Hedge Fund Database

SMH CAPITAL ADVISORS LLC

Adviser information for SMH CAPITAL ADVISORS LLC last updated from Form ADV on February 15th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Limited Liability Company
Fiscal Year End DECEMBER
Legal Location Texas, United States

Employees

Total Number of Employees 4
Investment Advisory/Research 4
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 2
Licensed Agents of an Insurance Company 2
No. of Firms/People that Solicit Clients 1

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 213 $381.5M
Non-Discretionary 207 $13.2M
Total 420 $394.7M

Clients

Type Number RAUM
Individuals 210 $49.7M
HNW Individuals 4 $5.1M
Banking or thrift institutions 0 $0
Investment companies 2 $32.1M
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans <5 $292.8M
Charitable organizations 0 $0
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies <5 $15.0M
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses <5 $0
Other 0 $0
Type Number
No. of Non-RAUM Clients 214
No. of Non-U.S. Clients 1
No. of Financial Planning Clients 0

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for businesses or institutional clientsPension consulting services
Compensation % of AUMHourly chargesCommissions
Other Business Activities Registered representative of a broker-dealerInsurance broker or agent

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 69.5M
Portfolio Manager 0
Both for Same 0
Portfolio Manager to Program Sponsor
MAC PROGRAM UBS
ENVESTNET SMA/UMA PROGRAM ENVESTNET ASSET MANAGEMENT
SMH CAPITAL INVESTMENTS PROGRAM SMH CAPITAL ADVISORS
MANAGED ACCOUNT UTILITY PLATFORM LOCKWOOD ADVISORS, INC.
HORIZON PROGRAM STIFEL NICOLAUS
PRIVATE ADVISORS NETWORK PROGRAM, FUNDSOURCE, PRIVATE INVESTMENT MANAGEMENT (PIM), ALLOCATION ADVISORS WELLS FARGO ADVISORS
INVESTMENT MANAGEMENT SERVICES (IMS) MORGAN STANLEY

Identifiers

SEC RIA File Number 801-54089
SEC ERA File Number 801-54089
SEC CIK Numbers 1180391
SEC CRD Numbers 108344
Legal Entity Identifier None

Principal Office

4200 S. HULEN ST.
SUITE 534
FORT WORTH
TX
United States
Monday - Friday, 8:30 AM TO 3:30 PM
Tel: 817-569-7000, Fax: 817-887-5812

Websites

www.smhca.com

Chief Compliance Officer

LISA HALEY
VICE PRESIDENT
4200 S. HULEN, SUITE 534
FORT WORTH
TX
United States
Tel: 817-569-7000
(Full email address available in API data)

Regulatory Contact

DWAYNE ALAN MOYERS
PRESIDENT, CHIEF INVESTMENT OFFICER, DIRECTOR
4200 S. HULEN ST.
SUITE 534
FORT WORTH
TX
United States
Tel: 817-569-7000
Fax: 8178875817
(Full email address available in API data)

Industry Affiliates

SMH CAPITAL INVESTMENTS LLC Broker-dealer, municipal securities dealer, or gov securities broker or dealerInsurance company or agency

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
MOYERS, DWAYNE, ALAN Individual – PRESIDENT, CHIEF INVESTMENT OFFICER AND BOARD OF MANAGERS(9/2015) 03/2012 < 5%
HALEY, LISA, CELESTE Individual – VICE PRESIDENT 07/2017 < 5%
MOYERS ORGANIZATION, LLC Domestic Entity – MEMBER 07/2017 > 75%
MOYERS, DWAYNE, ALAN Individual MOYERS ORGANIZATION, LLC MEMBER, MANAGER AND PRESIDENT 07/2017 > 75%
HALEY, LISA, CELESTE Individual – CHIEF COMPLIANCE OFFICER 07/2021 < 5%

No. Employees, Historic

105020192020202120222023202420259 on 4/23/20199 on 8/23/20197 on 3/30/20207 on 6/26/20208 on 3/31/20218 on 8/15/20218 on 3/24/20223 on 3/28/20233 on 6/1/20234 on 2/15/2024

