SMH CAPITAL ADVISORS INC — 13F Holdings & Portfolio
CIK 1180391 · latest 13F-HR filed 2026-10-29
SMH CAPITAL ADVISORS INC manages $26.4M in 13F-reported U.S. long-equity assets across 56 reported positions as of its 2026-09-30 13F-HR filing. Its largest disclosed positions are TRIN (11.41%), CSWC (7.05%), ATEC (5.61%). Quarter over quarter (versus its 2026-06-30 filing) the fund opened 5 new positions and exited 3; 10 existing positions rose in reported value and 19 fell.
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.
Loading holdings…
AUM
$26.4M
Long-equity book
Holdings
56
Distinct positions
Period
2026-09-30
Filed 2026-10-29
Q/Q Activity
+5 / −3 / ↑10 / ↓19
vs 2026-06-30
Portfolio charts
Latest quarter's book, what changed, and how the portfolio has evolved across filings.
Portfolio map
Q3 26TRIN11.4% · +1%CSWC10.7% · +6%ATEC5.6% · +2%VICI5.1% · +10%SM4.8% · 0%MAIN4.6% · +1%LYFT3.8% · +167%HTGC3.8% · +1%OWL3.6% · +1%CG2.8% · +1%SPY2.3% · +0%RITM2.2% · +1%NSLR2.1% · newDRAM2.1% · newARCC1.8% · +1%VWO1.7% · +0%EFA1.7% · 0%IIPR1.6% · -20%RWAY1.4% · +2%F1.4% · -0%FLNC1.4% · newADX1.3% · +3%CSQ1.2% · +2%NIE1.2% · +14%NXDT1.2% · +0%GDV1.0% · +3%EZPW1.0% · 0%EVT1.0% · +3%QQQ1.0% · 0%AWF0.9% · +3%CGBD0.9% · +1%APO0.8% · +1%HYT0.8% · +3%OBDC0.8% · 0%HTD0.8% · +3%BTZ0.8% · +0%BXSL0.8% · 0%PSBD0.7% · 0%SLRC0.7% · +2%NMFC0.7% · newRQI0.7% · +3%BIT0.6% · +5%CCAP0.5% · 0%TEI0.5% · +3%EIM0.5% · 0%NAD0.4% · 0%NEA0.4% · 0%AFB0.4% · 0%GROW0.4% · -7%CION0.4% · 0%TCPC0.4% · 0%TPVG0.4% · 0%AFCG0.4% · 0%SLQT0.2% · -0%
Box size = position value; colour = change in share count vs the prior quarter (green added, red trimmed, blue new). Rows split across managers or share classes are combined. Click a box for the stock.
Sector mix
% of 13F valueSectors from each company's SIC code; funds and ETFs grouped separately.
Biggest buys and sells
Q2 26 → Q3 26Estimated from the change in shares held × the quarter-end price, so price moves alone don't count as buying. New and exited positions are included.
13F assets and positions
4 quartersTotal reported 13F value (bars) and number of positions (line) each quarter. Value changes include market moves.
Top positions over time
reported valueThe eight largest current positions, valued at each quarter end.
Concentration
top 10 = 56.2%Cumulative share of the portfolio held in the largest N positions.
Firm Profile & Key People
As of the firm’s regulatory filing dated Sep 29, 2026.
Assets Under Management
$503.1M
Discretionary
$503.1M
Employees
7
Accounts
171
| Name | Title / Status | Ownership | Type |
|---|---|---|---|
| HALEY, LISA, CELESTE Control | VICE PRESIDENT since Jul 2017 | Less than 5% | Individual |
| HALEY, LISA, CELESTE Control | CHIEF COMPLIANCE OFFICER since Jul 2021 | Less than 5% | Individual |
| MOYERS ORGANIZATION, LLC Control | MEMBER since Jul 2017 | 75% or more | Domestic Entity |
| MOYERS, DWAYNE, ALAN Control | PRESIDENT, CHIEF INVESTMENT OFFICER AND BOARD OF MANAGERS(9/2015) since Mar 2012 | Less than 5% | Individual |
| MOYERS, DWAYNE, ALAN Control Indirect owner via MOYERS ORGANIZATION, LLC | MEMBER, MANAGER AND PRESIDENT since Jul 2017 | 75% or more | Individual |
Ownership & leadership changes · 24 filings with changes since Nov 29, 2011
From the firm’s regulatory filings, newest first. Dates are filing dates: a filing that no longer lists someone does not say when they left.
