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SMH CAPITAL ADVISORS INC — 13F Holdings & Portfolio

CIK 1180391 · latest 13F-HR filed 2026-08-13

Backtest portfolio

SMH CAPITAL ADVISORS INC manages $35.4M in 13F-reported U.S. long-equity assets across 56 reported positions as of its 2026-03-31 13F-HR filing. Its largest disclosed positions are CSWC (32.84%), TRIN (7.12%), CSWC (4.90%). Quarter over quarter (versus its 2026-06-30 filing) the fund opened 8 new positions, exited 6, added to 6, and trimmed 33.

AUM is the long-equity portion reported on Form 13F-HR. Excludes short positions, cash, foreign holdings, and non-13F assets. For informational purposes only — not investment advice.

Filer Information
Address
4200 S. HULEN
STE 534
FORT WORTH, TX 76109
Phone
(713) 224-3100
Filing Manager
SMH CAPITAL ADVISORS INC
FORT WORTH, TX
Signatory
Amanda Haley
Platform Program Manager
Loading holdings…
AUM

$35.4M

Long-equity book

Holdings

56

Distinct positions

Period

2026-03-31

Filed 2026-08-13

Q/Q Activity

+8 / −6 / ↑6 / ↓33

vs 2026-06-30

Firm Profile & Key People
Name Title / Status Ownership Type

Top Adds (vs prior quarter)

  • CAPITAL SOUTHWEST CORP$10.7M +1164.3%
  • SM ENERGY COMPANY$191.4K +19.6%
  • DICKS SPORTING GOODS INC$170.4K +73.1%
  • CARLYLE GROUP INC$126.7K +16.1%
  • CRESCENT CAP BDC INC$12.7K +7.5%
Show all 6 →

Top Trims

  • ALPHATEC HLDGS INC-$667.4K -48.2%
  • TRINITY CAP INC-$529.6K -17.4%
  • INNOVATIVE INDL PPTYS INC-$374.5K -60.4%
  • HERCULES CAPITAL INC-$331.2K -35.3%
  • ARES CAPITAL CORP-$265.1K -57.2%
Show all 33 →

New Positions

  • RIOT PLATFORMS INC$1.3M
  • PROSPECT CAP CORP$1.1M
  • MARA HOLDINGS INC$458.2K
  • HA SUSTAINABLE INFRA CAP INC$318.4K
  • AMERICAN TOWER CORP$207.1K
Show all 8 →

Exited Positions

  • FORD MTR CO$434.8K
  • BLACKSTONE SECD LENDING FD$205.4K
  • PALMER SQUARE CAPITAL BDC IN$202.6K
  • SLR INVESTMENT CORP$194.4K
  • TRIPLEPOINT VENTURE GROWTH B$95.7K
Show all 6 →
All Holdings

Rows tagged Call or Put are options positions, not stock. Per SEC Form 13F-HR, Value shows the notional value of the underlying (shares covered × underlying price), not the option premium. Shares is the number of underlying shares covered (divide by 100 for contract count).