RAUM, Historic

500M250M02019202020212022202320242025317636536 on 4/23/2019317636536 on 8/23/2019303104326 on 3/30/2020303104326 on 6/26/2020323119498 on 3/31/2021323119498 on 8/15/2021426686200 on 3/24/2022370511025 on 3/28/2023370511025 on 6/1/2023394700274 on 2/15/2024

No. Clients, Historic

60030002019202020212022202320242025574 on 4/23/2019574 on 8/23/2019333 on 3/30/2020333 on 6/26/2020285 on 3/31/2021285 on 8/15/2021429 on 3/24/2022247 on 3/28/2023247 on 6/1/2023220 on 2/15/2024

Holdings

From latest 13F, filed August 12th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
3M CO COM 399K 4K –
ADAMS DIVERSIFIED EQUITY FD COM 313K 15K –
AFC GAMMA INC COM 317K 26K –
ALLIANCEBERNSTEIN GLOBAL HIG COM 275K 26K –
ALLIANCEBERNSTEIN NATL MUN I COM 137K 12K –
APOLLO GLOBAL MGMT INC COM 1M 11K –
APPLE INC COM 209K 991 –
AT&T INC COM 499K 26K –
BLACKROCK CORPOR HI YLD FD I COM 280K 29K –
BLACKROCK CR ALLOCATION INCO COM 256K 24K –
BLACKROCK MULTI SECTOR INC T COM 196K 13K –
BLACKROCK MUNICIPAL INCOME COM 144K 12K –
CALAMOS STRATEGIC TOTAL RETU COM SH BEN INT 286K 17K –
CAPITAL SOUTHWEST CORP COM 421K 16K –
CARLYLE GROUP INC COM 636K 16K –
COHEN & STEERS QUALITY INCOM COM 192K 16K –
COMPASS DIVERSIFIED SH BEN INT 2M 72K –
EATON VANCE MUN BD FD COM 141K 13K –
EATON VANCE TAX ADVT DIV INC COM 229K 10K –
ENBRIDGE INC COM 552K 16K –
EZCORP INC NOTE 2.375% 5/0 2M 2M –
GABELLI DIVID & INCOME TR COM 232K 10K –
HELLO GROUP INC NOTE 1.250% 7/0 10K 10K –
INNOVATIVE INDL PPTYS INC COM 261K 2K –
ISHARES TR MSCI EAFE ETF 331K 4K –
JEFFERIES FINL GROUP INC COM 319K 6K –
KRAFT HEINZ CO COM 263K 8K –
MAIN STR CAP CORP COM 1M 20K –
NEXPOINT DIVERSIFIED REL ET COM NEW 334K 60K –
NUVEEN AMT FREE QLTY MUN INC COM 137K 12K –
NUVEEN QUALITY MUNCP INCOME COM 139K 12K –
ORION OFFICE REIT INC COM 114K 32K –
PENNANTPARK INVT CORP COM 781K 103K –
PROSPECT CAP CORP COM 560K 101K –
REALTY INCOME CORP COM 423K 8K –
RITHM CAPITAL CORP COM NEW 382K 35K –
STANDARD BIOTOOLS INC NOTE 2.750% 2/0 19K 19K –
TEMPLETON EMERGING MKTS INCO COM 121K 23K –
TRINITY CAP INC COM 352K 25K –
U S GLOBAL INVS INC CL A 280K 107K –
UPSTART HLDGS INC NOTE 0.250% 8/1 2M 3M –
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 336K 8K –
VERIZON COMMUNICATIONS INC COM 487K 12K –
VICI PPTYS INC COM 802K 28K –
VICTORY CAP HLDGS INC COM CL A 286K 6K –
VIRTUS EQUITY & CONV INCM FD COM 285K 12K –
WISDOMTREE INC COM 181K 18K –
WISDOMTREE INC NOTE 3.250% 6/1 10M 9M –
WISDOMTREE INC NOTE 5.750% 8/1 2M 1M –