Feb 15, 2024 filing
- No longer listedRUDNITSKY, DANIEL, ALAN · SENIOR VICE PRESIDENT · Less than 5% · control person · listed since Sep 2015
- ChangedHALEY, LISA, CELESTE · title CCO / SECRETARY → CHIEF COMPLIANCE OFFICER / VICE PRESIDENT
Aug 15, 2021 filing
- No longer listedDAVIS, RHONDA, L · CCO · Less than 5% · control person · listed since Aug 2019
- ChangedHALEY, LISA, CELESTE · title SECRETARY → CCO / SECRETARY
Aug 23, 2019 filing
- No longer listedBuchholz, Robert, William · COMPLIANCE OFFICER · Less than 5% · listed since Aug 2017
- ChangedDAVIS, RHONDA, L · title CO-CCO → CCO
Apr 23, 2019 filing
- AddedDAVIS, RHONDA, L · CO-CCO · Less than 5% · control person
- ChangedBuchholz, Robert, William · title CHIEF COMPLIANCE OFFICER → COMPLIANCE OFFICER
Dec 4, 2017 filing
- AddedMOYERS ORGANIZATION, LLC · MEMBER · 75% or more · control person
- AddedMOYERS, DWAYNE, ALAN · MEMBER, MANAGER AND PRESIDENT · 75% or more · indirect via MOYERS ORGANIZATION, LLC · control person
- ChangedMOYERS, DWAYNE, ALAN · ownership 75% or more → Less than 5%
Aug 21, 2017 filing
- AddedBuchholz, Robert, William · CHIEF COMPLIANCE OFFICER · Less than 5%
- ChangedMOYERS, DWAYNE, ALAN · title CHIEF COMPLIANCE OFFICER / PRESIDENT, CHIEF INVESTMENT OFFICER AND BOARD OF MANAGERS(9/2015) → PRESIDENT, CHIEF INVESTMENT OFFICER AND BOARD OF MANAGERS(9/2015)
Aug 1, 2017 filing
- No longer listedAFFILIATED WEALTH PARTNERS HOLDINGS LLC · MEMBER-MANAGED · 75% or more · indirect via SUMMER WEALTH MANAGEMENT, LLC · control person · listed since Sep 2015
- No longer listedAWP GP LLC · GENERAL PARTNER · General partner, trustee or manager · indirect via AWP I LP · control person · listed since Sep 2015
- No longer listedAWP I LP · MEMBER-MANAGED · 75% or more · indirect via AWP II LLC · control person · listed since Sep 2015
- No longer listedAWP II LLC · MEMBER-MANAGED · 75% or more · indirect via AFFILIATED WEALTH PARTNERS HOLDINGS LLC · control person · listed since Sep 2015
- No longer listedEDELMAN, FREDRIC, MARK · SHAREHOLDER OF THE EDELMAN FINANCIAL CENTER, INC · 75% or more · indirect via THE EDELMAN FINANCIAL CENTER, INC · control person · listed since Jun 1996
- No longer listedFORSTER, GABRIELA · SECRETARY, TREASURER · Less than 5% · listed since Jun 2017
- No longer listedGORMLEY, MARK, KEVIN · BOARD OF MANAGERS · General partner, trustee or manager · indirect via AWP GP LLC · control person · listed since Sep 2015
- No longer listedGORMLEY, MARK, KEVIN · MANAGER · 25–50% · indirect via LEE EQUITY PARTNERS REALIZATION FUND GP, LLC · control person · listed since Mar 2016
- No longer listedHUNT, DAVID, LEE · CHIEF COMPLIANCE OFFICER · Less than 5% · listed since Feb 2016
- No longer listedLEE EQUITY PARTNERS REALIZATION FUND GP, LLC · GENERAL PARTNER · General partner, trustee or manager · indirect via LEE EQUITY PARTNERS REALIZATION FUND SUMMER AIV, L.P. · control person · listed since Sep 2015
- No longer listedLEE EQUITY PARTNERS REALIZATION FUND GP, LLC · GENERAL PARTNER · General partner, trustee or manager · indirect via LEP REALIZATION FEEDER, L.P. · control person · listed since Sep 2015
- No longer listedLEE EQUITY PARTNERS REALIZATION FUND SUMMER AIV, L.P. · MEMBER · 75% or more · indirect via LEP SUMMER HOLDINGS, LLC · control person · listed since Mar 2016
- No longer listedLEE EQUITY PARTNERS, LLC · MANAGER OF LEP SUMMER HOLDINGS, LLC · General partner, trustee or manager · indirect via LEP SUMMER HOLDINGS, LLC · control person · listed since Apr 2012
- No longer listedLEE EQUITY PARTNERS, LLC · MEMBER · 50–75% · indirect via AWP GP LLC · control person · listed since Sep 2015
- No longer listedLEE, THOMAS, HASKELL · MANAGING MEMBER OF LEE EQUITY PARTNERS, LLC · 75% or more · indirect via LEE EQUITY PARTNERS, LLC · control person · listed since Aug 2006
- No longer listedLEP REALIZATION FEEDER, L.P. · MEMBER · 75% or more · indirect via LEP REALIZATION SUMMER LLC · control person · listed since Mar 2016
- No longer listedLEP REALIZATION SUMMER LLC · LIMITED PARTNER · 50–75% · indirect via LEE EQUITY PARTNERS REALIZATION FUND SUMMER AIV, L.P. · listed since Mar 2016
- No longer listedLEP SUMMER HOLDINGS, LLC · LIMITED PARTNER · 50–75% · indirect via AWP I LP · listed since Sep 2015
- No longer listedMCMAKEN, BRUCE, ROBERT · BOARD OF MANAGERS · General partner, trustee or manager · indirect via AWP GP LLC · control person · listed since Dec 2015
- No longer listedRODRIGUEZ, DANIEL, J · BOARD OF MANAGERS · General partner, trustee or manager · indirect via AWP GP LLC · control person · listed since Feb 2016
- No longer listedSUMMER WEALTH MANAGEMENT, LLC · MEMBER · 75% or more · control person · listed since Dec 2014
