SMH CAPITAL ADVISORS INC
Q3 2023 Form 13-F
FORT WORTH, TEXAS
CIK 0001180391
· CRD 108344
· SEC-registered investment adviser
$42.8M Reported Value Total
SMH CAPITAL ADVISORS LLC reports 247 total accounts under management (AUM). There are 247 discretionary accounts valued at $370,511,025, 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.
Source: Form ADV filed 2026-09-29
Reported value
$42.8M
Quarter over quarter
+1.9%
Holdings
38
Top-10 concentration
82.9%
Filing Structure
Holdings reported by
- SANDERS MORRIS HARRIS LLC · Q1 2016 – Q3 2016 · declared by one filing
- Pinnacle Summer Investments Inc · Q2 2013 – Q4 2015 · declared by one filing
Key People
Form ADV owners & control persons
Dwayne Alan Moyers
MEMBER, MANAGER AND PRESIDENT
Lisa Celeste Haley
CHIEF COMPLIANCE OFFICER
Filing Navigation
Coverage begins with the second quarter of 2013. Earlier quarters are not shown while their accuracy is being verified.
13F Metrics
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Q3 2023 13F record
Q3 2023 13F filing summary
| Period of report | September 30, 2023 |
|---|---|
| Filed | November 08, 2023 |
| Form | 13F-HR |
| Reported value | $42.8M |
| Positions | 38 |
| Change in reported value | -7.3% |
| New positions | 3 |
| Exited positions | 13 |
| Position turnover | 31.4% |
| Top-10 concentration | 82.9% |
13F filings by quarter
| Quarter | Positions | Value |
|---|---|---|
|
Q3 2026 13F
Filed Oct 29, 2026
|
56 | $26.4M |
|
Q2 2026 13F
Filed Aug 5, 2026
|
54 | $25.5M |
|
Q1 2026 13F
Filed Apr 10, 2026
|
56 | $35.4M |
|
Q4 2025 13F
Filed Feb 12, 2026
|
55 | $49.1M |
|
Q3 2025 13F
Filed Nov 13, 2025
|
51 | $49.0M |
|
Q2 2025 13F
Filed Aug 6, 2025
|
46 | $44.1M |
|
Q1 2025 13F
Filed May 8, 2025
|
45 | $43.0M |
|
Q4 2024 13F
Filed Feb 12, 2025
|
45 | $41.4M |
|
Q3 2024 13F
Filed Nov 8, 2024
|
43 | $32.4M |
|
Q2 2024 13F
Filed Aug 12, 2024
|
49 | $32.7M |
|
Q1 2024 13F
Filed May 13, 2024
|
43 | $37.1M |
|
Q4 2023 13F
Filed Feb 6, 2024
|
40 | $46.1M |
|
Q3 2023 13F
Filed Nov 8, 2023
|
38 | $42.8M |
|
Q2 2023 13F
Filed Aug 8, 2023
|
54 | $46.2M |
|
Q1 2023 13F
Filed May 15, 2023
|
51 | $16.8M |
|
Q4 2022 13F
Filed Feb 14, 2023
|
64 | $68.6M |
|
Q3 2022 13F
Filed Nov 3, 2022
|
61 | $67.0M |
|
Q2 2022 13F
Filed Jul 27, 2022
|
63 | $74.2M |
|
Q1 2022 13F
Filed May 4, 2022
|
56 | $61.6M |
|
Q4 2021 13F
Filed Feb 2, 2022
|
54 | $50.5M |
16 earlier quarters on file — choose one from the quarter menu above.
Top 20 holdings · Q3 2023
| # | Holding | Reported value | % of portfolio |
|---|---|---|---|
| 1 | NIO 0.5 02/01/27 NIO INC | $11.3M | 26.29% |
| 2 | WT 3.25 06/15/26 WISDOMTREE INC | $9.2M | 21.42% |
| 3 | FUBO 3.25 02/15/26 FUBOTV INC | $8.4M | 19.57% |
| 4 | EZPW 2.375 05/01/25 EZCORP INC | $1.9M | 4.52% |
| 5 | CODI COMPASS DIVERSIFIED | $1.4M | 3.17% |
| 6 | APO APOLLO GLOBAL MGMT INC | $1.1M | 2.56% |
| 7 | MAIN MAIN STR CAP CORP | $738.0K | 1.72% |
| 8 | PSEC PROSPECT CAP CORP | $609.0K | 1.42% |
| 9 | HCF NEXPOINT DIVERSIFIED REL ET | $495.0K | 1.16% |
| 10 | VICI VICI PPTYS INC | $443.0K | 1.03% |
| 11 | IBM INTERNATIONAL BUSINESS MACHS | $430.0K | 1.0% |
| 12 | VZ VERIZON COMMUNICATIONS INC | $413.0K | 0.96% |
| 13 | T AT&T INC | $395.0K | 0.92% |
| 14 | CSWC CAPITAL SOUTHWEST CORP | $390.0K | 0.91% |
| 15 | GROW U S GLOBAL INVS INC | $323.0K | 0.75% |
| 16 | AFCG AFC GAMMA INC | $305.0K | 0.71% |
| 17 | QQQ INVESCO QQQ TR | $286.0K | 0.67% |
| 18 | KHC KRAFT HEINZ CO | $278.0K | 0.65% |
| 19 | NIE VIRTUS EQUITY & CONV INCM FD | $267.0K | 0.62% |
| 20 | JEF JEFFERIES FINL GROUP INC | $262.0K | 0.61% |
Values as reported on the Q3 2023 Form 13F. Every position is in the holdings table below.