3 Fourteen & Smi Advisory Services, Llc
- Regulatory AUM
- $723M
- Discretionary
- $723M
- Clients
- 2
- Avg AUM / client
- $362M
- Accounts
- 2
- Employees
- 6
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Jan 20, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Investment companies | 2 | $723M | 100.0% |
People (6)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Pies, Warren, Andrew | Owner | Oct 2020 (6y) | ≈ 12.5% – 37.5% via 3 Fourteen Research, Llc | |
| Pies, Amie | Owner | Oct 2020 (6y) | ≈ 12.5% – 37.5% via 3 Fourteen Research, Llc | |
| Vidal, Fernando, Raul | Owner | Oct 2020 (6y) | ≈ 12.5% – 37.5% via 3 Fourteen Research, Llc | |
| Beerwart, Frederick, Jacob | Chief Compliance Officer | Apr 2024 (2y) | Less than 5% | |
| Biller, Mark, Andrew | Chief Executive Officer | Apr 2024 (2y) | Less than 5% | |
| Eric Stephen Collier | Portfolio Manager | CFA | Apr 2024 (2y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Smi Advisory Services, Llc | Owner | Apr 2024 | A | 50% – 75% |
| 3 Fourteen Research, Llc | Owner | Aug 2010 | A | 50% – 75% |
| Marathon Partners, Llc | Owner | Aug 2005 | B | ≈ 25% – 56.25% via Smi Advisory Services, Llc |
| Omnium Investment Company, Llc | Owner | Aug 2005 | B | ≈ 12.5% – 37.5% via Smi Advisory Services, Llc |
Estimated effective ownership (look-through of filed bands):
- Pies, Warren, Andrew: 25% – 50% of 3 Fourteen Research, Llc × 50% – 75% direct ≈ 12.5% – 37.5% of the firm
- Pies, Amie: 25% – 50% of 3 Fourteen Research, Llc × 50% – 75% direct ≈ 12.5% – 37.5% of the firm
- Vidal, Fernando, Raul: 25% – 50% of 3 Fourteen Research, Llc × 50% – 75% direct ≈ 12.5% – 37.5% of the firm
- Marathon Partners, Llc: 50% – 75% of Smi Advisory Services, Llc × 50% – 75% direct ≈ 25% – 56.25% of the firm
- Omnium Investment Company, Llc: 25% – 50% of Smi Advisory Services, Llc × 50% – 75% direct ≈ 12.5% – 37.5% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 01/20/2026 | 985 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for investment companies
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jan 20, 2026.
View current Form ADV (SEC/IAPD) ↗