- No longer listedTHE EDELMAN FINANCIAL CENTER, INC. · MEMBER · 25–50% · indirect via AWP GP LLC · listed since Sep 2015
- AddedHALEY, LISA, CELESTE · SECRETARY · Less than 5% · control person
- ChangedMOYERS, DWAYNE, ALAN · title PRESIDENT, CHIEF INVESTMENT OFFICER AND BOARD OF MANAGERS(9/2015) → CHIEF COMPLIANCE OFFICER / PRESIDENT, CHIEF INVESTMENT OFFICER AND BOARD OF MANAGERS(9/2015); ownership Less than 5% → 75% or more
Jun 23, 2017 filing
- No longer listedCORNE, ROBERT, JEFFERY · VP AND SECRETARY · Less than 5% · listed since May 2016
- No longer listedDEEM, HOLLY, DAY · BOARD OF MANAGERS · General partner, trustee or manager · indirect via AWP GP LLC · control person · listed since Sep 2015
- AddedFORSTER, GABRIELA · SECRETARY, TREASURER · Less than 5%
Mar 30, 2017 filing
- No longer listedBALL, GEORGE, LESTER · VP · Less than 5% · control person · listed since Sep 2015
- No longer listedBALL, GEORGE, LESTER · BOARD OF MANAGERS · General partner, trustee or manager · indirect via SUMMER WEALTH MANAGEMENT, LLC · control person · listed since Oct 2014
- No longer listedBALL, GEORGE, LESTER · BOARD OF MANAGERS · General partner, trustee or manager · indirect via AWP GP LLC · control person · listed since Sep 2015
- No longer listedCHAZE, RENE, EMILE · BOARD OF MANAGERS · General partner, trustee or manager · indirect via SUMMER WEALTH MANAGEMENT, LLC · control person · listed since Oct 2014
- No longer listedMOORE, EDWARD, PHILIP · BOARD OF MANAGERS · General partner, trustee or manager · indirect via SUMMER WEALTH MANAGEMENT, LLC · control person · listed since Oct 2014
- ChangedGORMLEY, MARK, KEVIN · indirect via LEE EQUITY PARTNERS REALIZATION FUND GP, LLC: title MANAGING MEMBER → MANAGER
Jun 22, 2016 filing
- AddedCORNE, ROBERT, JEFFERY · VP AND SECRETARY · Less than 5%
- ChangedBALL, GEORGE, LESTER · title BOARD OF MANGERS → VP
Older changes (15 more filings)
Mar 30, 2016 filing
- No longer listedGORMLEY, MARK, KEVIN · MANAGING MEMBER · 25–50% · indirect via LEE EQUITY PARTNERS GP, LLC · control person · listed since Mar 2009
- No longer listedGUARDIOLA, SAMUEL · CHIEF COMPLIANCE OFFICER · Less than 5% · listed since Sep 2015
- No longer listedLEE EQUITY PARTNERS FUND SUMMER AIV, LP · MEMBER OF LEP SUMMER HOLDINGS, LLC · 75% or more · indirect via LEP SUMMER HOLDINGS, LLC · control person · listed since Apr 2012
- No longer listedLEE EQUITY PARTNERS GP, LLC · GENERAL PARTNER OF LEE EQUITY PARTNERS FUND SUMMER AIV, LP · General partner, trustee or manager · indirect via LEE EQUITY PARTNERS FUND SUMMER AIV, LP · control person · listed since Apr 2012
- No longer listedMOORE, EDWARD, PHILIP · BOARD OF MANAGERS · General partner, trustee or manager · indirect via AWP GP LLC · control person · listed since Sep 2015
- No longer listedTEACHERS RETIREMENT SYSTEM OF TEXAS · LIMITED PARTNER OF LEE EQUITY PARTNERS FUND SUMMER AIV,LP · 25–50% · indirect via LEE EQUITY PARTNERS FUND SUMMER AIV, LP · listed since Apr 2012
- No longer listedYAFFE, ACHI · BOARD OF MANAGERS · General partner, trustee or manager · indirect via AWP GP LLC · control person · listed since Sep 2015
- AddedGORMLEY, MARK, KEVIN · MANAGING MEMBER · 25–50% · indirect via LEE EQUITY PARTNERS REALIZATION FUND GP, LLC · control person
- AddedHUNT, DAVID, LEE · CHIEF COMPLIANCE OFFICER · Less than 5%
- AddedLEE EQUITY PARTNERS REALIZATION FUND GP, LLC · GENERAL PARTNER · General partner, trustee or manager · indirect via LEE EQUITY PARTNERS REALIZATION FUND SUMMER AIV, L.P. · control person
- AddedLEE EQUITY PARTNERS REALIZATION FUND GP, LLC · GENERAL PARTNER · General partner, trustee or manager · indirect via LEP REALIZATION FEEDER, L.P. · control person
- AddedLEE EQUITY PARTNERS REALIZATION FUND SUMMER AIV, L.P. · MEMBER · 75% or more · indirect via LEP SUMMER HOLDINGS, LLC · control person
- AddedLEP REALIZATION FEEDER, L.P. · MEMBER · 75% or more · indirect via LEP REALIZATION SUMMER LLC · control person
- AddedLEP REALIZATION SUMMER LLC · LIMITED PARTNER · 50–75% · indirect via LEE EQUITY PARTNERS REALIZATION FUND SUMMER AIV, L.P.
- AddedMCMAKEN, BRUCE, ROBERT · BOARD OF MANAGERS · General partner, trustee or manager · indirect via AWP GP LLC · control person
- AddedRODRIGUEZ, DANIEL, J · BOARD OF MANAGERS · General partner, trustee or manager · indirect via AWP GP LLC · control person
- ChangedTHE EDELMAN FINANCIAL CENTER, INC. · indirect via AWP GP LLC: no longer a control person
Oct 15, 2015 filing
- No longer listedBALL, GEORGE, LESTER · BOARD OF MANAGERS · General partner, trustee or manager · indirect via LEE SUMMER GP, LLC · control person · listed since Sep 2012
