontrol
        since 04/2024 · owns less than 5%
      • Andrew Mark Biller · Chief Executive Officercontrol
        since 04/2024 · owns less than 5%
      • Stephen Eric Collier · Portfolio Managercontrol
        since 04/2024 · owns less than 5%
      • Andrew Warren Pies · Chief Investment Officercontrol
        since 04/2024 · owns less than 5%
      • Amie Pies · Ownercontrol
        since 10/2020 · owns 25% to 50% of 3fourteen Research, LLC
      • Andrew Warren Pies · Ownercontrol
        since 10/2020 · owns 25% to 50% of 3fourteen Research, LLC
      • Raul Fernando Vidal · Ownercontrol
        since 10/2020 · owns 25% to 50% of 3fourteen Research, LLC
      Entity owners
      • 3fourteen Research, LLC · Owner
        direct · owns 50% to 75%
      • Smi Advisory Services, LLC · Owner
        direct · owns 50% to 75%
      • Marathon Partners, LLC · Owner
        indirect · owns 50% to 75% of Smi Advisory Services, LLC
      • Omnium Investment Company, LLC · Owner
        indirect · owns 25% to 50% of Smi Advisory Services, LLC
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $840M to $723M
        Jun 3, 2025 to Jan 20, 2026
      • RAUM · $840M to $723M
        Jun 3, 2025 to Jan 20, 2026
      • Accounts · 1 to 2
        Jan 10, 2025 to Jun 3, 2025
      • Financial planning clients · unset to
        Jan 10, 2025 to Jun 3, 2025
      • Discretionary RAUM · $446M to $840M
        Jan 10, 2025 to Jun 3, 2025
      • RAUM · $446M to $840M
        Jan 10, 2025 to Jun 3, 2025
      • Advisory employees · 5 to 6
        Nov 16, 2024 to Jan 10, 2025
      • Employees · 7 to 6
        Nov 16, 2024 to Jan 10, 2025
      • Discretionary RAUM · $471M to $446M
        Nov 16, 2024 to Jan 10, 2025
      • RAUM · $471M to $446M
        Nov 16, 2024 to Jan 10, 2025
      • Employees · 6 to 7
        Jul 23, 2024 to Nov 16, 2024
      • Advisory employees · 3 to 5
        Jul 23, 2024 to Nov 16, 2024
      • BD registered reps · 2 to 0
        Jul 23, 2024 to Nov 16, 2024
      • Discretionary RAUM · $160M to $471M
        Jul 23, 2024 to Nov 16, 2024
      • RAUM · $160M to $471M
        Jul 23, 2024 to Nov 16, 2024
      • Accounts · 0 to 1
        Apr 24, 2024 to Jul 23, 2024
      • Employees · 5 to 6
        Apr 24, 2024 to Jul 23, 2024
      • Discretionary RAUM · $0 to $160M
        Apr 24, 2024 to Jul 23, 2024
      • RAUM · $0 to $160M
        Apr 24, 2024 to Jul 23, 2024
      • Advisory activities · 3 to 1
        Apr 17, 2024 to Apr 24, 2024
      Signals
      5 dated events
      • 3Fourteen & Smi Advisory Services, Llc reported RAUM $840.0M, up 88% from $446.0M (2025-01-10 to 2025-06-03)
        Jun 3, 2025 · RAUM change · derived
      • 3Fourteen & Smi Advisory Services, Llc reported RAUM $470.8M, up 194% from $160.0M (2024-07-23 to 2024-11-16)
        Nov 16, 2024 · RAUM change · derived
      • Andrew Mark Biller (Chief Executive Officer) appeared on Schedule A of 3Fourteen & Smi Advisory Services, Llc
        Apr 24, 2024 · Control person joined · fact
      • Stephen Eric Collier (Portfolio Manager) appeared on Schedule A of 3Fourteen & Smi Advisory Services, Llc
        Apr 24, 2024 · Control person joined · fact
      • 3Fourteen & Smi Advisory Services, Llc filed its initial SEC registration (Form ADV)
        Apr 17, 2024 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      How to reach
      public business contact points only, each with its source
      Principal office phone
      800-796-4975reportedpublic record, Form ADV, Jan 20, 2026
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026