# Issuer Symbol CUSIP Value Weight Shares Type
1 CAPITAL SOUTHWEST CORP CSWC 140501AE7 $11.6M 32.84% 11,394,000 SH
2 TRINITY CAP INC TRIN 896442308 $2.5M 7.12% 171,103 SH
3 CAPITAL SOUTHWEST CORP CSWC 140501107 $1.7M 4.90% 78,364 SH
4 VICI PPTYS INC VICI 925652109 $1.3M 3.78% 48,872 SH
5 RIOT PLATFORMS INC RIOT 767292AB1 $1.3M 3.57% 1,100,000 SH
6 SM ENERGY COMPANY SM 78454L100 $1.2M 3.30% 37,445 SH
7 PROSPECT CAP CORP PSEC 74348T102 $1.1M 3.15% 426,418 SH
8 MAIN STR CAP CORP MAIN 56035L104 $1.0M 2.83% 18,886 SH
9 CARLYLE GROUP INC CG 14316J108 $911.0K 2.58% 18,827 SH
10 BLUE OWL CAPITAL INC OWL 09581B103 $795.2K 2.25% 87,098 SH
11 WISDOMTREE INC WT 97717PAH7 $744.3K 2.10% 548,000 SH
12 ALPHATEC HLDGS INC ATEC 02081GAD4 $716.6K 2.03% 700,000 SH
13 RITHM CAPITAL CORP RITM 64828T201 $625.4K 1.77% 65,970 SH
14 HERCULES CAPITAL INC HTGC 427096508 $606.5K 1.72% 41,065 SH
15 STATE STR SPDR S&P 500 ETF T SPY 78462F103 $533.2K 1.51% 820 SH
16 MARA HOLDINGS INC MARA 565788AH9 $458.2K 1.30% 500,000 SH
17 VANGUARD INTL EQUITY INDEX F VWO 922042858 $415.4K 1.17% 7,686 SH
18 ISHARES TR EFA 464287465 $414.4K 1.17% 4,267 SH
19 DICKS SPORTING GOODS INC DKS 253393102 $403.3K 1.14% 2,034 SH
20 HA SUSTAINABLE INFRA CAP INC HASI 41068X100 $318.4K 0.90% 8,663 SH
21 ADAMS DIVERSIFIED EQUITY FD ADX 006212104 $288.0K 0.81% 13,156 SH
22 WISDOMTREE INC WT 97717P104 $275.1K 0.78% 18,894 SH
23 NEXPOINT DIVERSIFIED REL ET NXDT 65340G205 $273.0K 0.77% 58,453 SH
24 CALAMOS STRATEGIC TOTAL RETU CSQ 128125101 $253.3K 0.72% 14,794 SH
25 VIRTUS EQUITY & CONV INCM FD NIE 92841M101 $252.0K 0.71% 10,789 SH
26 ALLIANCEBERNSTEIN GLOBAL HIG AWF 01879R106 $249.4K 0.71% 24,526 SH
27 INNOVATIVE INDL PPTYS INC IIPR 45781V101 $245.3K 0.69% 4,890 SH
28 GABELLI DIVID & INCOME TR GDV 36242H104 $244.5K 0.69% 9,078 SH
29 CARLYLE SECURED LENDING INC CGBD 872280102 $242.2K 0.68% 22,138 SH
30 EZCORP INC EZPW 302301106 $232.0K 0.66% 9,142 SH
31 BLACKROCK CORPOR HI YLD FD I HYT 09255P107 $227.2K 0.64% 26,663 SH
32 BLACKROCK CR ALLOCATION BTZ 092508100 $223.3K 0.63% 22,105 SH
33 EATON VANCE TAX ADVT DIV INC EVT 27828G107 $220.8K 0.62% 8,993 SH
34 HANCOCK JOHN TAX-ADVANTAGED HTD 41013V100 $216.6K 0.61% 8,744 SH
35 APOLLO GLOBAL MGMT INC APO 03769M106 $211.3K 0.60% 1,897 SH
36 AMERICAN TOWER CORP AMT 03027X100 $207.1K 0.59% 1,200 SH
37 LYFT INC LYFT 55087PAD6 $202.0K 0.57% 200,000 SH
38 INVESCO QQQ TR QQQ 46090E103 $201.3K 0.57% 349 SH
39 ARES CAPITAL CORP ARCC 04010L103 $198.2K 0.56% 11,000 SH
40 HIGHPEAK ENERGY INC HPK 43114Q105 $195.6K 0.55% 28,354 SH
41 BLACKLINE INC BL 09239BAF6 $187.7K 0.53% 200,000 SH
42 CRESCENT CAP BDC INC CCAP 225655109 $182.2K 0.52% 15,000 SH
43 COHEN & STEERS QUALITY INCOM RQI 19247L106 $180.2K 0.51% 14,956 SH
44 BLACKROCK MULTI SECTOR INC T BIT 09258A107 $161.6K 0.46% 12,908 SH
45 NUVEEN QUALITY MUNCP INCOME NAD 67066V101 $134.7K 0.38% 11,715 SH
46 NUVEEN AMT FREE QLTY MUN INC NEA 670657105 $132.5K 0.37% 11,798 SH
47 ALLIANCEBERNSTEIN NATL MUN I AFB 01864U106 $130.5K 0.37% 12,204 SH
48 EATON VANCE MUN BD FD EIM 27827X101 $129.1K 0.37% 13,213 SH
49 TEMPLETON EMERGING MKTS INCO TEI 880192109 $126.3K 0.36% 21,009 SH
50 BLUE OWL CAPITAL CORPORATION OBDC 69121K104 $116.1K 0.33% 10,500 SH
Filing History
Period Filed AUM Holdings Accession
2026-06-30 2026-08-13 $25.5M 54 0001180391-26-000004
2026-06-30 2026-08-05 $25.5M 54 0001180391-26-000003
2026-03-31 2026-04-10 $32.9M 38 0001180391-26-000002
2026-03-31 2026-08-13 $35.4M 56 0001180391-26-000005
2025-12-31 2026-02-12 $49.1M 55 0001180391-26-000001