- No longer listedBALL, GEORGE, LESTER · BOARD OF MANAGERS · General partner, trustee or manager · indirect via SUMMER HOLDINGS I, LLC · control person · listed since May 2013
- No longer listedEDELMAN, FREDRIC, MARK · BOARD OF MANAGERS · General partner, trustee or manager · indirect via LEE SUMMER GP, LLC · control person · listed since Sep 2012
- No longer listedEDELMAN, FREDRIC, MARK · BOARD OF MANAGERS · General partner, trustee or manager · indirect via SUMMER HOLDINGS 1, LLC · control person · listed since May 2011
- No longer listedGORMLEY, MARK, KEVIN · BOARD OF MANAGERS · General partner, trustee or manager · indirect via LEE SUMMER GP. LLC · control person · listed since Sep 2012
- No longer listedGORMLEY, MARK, KEVIN · BOARD OF MANAGERS · General partner, trustee or manager · indirect via SUMMER HOLDINGS 1, LLC · control person · listed since May 2013
- No longer listedHAYES, WILLIAM, PATRICK · DIRECTOR · Less than 5% · control person · listed since Sep 2013
- No longer listedHOCHBERG, BENJAMIN, ALEXIS · BOARD OF MANAGERS · General partner, trustee or manager · indirect via LEE SUMMER GP, LLC · control person · listed since Sep 2012
- No longer listedHOCHBERG, BENJAMIN, ALEXIS · BOARD OF MANAGERS · General partner, trustee or manager · indirect via LEE EQUITY PARTNERS GP, LLC · control person · listed since Feb 2008
- No longer listedKIM, YOO JIN · BOARD OF MANAGERS · General partner, trustee or manager · indirect via LEE EQUITY PARTNERS GP, LLC · control person · listed since Feb 2008
- No longer listedLEE EQUITY PARTNERS, LLC · MEMBER OF LEE SUMMER GP, LLC · 50–75% · indirect via LEE EQUITY PARTNERS, LLC · control person · listed since Sep 2012
- No longer listedLEE SUMMER GP, LLC · GENERAL PARTNER OF LEE SUMMER, LP · General partner, trustee or manager · indirect via LEE SUMMER LP · control person · listed since Apr 2012
- No longer listedLEE SUMMER, LP · MANAGING MEMBER OF SUMMER HOLDINGS 1, LLC · 75% or more · indirect via SUMMER HOLDINGS I, LLC · control person · listed since Mar 2012
- No longer listedLEE, THOMAS, HASKELL · BOARD OF MANAGERS · General partner, trustee or manager · indirect via LEE SUMMER GP, LLC · control person · listed since Sep 2012
- No longer listedLEE, THOMAS, HASKELL · BOARD OF MANAGERS · General partner, trustee or manager · indirect via LEE EQUITY PARTNERS GP, LLC · control person · listed since Feb 2008
- No longer listedLEE, THOMAS, HASKELL · BOARD OF MANAGERS · General partner, trustee or manager · indirect via SUMMER HOLDINGS 1, LLC · control person · listed since Sep 2012
- No longer listedLEP SUMMER HOLDINGS , LLC · LIMITED PARTNER OF LEE SUMMER LP · 50–75% · indirect via LEE SUMMER LP · control person · listed since Apr 2012
- No longer listedLEP SUMMER HOLDINGS, LLC · LIMITED PARTNER OF LEE SUMMER, LP · 50–75% · indirect via LEE SUMMER GP, LLC · control person · listed since Apr 2012
- No longer listedMOORE, EDWARD, PHILIP · BOARD OF MANAGERS · General partner, trustee or manager · indirect via LEE SUMMER GP, LLC · control person · listed since Sep 2012
- No longer listedMOORE, EDWARD, PHILIP · BOARD OF MANAGERS · General partner, trustee or manager · indirect via SUMMER HOLDINGS, 1, LLC · control person · listed since May 2013
- No longer listedMORRISON, DAVID, JOSEPH · BOARD OF MANAGERS · General partner, trustee or manager · indirect via LEE EQUITY PARTNERS GP, LLC · control person · listed since Feb 2008
- No longer listedNEFF, MORGAN, DUVALL · VICE PRESIDENT · Less than 5% · control person · listed since Mar 2012
- No longer listedPINNACLE SUMMER INVESTMENTS, INC. · SOLE MEMBER OF SUMMER WEALTH MANAGEMENT, LLC · 75% or more · indirect via SUMMER WEALTH MANAGEMENT, LLC · control person · listed since Oct 2014
- No longer listedROAME, CHARLES, MICHAEL · BOARD OF MANAGERS · General partner, trustee or manager · indirect via SUMMER HOLDINGS 1, LLC · control person · listed since Jan 2014
- No longer listedROAME, CHARLES, MICHAEL · BOARD OF MANAGERS · General partner, trustee or manager · indirect via LEE SUMMER GP, LLC · control person · listed since Jan 2014
- and 25 more
Oct 1, 2015 filing
- No longer listedLESSARD, RUSSELL, JAN · CHIEF COMPLIANCE OFFICER · Less than 5% · control person · listed since Jun 2014
- AddedGUARDIOLA, SAMUEL · CHIEF COMPLIANCE OFFICER · Less than 5%
Mar 31, 2015 filing
- No longer listedBALL, GEORGE, LESTER · DIRECTOR · General partner, trustee or manager · indirect via PINNACLE SUMMER INVESTMENTS, INC. · control person · listed since Feb 2000
- No longer listedCOUGHLIN, THERESA, ANGELA · VICE PRESIDENT · Less than 5% · listed since Sep 2013
