SANDERS MORRIS HARRIS LLC
Q1 2022 Form 13-F

HOUSTON, TEXAS
CIK 0001053994 · CRD 20580 · SEC-registered investment adviser
$513.3M Reported Value Total

SANDERS MORRIS LLC reports 529 total accounts under management (AUM). There are 529 discretionary accounts valued at $647,776,000, and 0 non-discretionary accounts.

Source: Form ADV filed * Note that certain holdings are exempt from Form 13-F reporting, so the AUM totals may be greater than the Form 13-F total.
SEC Registered Discretionary & Non-Discretionary
Firm Brochure (Part 2A)
Source: Form ADV filed 2026-03-31
Reported value
$513.3M
Quarter over quarter
-5.6%
Holdings
301
Top-10 concentration
43.0%

Filing Structure

Reports holdings for

  • MILLER GREEN FINANCIAL SERVICES INC /ADV (not a 13F filer in our records) · File #028-16804 · Q1 2016 – Q4 2018
  • SMH CAPITAL ADVISORS INC · File #028-10258 · Q1 2016 – Q3 2016 · declared by one filing
  • Rikoon Group, LLC (not a 13F filer in our records) · File #028-15479 · Q1 2016 – Q1 2016

Holdings reported by

  • Rikoon Group LLC (not a 13F filer in our records) · Q3 2016 – Q1 2021 · declared by one filing
  • Kissinger Financial Services LLC (not a 13F filer in our records) · Q3 2016 – Q2 2017 · declared by one filing
  • Pinnacle Summer Investments Inc · Q2 2013 – Q4 2015 · declared by one filing

Key People

Form ADV owners & control persons
Arthur Haag Sherman
OWNER
George Lester Ball
REGISTERED ASSOCIATE
David William Block
OPERATIONS MANAGER
Q4 2021
Q2 2022
Go to latest

Coverage begins with the second quarter of 2013. Earlier quarters are not shown while their accuracy is being verified.

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Q1 2022 13F filing summary

Period of report March 31, 2022
Filed April 11, 2022
Form 13F-HR
Reported value $513.3M
Positions 301
Change in reported value -11.2%
New positions 31
Exited positions 65
Position turnover 26.2%
Top-10 concentration 43.0%

13F filings by quarter

Quarter Positions Value
Q3 2026 13F
Filed Oct 14, 2026
 325 $755.1M
Q2 2026 13F
Filed Jul 7, 2026
 75 $172.4M
Q1 2026 13F
Filed Apr 9, 2026
 297 $630.8M
Q4 2025 13F
Filed Jan 8, 2026
 35 $64.7M
Q3 2025 13F
Filed Oct 7, 2025
 308 $758.2M
Q2 2025 13F
Filed Jul 30, 2025
 162 $418.7M
Q1 2025 13F
Filed Apr 9, 2025
 288 $647.4M
Q4 2024 13F
Filed Jan 15, 2025
 291 $669.9M
Q3 2024 13F
Filed Oct 9, 2024
 287 $602.9M
Q2 2024 13F
Filed Jul 12, 2024
 289 $609.0M
Q1 2024 13F
Filed Apr 11, 2024
 276 $544.7M
Q4 2023 13F
Filed Jan 10, 2024
 162 $203.4M
Q3 2023 13F
Filed Oct 5, 2023
 256 $486.8M
Q2 2023 13F
Filed Jul 11, 2023
 253 $451.7M
Q1 2023 13F
Filed Apr 7, 2023
 142 $286.2M
Q4 2022 13F
Filed Jan 13, 2023
 208 $264.1M
Q3 2022 13F
Filed Oct 7, 2022
 293 $408.3M
Q2 2022 13F
Filed Jul 11, 2022
 288 $457.1M
Q1 2022 13F
Filed Apr 11, 2022
 301 $513.3M
Q4 2021 13F
Filed Feb 2, 2022
 336 $578.2M

23 earlier quarters on file — choose one from the quarter menu above.

Top 20 holdings · Q1 2022

# Holding Reported value % of portfolio
1 QQQ INVESCO QQQ TR $60.8M 11.84%
2 BX BLACKSTONE INC $46.9M 9.14%
3 AAPL APPLE INC $21.3M 4.15%
4 CSWC CAPITAL SOUTHWEST CORP $17.5M 3.41%
5 EPD ENTERPRISE PRODS PARTNERS L $14.9M 2.9%
6 ARKK ARK ETF TR $12.9M 2.52%
7 ROCGU ROTH CH ACQUISITION IV CO $12.0M 2.33%
8 ELAN ELANCO ANIMAL HEALTH INC $11.7M 2.28%
9 PAVE GLOBAL X FDS $11.4M 2.21%
10 ROCL ROTH CH ACQUISITION V CO $11.3M 2.21%
11 MAIN MAIN STR CAP CORP $11.2M 2.18%
12 RSVR RESERVOIR MEDIA INC $10.4M 2.03%
13 IWR ISHARES TR $8.7M 1.7%
14 JPM JPMORGAN CHASE & CO $7.8M 1.51%
15 MA MASTERCARD INCORPORATED $6.4M 1.24%
16 HWKZ HAWKS ACQUISITION CORP $6.0M 1.16%
17 NVDA NVIDIA CORPORATION $5.5M 1.07%
18 CTAS CINTAS CORP $5.3M 1.02%
19 GM GENERAL MTRS CO $4.9M 0.95%
20 BRK-A BERKSHIRE HATHAWAY INC DEL $4.8M 0.93%

Values as reported on the Q1 2022 Form 13F. Every position is in the holdings table below.

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