SMH Capital Advisors LLC

RIASEC Registered

Total AUM

$503M

Discretionary

$503M

100% of AUM

Avg account

$2.9M

Accounts

171

Employees

Advisory reps

Firm details

Headquarters: Weatherford, Texas
CRD number: 108344
Registered since: June 6, 1997
Website: www.smhca.com
Custodians: STATE STREET BANK AND TRUST COMPANY
Fee structure: Percentage of AUM, Hourly Charges, Commissions
Client types: Pension & Profit Sharing Plans69.51%
Investment Companies19.5%
Individuals5.63%
Insurance Companies2.6%
HNWI1.88%
Services: Portfolio Management for IndividualsPortfolio Management for Investment CompaniesPortfolio Management for Institutional ClientsPension Consulting

Firm profile

FINTRX

Overview

SMH Capital Advisors LLC is an institutional registered investment adviser that works with both individual/family and institutional clients. The firm is SEC registered (1997) and provides portfolio management across a range of client types — individuals and small businesses, investment companies, businesses or institutions — along with pension consulting services. It also conducts broker-dealer and insurance-broker activities through affiliated channels and bills clients via a mix of percentage-of-AUM fees, hourly charges and commissions. The firm's operating model blends advisory and intermediary functions: it acts as a registered representative of a broker-dealer and as an insurance broker while delivering discretionary portfolio management. Investment policy emphasizes fixed‑income allocations, with active management of corporate debt alongside access to public equities and ETFs.