- No longer listedEDELMAN, FREDRIC, MARK · DIRECTOR AND CHIEF EXECUTIVE OFFICER · General partner, trustee or manager · indirect via PINNACLE SUMMER INVESTMENTS, INC. · control person · listed since May 2011
- No longer listedEELMAN, DAVID, ALBERT · VICE PRESIDENT · Less than 5% · listed since Sep 2013
- No longer listedGORMLEY, MARK, KEVIN · DIRECTOR · General partner, trustee or manager · indirect via PINNACLE SUMMER INVESTMENTS, INC. · control person · listed since Sep 2012
- No longer listedHOCHBERG, BENJAMIN, ALEXIS · DIRECTOR · General partner, trustee or manager · indirect via PINNACLE SUMMER INVESTMENTS, INC. · control person · listed since Sep 2012
- No longer listedLEE EQUITY PARTNERS, LLC · MANAGER · General partner, trustee or manager · indirect via LEE SUMMER HOLDINGS, LLC · control person · listed since Apr 2012
- No longer listedLEE, THOMAS, HASKELL · DIRECTOR · General partner, trustee or manager · indirect via PINNACLE SUMMER INVESTMENTS, INC. · control person · listed since Sep 2012
- No longer listedLEP SUMMER HOLDINGS I, LLC · LIMITED PARTNER · 50–75% · indirect via LEE SUMMER LP · listed since Apr 2012
- No longer listedMARTINEZ, MARGARITA, YVETTE · CONTROLLER · Less than 5% · listed since Sep 2013
- No longer listedMOORE, EDWARD, PHILIP · DIRECTOR AND EXECUTIVE VICE PRESIDENT · General partner, trustee or manager · indirect via PINNACLE SUMMER INVESTMENTS, INC. · control person · listed since Sep 2012
- No longer listedPINNACLE SUMMER INVESTMENTS, INC. · PARENT COMPANY/SHAREHOLDER · 75% or more · control person · listed since Oct 2000
- No longer listedROAME, CHARLES, MICHAEL · DIRECTOR · General partner, trustee or manager · indirect via PINNACLE SUMMER INVESTMENTS, INC. · control person · listed since Jan 2014
- No longer listedRODRIGUEZ, DANIEL, J · DIRECTOR · General partner, trustee or manager · indirect via PINNACLE SUMMER INVESTMENTS, INC. · control person · listed since Sep 2012
- AddedBALL, GEORGE, LESTER · BOARD OF MANAGERS · General partner, trustee or manager · indirect via SUMMER HOLDINGS I, LLC · control person
- AddedBALL, GEORGE, LESTER · BOARD OF MANAGERS · General partner, trustee or manager · indirect via SUMMER WEALTH MANAGEMENT, LLC · control person
- AddedCHAZE, RENE, EMILE · BOARD OF MANAGERS · General partner, trustee or manager · indirect via SUMMER WEALTH MANAGEMENT, LLC · control person
- AddedEDELMAN, FREDRIC, MARK · BOARD OF MANAGERS · General partner, trustee or manager · indirect via SUMMER HOLDINGS 1, LLC · control person
- AddedGORMLEY, MARK, KEVIN · BOARD OF MANAGERS · General partner, trustee or manager · indirect via SUMMER HOLDINGS 1, LLC · control person
- AddedLEE EQUITY PARTNERS, LLC · MANAGER OF LEP SUMMER HOLDINGS, LLC · General partner, trustee or manager · indirect via LEP SUMMER HOLDINGS, LLC · control person
- AddedLEE EQUITY PARTNERS, LLC · MEMBER OF LEE SUMMER GP, LLC · 50–75% · indirect via LEE EQUITY PARTNERS, LLC · control person
- AddedLEE, THOMAS, HASKELL · BOARD OF MANAGERS · General partner, trustee or manager · indirect via SUMMER HOLDINGS 1, LLC · control person
- AddedLEP SUMMER HOLDINGS , LLC · LIMITED PARTNER OF LEE SUMMER LP · 50–75% · indirect via LEE SUMMER LP · control person
- AddedMOORE, EDWARD, PHILIP · BOARD OF MANAGERS · General partner, trustee or manager · indirect via SUMMER HOLDINGS, 1, LLC · control person
- AddedMOORE, EDWARD, PHILIP · BOARD OF MANAGERS · General partner, trustee or manager · indirect via SUMMER WEALTH MANAGEMENT, LLC · control person
- and 33 more
Aug 28, 2014 filing
- No longer listedBALL, GEORGE, LESTER · DIRECTOR · General partner, trustee or manager · indirect via THE EDELMAN FINANCIAL GROUP INC. · control person · listed since Feb 2000
- No longer listedEDELMAN, FREDRIC, MARK · DIRECTOR AND CHIEF EXECUTIVE OFFICER · General partner, trustee or manager · indirect via THE EDELMAN FINANCIAL GROUP INC · control person · listed since May 2011
- No longer listedGORMLEY, MARK, KEVIN · DIRECTOR · General partner, trustee or manager · indirect via THE EDELMAN FINANCIAL GROUP INC. · control person · listed since Sep 2012
- No longer listedHOCHBERG, BENJAMIN · DIRECTOR · General partner, trustee or manager · indirect via THE EDELMAN FINANCIAL GROUP INC. · control person · listed since Sep 2012
- No longer listedLEE, THOMAS, HASKELL · DIRECTOR · General partner, trustee or manager · indirect via THE EDELMAN FINANCIAL GROUP INC. · control person · listed since Sep 2012
- No longer listedMOORE, EDWARD, PHILIP · DIRECTOR AND EXECUTIVE VICE PRESIDENT · General partner, trustee or manager · indirect via THE EDELMAN FINANCIAL GROUP INC. · control person · listed since Sep 2012
