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SMH CAPITAL ADVISORS LLC
CRD 108344File 801-54089
APPROVED
Retail clients
Filing as of Sep 29, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$503.1M
Above cohort median (national)
Discretionary AUM
$503.1M
Clients
171
171 accounts
Employees
7
Above cohort median in TX
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- FWRO
- Registration date
- Jun 6, 1997
- Principal office
- 101 YORK AVE., WEATHERFORD, TX, 76086
- Phone
- 817-569-7000
- Website
- HTTP://WWW.SMHCA.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $503.1M
- Discretionary AUM
- $503.1M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 171
- Non-discretionary accounts
- 0
- Total accounts
- 171
- AUM per client
- $2.9M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | Fewer than 5 | $4.4M |
| Insurance companies | Fewer than 5 | $13.1M |
| Investment companies | 2 | $98.1M |
| High net worth individuals | 6 | $9.5M |
| Pension and profit sharing plans | Fewer than 5 | $349.7M |
| Individuals (other than high net worth individuals) | 161 | $28.3M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Commissions
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Portfolio management for other
- Portfolio management for businesses
- Portfolio management for investment companies
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 4 | 7 | increased by3 |
| Apr 1, 2026 | Clients | 186 | 171 | decreased by15 |
| Apr 1, 2026 | AUM | $419,741,296 | $503,081,102 | increased by$83,339,806 |
| Apr 1, 2026 | Accounts | 189 | 171 | decreased by18 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 8 | 4 | decreased by4 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 429 | 186 | decreased by243 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $426,686,200 | $419,741,296 | decreased by$6,944,904 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 435 | 189 | decreased by246 |
| Apr 1, 2022 | Clients | 285 | 429 | increased by144 |
| Apr 1, 2022 | AUM | $323,119,498 | $426,686,200 | increased by$103,566,702 |
| Apr 1, 2022 | Accounts | 467 | 435 | decreased by32 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “SMH CAPITAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“SMH CAPITAL” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.