3FOURTEEN & SMI ADVISORY SERVICES, LLC

Overview

3fourteen & Smi Advisory Services, LLC is an SEC-registered adviser that concentrates on portfolio management for investment companies and serves institutional clients under a percentage-of-AUM fee model. The firm operates as a limited liability company with domestic ownership and is classified as an unclassified adviser. Its public filing indicates discretionary authority over client portfolios, meaning it makes investment decisions and implements them on behalf of its mandates. The firm is not positioned as an ESG-focused manager, does not report multi-state adviser status, and is not identified as a capital allocator. Its industry affiliation is listed as an "other investment adviser," suggesting a narrow, specialized service set rather than broad retail distribution. Registration with the SEC in 2024 formalizes its regulatory standing for handling institutional investment company mandates.

Assets & Accounts

Location & Offices