- No longer listedROAME, CHARLES, MICHAEL · DIRECTOR · General partner, trustee or manager · indirect via THE EDELMAN FINANCIAL GROUP · control person · listed since Jan 2014
- No longer listedRODRIGUEZ, DANIEL, J · DIRECTOR · General partner, trustee or manager · indirect via THE EDELMAN FINANCIAL GROUP INC. · control person · listed since Sep 2012
- No longer listedSUMMER HOLDINGS II, INC. · SHAREHOLDER · 75% or more · indirect via THE EDELMAN FINANCIAL GROUP INC. · control person · listed since Sep 2012
- No longer listedTHE EDELMAN FINANCIAL GROUP INC. · PARENT COMPANY/SHAREHOLDER · 75% or more · control person · listed since Oct 2000
- AddedBALL, GEORGE, LESTER · DIRECTOR · General partner, trustee or manager · indirect via PINNACLE SUMMER INVESTMENTS, INC. · control person
- AddedEDELMAN, FREDRIC, MARK · DIRECTOR AND CHIEF EXECUTIVE OFFICER · General partner, trustee or manager · indirect via PINNACLE SUMMER INVESTMENTS, INC. · control person
- AddedGORMLEY, MARK, KEVIN · DIRECTOR · General partner, trustee or manager · indirect via PINNACLE SUMMER INVESTMENTS, INC. · control person
- AddedHOCHBERG, BENJAMIN, ALEXIS · DIRECTOR · General partner, trustee or manager · indirect via PINNACLE SUMMER INVESTMENTS, INC. · control person
- AddedLEE, THOMAS, HASKELL · DIRECTOR · General partner, trustee or manager · indirect via PINNACLE SUMMER INVESTMENTS, INC. · control person
- AddedMOORE, EDWARD, PHILIP · DIRECTOR AND EXECUTIVE VICE PRESIDENT · General partner, trustee or manager · indirect via PINNACLE SUMMER INVESTMENTS, INC. · control person
- AddedPINNACLE SUMMER INVESTMENTS, INC. · PARENT COMPANY/SHAREHOLDER · 75% or more · control person
- AddedROAME, CHARLES, MICHAEL · DIRECTOR · General partner, trustee or manager · indirect via PINNACLE SUMMER INVESTMENTS, INC. · control person
- AddedRODRIGUEZ, DANIEL, J · DIRECTOR · General partner, trustee or manager · indirect via PINNACLE SUMMER INVESTMENTS, INC. · control person
- AddedSUMMER HOLDINGS II, INC. · SHAREHOLDER · 75% or more · indirect via PINNACLE SUMMER INVESTMENTS, INC. · control person
Jul 1, 2014 filing
- No longer listedHEFFRON, KRISTI, J · CHIEF COMPLIANCE OFFICER · Less than 5% · listed since May 2014
- AddedLESSARD, RUSSELL, JAN · CHIEF COMPLIANCE OFFICER · Less than 5%
May 1, 2014 filing
- No longer listedJALLANS, LESLIE, BERNARD · CHIEF COMPLIANCE OFFICER · Less than 5% · listed since Sep 2008
- AddedHEFFRON, KRISTI, J · CHIEF COMPLIANCE OFFICER · Less than 5%
Mar 31, 2014 filing
- AddedROAME, CHARLES, MICHAEL · MANAGER · General partner, trustee or manager · indirect via LEE SUMMER GP, LLC · control person
- AddedROAME, CHARLES, MICHAEL · DIRECTOR · General partner, trustee or manager · indirect via THE EDELMAN FINANCIAL GROUP · control person
Sep 20, 2013 filing
- No longer listedMOORE, EDWARD, PHILIP · DIRECTOR · Less than 5% · listed since May 2011
- No longer listedUNGER, JOHN, THOMAS · SENIOR VICE PRESIDENT, GENERAL COUNSEL AND ASSISTANT SECRETARY · Less than 5% · listed since Mar 2012
- AddedCOUGHLIN, THERESA, ANGELA · VICE PRESIDENT · Less than 5%
- AddedEELMAN, DAVID, ALBERT · VICE PRESIDENT · Less than 5%
- AddedHAYES, WILLIAM, PATRICK · VICE PRESIDENT, DIRECTOR · Less than 5%
- AddedMARTINEZ, MARGARITA, YVETTE · CONTROLLER · Less than 5%
- ChangedMOYERS, DWAYNE, ALAN · title PRESIDENT, CHIEF INVESTMENT OFFICER, SENIOR PORTFOLIO MANAGER, ASSISTANT SECRETARY AND DIRECTOR → PRESIDENT, ASSISTANT SECRETARY, CHIEF INVESTMENT OFFICER, SENIOR PORTFOLIO MANAGER, DIRECTOR
May 31, 2013 filing
- No longer listedBERRY, RICKY, LANE · VICE PRESIDENT AND SECRETARY · Less than 5% · control person · listed since Jun 2002
Mar 27, 2013 filing
- No longer listedMCMAKEN, BRUCE, ROBERT · DIRECTOR · Less than 5% · control person · listed since Apr 2011
Nov 6, 2012 filing
- No longer listedCUMMER, JEFFREY, ALAN · EXECUTIVE CHAIRMAN, SENIOR PORTFOLIO MANAGER AND DIRECTOR · Less than 5% · control person · listed since Mar 2012
- ChangedNEFF, MORGAN, DUVALL · title VICE PRESIDENT, SENIOR PORTFOLIO MANAGER AND HEAD TRADER → VICE PRESIDENT, SENIOR PORTFOLIO MANAGER
Sep 26, 2012 filing
- AddedBALL, GEORGE, LESTER · DIRECTOR · General partner, trustee or manager · indirect via THE EDELMAN FINANCIAL GROUP INC. · control person
- AddedBALL, GEORGE, LESTER · MANAGER · General partner, trustee or manager · indirect via LEE SUMMER GP, LLC · control person
- AddedEDELMAN, FREDRIC, MARK · DIRECTOR AND CHIEF EXECUTIVE OFFICER · General partner, trustee or manager · indirect via THE EDELMAN FINANCIAL GROUP INC · control person
- AddedEDELMAN, FREDRIC, MARK · MANAGER · General partner, trustee or manager · indirect via LEE SUMMER GP, LLC · control person
