SourcingSourcing

3FOURTEEN & SMI ADVISORY SERVICES, LLC

C44
CRD 331301·SEC 801-130295·COLUMBUS, IN
AUM
$723.0M
$500M-$1B
Est. Revenue
$7.2M
@ 1% on AUM
Est. EBITDA
$2.2M
@ 30% margin
Est. Deal Value
$17.4M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
3FOURTEEN & SMI ADVISORY SERVICES, LLC
CRD
331301
SEC file #
801-130295
EIN
—
DBA names
—

Economics

AUM
$723.0M
AUM band
$500M-$1B
AUM trajectory
'25'26
$840.0M → $723.0M▼ -14%
Client mix
Investment Companies2

Operations

Employees (total)
6
Advisory staff (per ADV)
6
Advisory staff (5-yr trend)
'25'26
6 advisors → 6 advisors▬ 0%
Primary office
COLUMBUS IN
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Portfolio mgmt — investment companies
Fee basis
% of AUM

Filings

Latest ADV filing
01/20/2026
ADV-W filed at
—
Website
—

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
3FOURTEEN RESEARCH, LLC
Top Owner Pct
62.5
Top Owner Entity Kind
DE
Owner Count
6
Control Persons
3FOURTEEN RESEARCH, LLC
SMI ADVISORY SERVICES, LLC
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.2566
Soi Zip Pct 200k Plus
0.0613
Soi Zip Returns 200k Plus
810
Soi Zip Total AGI
1,063,815
Fdic Zip Total Deposits
3,190,127,000
Fdic Zip Branch Count
102
Fdic Zip Top Banks
Old National Bank
Indiana Bank and Trust Company

Compliance & brand

Firm Registration Status
active

All other collected signals (18)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
0
Bc Firm IAR Count
0
Custodian Candidates
Full
E*trade4
Fdic Zip Branches Raw
Irwin Union Bank and Trust CompanyColumbus, IN
Columbus Bank and Trust CompanyColumbus, IN
Fdic Zip HHI
2014.28
Fdic Zip Top Bank Share Pct
37.82
Fdic Zip Year
2025
Firm Has Custody
No
Mailing Office Differs
No
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI41,832
Returns3,650
Stub 2
AGI103,248
Returns2,770
Stub 3
AGI125,230
Returns2,030
Soi Zip Total Business Income
23,320
Soi Zip Total Cap Gains
33,795
Soi Zip Total Dividends
21,193
Soi Zip Total Returns
13,210
Trust Company Affiliate
No

People (5)

5
SMI ADVISORY SERVICES, LLC
Direct Owner · 62.5%
137872
BEERWART, FREDERICK, JACOB
Executive Officer · 2.5%
5052175
BILLER, MARK, ANDREW
Executive Officer · 2.5%
5052164
COLLIER, ERIC, STEPHEN
Executive Officer · 2.5%
5052172
WARREN ANDREW PIES
Executive Officer · 2.5%
6053520