- AddedEDELMAN, FREDRIC, MARK · SHAREHOLDER · 75% or more · indirect via THE EDELMAN FINANCIAL CENTER, INC · control person
- AddedGORMLEY, MARK, KEVIN · DIRECTOR · General partner, trustee or manager · indirect via THE EDELMAN FINANCIAL GROUP INC. · control person
- AddedGORMLEY, MARK, KEVIN · MANAGER · General partner, trustee or manager · indirect via LEE SUMMER GP. LLC · control person
- AddedGORMLEY, MARK, KEVIN · MANAGING MEMBER · 50–75% · indirect via LEE EQUITY PARTNERS GP, LLC · control person
- AddedHOCHBERG, BENJAMIN · DIRECTOR · General partner, trustee or manager · indirect via THE EDELMAN FINANCIAL GROUP INC. · control person
- AddedHOCHBERG, BENJAMIN, ALEXIS · MANAGER · General partner, trustee or manager · indirect via LEE SUMMER GP, LLC · control person
- AddedHOCHBERG, BENJAMIN, ALEXIS · MANAGING MEMBER · General partner, trustee or manager · indirect via LEE EQUITY PARTNERS GP, LLC · control person
- AddedKIM, YOO JIN · MANAGING MEMBER · General partner, trustee or manager · indirect via LEE EQUITY PARTNERS GP, LLC · control person
- AddedLEE EQUITY PARTNERS FUND SUMMER AIV, LP · MEMBER · 75% or more · indirect via LEP SUMMER HOLDINGS, LLC · control person
- AddedLEE EQUITY PARTNERS GP, LLC · GENERAL PARTNER · General partner, trustee or manager · indirect via LEE EQUITY PARTNERS FUND SUMMER AIV, LP · control person
- AddedLEE EQUITY PARTNERS, LLC · MANAGER · General partner, trustee or manager · indirect via LEE SUMMER HOLDINGS, LLC · control person
- AddedLEE SUMMER GP, LLC · GENERAL PARTNER · General partner, trustee or manager · indirect via LEE SUMMER LP · control person
- AddedLEE SUMMER, LP · MANAGING MEMBER · 75% or more · indirect via SUMMER HOLDINGS I, LLC · control person
- AddedLEE, THOMAS, HASKELL · DIRECTOR · General partner, trustee or manager · indirect via THE EDELMAN FINANCIAL GROUP INC. · control person
- AddedLEE, THOMAS, HASKELL · MANAGER · General partner, trustee or manager · indirect via LEE SUMMER GP, LLC · control person
- AddedLEE, THOMAS, HASKELL · MANAGING MEMBER · 75% or more · indirect via LEE EQUITY PARTNERS, LLC · control person
- AddedLEE, THOMAS, HASKELL · MANAGING MEMBER · General partner, trustee or manager · indirect via LEE EQUITY PARTNERS GP, LLC · control person
- AddedLEP SUMMER HOLDINGS I, LLC · LIMITED PARTNER · 50–75% · indirect via LEE SUMMER LP
- AddedLEP SUMMER HOLDINGS, LLC · MEMBER · 50–75% · indirect via LEE SUMMER GP, LLC · control person
- AddedMOORE, EDWARD, PHILIP · DIRECTOR AND EXECUTIVE VICE PRESIDENT · General partner, trustee or manager · indirect via THE EDELMAN FINANCIAL GROUP INC. · control person
- AddedMOORE, EDWARD, PHILIP · MANAGER · General partner, trustee or manager · indirect via LEE SUMMER GP, LLC · control person
- and 8 more
Mar 26, 2012 filing
- AddedMOORE, EDWARD, PHILIP · DIRECTOR · Less than 5%
- AddedNEFF, MORGAN, DUVALL · VICE PRESIDENT, SENIOR PORTFOLIO MANAGER AND HEAD TRADER · Less than 5%
- AddedUNGER, JOHN, THOMAS · SENIOR VICE PRESIDENT, GENERAL COUNSEL AND ASSISTANT SECRETARY · Less than 5%
- ChangedCUMMER, JEFFREY, ALAN · title PRESIDENT AND DIRECTOR → EXECUTIVE CHAIRMAN, SENIOR PORTFOLIO MANAGER AND DIRECTOR
- ChangedMOYERS, DWAYNE, ALAN · title CIO, SENIOR VICE PRESIDENT, ASSISTANT SECRETARY AND DIRECTOR → PRESIDENT, CHIEF INVESTMENT OFFICER, SENIOR PORTFOLIO MANAGER, ASSISTANT SECRETARY AND DIRECTOR
Nov 29, 2011 filing (earliest on record)
- ListedBALL, GEORGE, LESTER · DIRECTOR · Less than 5% · control person
- ListedBERRY, RICKY, LANE · VICE PRESIDENT AND SECRETARY · Less than 5% · control person
- ListedCUMMER, JEFFREY, ALAN · PRESIDENT AND DIRECTOR · Less than 5% · control person
- ListedJALLANS, LESLIE, BERNARD · CHIEF COMPLIANCE OFFICER · Less than 5%
- ListedMCMAKEN, BRUCE, ROBERT · DIRECTOR · Less than 5% · control person
- ListedMOYERS, DWAYNE, ALAN · CIO, SENIOR VICE PRESIDENT, ASSISTANT SECRETARY AND DIRECTOR · Less than 5% · control person
- ListedTHE EDELMAN FINANCIAL GROUP INC. · PARENT COMPANY/SHAREHOLDER · 75% or more · control person
Quarter-over-quarter changes
Changes in reported position value vs the prior 13F, so price moves count too, not just shares bought or sold.
Top Adds (vs prior quarter)
- SM ENERGY COMPANY$287.2K +29.4%
- ALPHATEC HLDGS INC$98.1K +7.1%
- MAIN STR CAP CORP$79.8K +7.0%
- HERCULES CAPITAL INC$69.2K +7.4%
- RUNWAY GROWTH FINANCE CORP$63.1K +19.8%
Top Trims
- LYFT INC-$212.7K -52.1%
- INNOVATIVE INDL PPTYS INC-$198.4K -32.0%
- VICI PPTYS INC-$71.4K -5.0%
- FORD MTR CO-$58.8K -13.5%
- SELECTQUOTE INC-$51.0K -52.0%
New Positions
- LYFT INC$812.6K
- NEOSTELLAR CAP CORP$555.6K
- ROUNDHILL ETF TRUST$549.6K
- FLUENCE ENERGY INC$373.5K
- NEW MTN FIN CORP$174.2K
Exited Positions
- WISDOMTREE INC$747.0K
- WISDOMTREE INC$370.8K
- DICKS SPORTING GOODS INC$232.9K
SMH CAPITAL ADVISORS INC Holdings (2026-09-30)
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 | TRINITY CAP INC | TRIN | 896442308 | $3.0M | 11.41% | 171,820 | SH |
| 2 | CAPITAL SOUTHWEST CORP | CSWC | 140501107 | $1.9M | 7.05% | 80,526 | SH |
| 3 | ALPHATEC HLDGS INC | ATEC | 02081GAD4 | $1.5M | 5.61% | 1,485,000 | SH |
| 4 | VICI PPTYS INC | VICI | 925652109 | $1.3M | 5.10% | 58,696 | SH |
| 5 | SM ENERGY COMPANY | SM | 78454L100 | $1.3M | 4.78% | 37,400 | SH |
| 6 | MAIN STR CAP CORP | MAIN | 56035L104 | $1.2M | 4.60% | 22,095 | SH |
| 7 | HERCULES CAPITAL INC | HTGC | 427096508 | $1.0M | 3.81% | 59,906 | SH |
| 8 | CAPITAL SOUTHWEST CORP | CSWC | 140501AE7 | $967.4K | 3.66% | 936,000 | SH |
| 9 | BLUE OWL CAPITAL INC | OWL | 09581B103 | $938.5K | 3.55% | 103,249 | SH |
| 10 | LYFT INC | LYFT | 55087PAF1 | $812.6K | 3.08% | 850,000 | SH |
| 11 | CARLYLE GROUP INC | CG | 14316J108 | $745.4K | 2.82% | 18,795 | SH |
| 12 | STATE STR SPDR S&P 500 ETF T | SPY | 78462F103 | $615.1K | 2.33% | 807 | SH |
| 13 | RITHM CAPITAL CORP | RITM | 64828T201 | $590.8K | 2.24% | 66,158 | SH |
| 14 | NEOSTELLAR CAP CORP | NSLR | 86887Q109 | $555.6K | 2.10% | 72,245 | SH |
| 15 | ROUNDHILL ETF TRUST | DRAM | 77926X320 | $549.6K | 2.08% | 9,106 | SH |
| 16 | ARES CAPITAL CORP | ARCC | 04010L103 | $484.3K | 1.83% | 25,355 | SH |
| 17 | VANGUARD INTL EQUITY INDEX F | VWO | 922042858 | $456.2K | 1.73% | 7,692 | SH |
| 18 | ISHARES TR | EFA | 464287465 | $444.8K | 1.68% | 4,282 | SH |
| 19 | INNOVATIVE INDL PPTYS INC | IIPR | 45781V101 | $421.4K | 1.60% | 8,000 | SH |
| 20 | RUNWAY GROWTH FINANCE CORP | RWAY | 78163D100 | $381.6K | 1.44% | 57,636 | SH |
| 21 | FORD MTR CO | F | 345370860 | $376.0K | 1.42% | 31,177 | SH |
| 22 | FLUENCE ENERGY INC | FLNC | 34379VAB9 | $373.5K | 1.41% | 500,000 | SH |
| 23 | ADAMS DIVERSIFIED EQUITY FD | ADX | 006212104 | $351.0K | 1.33% | 13,674 | SH |
| 24 | CALAMOS STRATEGIC TOTAL RETU | CSQ | 128125101 | $318.7K | 1.21% | 15,628 | SH |
| 25 | VIRTUS EQUITY & CONV INCM FD | NIE | 92841M101 | $314.1K | 1.19% | 12,564 | SH |
| 26 | NEXPOINT DIVERSIFIED REL ET | NXDT | 65340G205 | $312.3K | 1.18% | 59,944 | SH |
| 27 | GABELLI DIVID & INCOME TR | GDV | 36242H104 | $273.3K | 1.03% | 9,662 | SH |
| 28 | EZCORP INC | EZPW | 302301106 | $272.1K | 1.03% | 9,142 | SH |
| 29 | EATON VANCE TAX ADVT DIV INC | EVT | 27828G107 | $268.0K | 1.01% | 9,603 | SH |
| 30 | INVESCO QQQ TR | QQQ | 46090E103 | $258.1K | 0.98% | 349 | SH |
| 31 | ALLIANCEBERNSTEIN GLOBAL HIG | AWF | 01879R106 | $248.4K | 0.94% | 25,524 | SH |
| 32 | CARLYLE SECURED LENDING INC | CGBD | 872280102 | $237.8K | 0.90% | 22,243 | SH |
| 33 | APOLLO GLOBAL MGMT INC | APO | 03769M106 | $222.4K | 0.84% | 1,917 | SH |
| 34 | BLACKROCK CORPOR HI YLD FD I | HYT | 09255P107 | $222.0K | 0.84% | 28,314 | SH |
| 35 | BLUE OWL CAPITAL CORPORATION | OBDC | 69121K104 | $210.3K | 0.80% | 20,049 | SH |
| 36 | HANCOCK JOHN TAX-ADVANTAGED | HTD | 41013V100 | $208.6K | 0.79% | 9,406 | SH |
| 37 | BLACKROCK CR ALLOCATION | BTZ | 092508100 | $207.9K | 0.79% | 22,327 | SH |
| 38 | BLACKSTONE SECD LENDING FD | BXSL | 09261X102 | $207.7K | 0.79% | 8,662 | SH |
| 39 | LYFT INC | LYFT | 55087PAD6 | $195.6K | 0.74% | 190,000 | SH |
| 40 | PALMER SQUARE CAPITAL BDC IN | PSBD | 69702V107 | $192.3K | 0.73% | 19,447 | SH |
| 41 | SLR INVESTMENT CORP | SLRC | 83413U100 | $186.4K | 0.71% | 16,086 | SH |
| 42 | NEW MTN FIN CORP | NMFC | 647551100 | $174.2K | 0.66% | 25,169 | SH |
| 43 | COHEN & STEERS QUALITY INCOM | RQI | 19247L106 | $172.8K | 0.65% | 15,851 | SH |
| 44 | BLACKROCK MULTI SECTOR INC T | BIT | 09258A107 | $156.1K | 0.59% | 13,889 | SH |
| 45 | CRESCENT CAP BDC INC | CCAP | 225655109 | $142.5K | 0.54% | 15,527 | SH |
| 46 | TEMPLETON EMERGING MKTS INCO | TEI | 880192109 | $140.2K | 0.53% | 22,799 | SH |
| 47 | EATON VANCE MUN BD FD | EIM | 27827X101 | $119.8K | 0.45% | 13,213 | SH |
| 48 | NUVEEN QUALITY MUNCP INCOME | NAD | 67066V101 | $118.6K | 0.45% | 11,715 | SH |
| 49 | NUVEEN AMT FREE QLTY MUN INC | NEA | 670657105 | $117.4K | 0.44% | 11,798 | SH |
| 50 | ALLIANCEBERNSTEIN NATL MUN I | AFB | 01864U106 | $116.3K | 0.44% | 12,204 | SH |
Filing History
| Period | Filed | AUM | Holdings | Accession |
|---|---|---|---|---|
| 2026-09-30 | 2026-10-29 | $26.4M | 56 | 0001180391-26-000007 |
| 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 |
Filer Information
Address
4200 S. HULENSTE 534
FORT WORTH, TX 76109
Phone
(713) 224-3100
Filing Manager
SMH CAPITAL ADVISORS INC
FORT WORTH, TX
Signatory
Amanda Haley
Platform Program Manager