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SMH CAPITAL ADVISORS INC
Period ended Sep 30, 2026 · Latest filing Oct 29, 2026
These quarterly holdings are delayed and may not include all assets or short positions.
Values are from the reporting date, not current prices or purchase costs.
The same security may appear in multiple rows.
Source: SEC
Reported portfolio value
Quarter-end reported holdings; not current value or investment performance.
View reported values
- Sep 30, 2026: $26,417,605
More quarters will appear as history becomes available.
Top holdings
Top 10 at Sep 30, 2026. Matching entries are combined; security classes and options remain separate. Shares exclude principal amounts; option shares reflect the reported underlying amount.
View top holdings values
- TRINITY CAP INC · COM · 896442308 · shares: $3,015,449
- CAPITAL SOUTHWEST CORP · COM · 140501107 · shares: $1,862,576
- ALPHATEC HLDGS INC · NOTE 0.750% 3/1 · 02081GAD4 · shares: $1,482,045
- VICI PPTYS INC · COM · 925652109 · shares: $1,348,243
- SM ENERGY COMPANY · COM · 78454L100 · shares: $1,263,360
- MAIN STR CAP CORP · COM · 56035L104 · shares: $1,216,357
- HERCULES CAPITAL INC · COM · 427096508 · shares: $1,007,020
- CAPITAL SOUTHWEST CORP · NOTE 5.125%11/1 · 140501AE7 · shares: $967,356
- BLUE OWL CAPITAL INC · COM CL A · 09581B103 · shares: $938,533
- LYFT INC · NOTE 9/1 · 55087PAF1 · shares: $812,600
Reported holdings
56 reported entries| Issuer | Class | CUSIP | Type | Shares / principal | Reported value (USD) |
|---|---|---|---|---|---|
| TRINITY CAP INC | COM | 896442308 | — | 171,820 shares | $3,015,449 |
| CAPITAL SOUTHWEST CORP | COM | 140501107 | — | 80,526 shares | $1,862,576 |
| ALPHATEC HLDGS INC | NOTE 0.750% 3/1 | 02081GAD4 | — | 1,485,000 shares | $1,482,045 |
| VICI PPTYS INC | COM | 925652109 | — | 58,696 shares | $1,348,243 |
| SM ENERGY COMPANY | COM | 78454L100 | — | 37,400 shares | $1,263,360 |
| MAIN STR CAP CORP | COM | 56035L104 | — | 22,095 shares | $1,216,357 |
| HERCULES CAPITAL INC | COM | 427096508 | — | 59,906 shares | $1,007,020 |
| CAPITAL SOUTHWEST CORP | NOTE 5.125%11/1 | 140501AE7 | — | 936,000 shares | $967,356 |
| BLUE OWL CAPITAL INC | COM CL A | 09581B103 | — | 103,249 shares | $938,533 |
| LYFT INC | NOTE 9/1 | 55087PAF1 | — | 850,000 shares | $812,600 |
| CARLYLE GROUP INC | COM | 14316J108 | — | 18,795 shares | $745,418 |
| STATE STR SPDR S&P 500 ETF T | TR UNIT | 78462F103 | — | 807 shares | $615,133 |
| RITHM CAPITAL CORP | COM NEW | 64828T201 | — | 66,158 shares | $590,792 |
| NEOSTELLAR CAP CORP | COM NEW | 86887Q109 | — | 72,245 shares | $555,563 |
| ROUNDHILL ETF TRUST | MEMORY ETF | 77926X320 | — | 9,106 shares | $549,638 |
| ARES CAPITAL CORP | COM | 04010L103 | — | 25,355 shares | $484,281 |
| VANGUARD INTL EQUITY INDEX F | FTSE EMR MKT ETF | 922042858 | — | 7,692 shares | $456,196 |
| ISHARES TR | MSCI EAFE ETF | 464287465 | — | 4,282 shares | $444,842 |
| INNOVATIVE INDL PPTYS INC | COM | 45781V101 | — | 8,000 shares | $421,440 |
| RUNWAY GROWTH FINANCE CORP | COM | 78163D100 | — | 57,636 shares | $381,550 |
| FORD MTR CO | COM | 345370860 | — | 31,177 shares | $375,995 |
| FLUENCE ENERGY INC | NOTE 2.250% 6/1 | 34379VAB9 | — | 500,000 shares | $373,500 |
| ADAMS DIVERSIFIED EQUITY FD | COM | 006212104 | — | 13,674 shares | $351,012 |
| CALAMOS STRATEGIC TOTAL RETU | COM SH BEN INT | 128125101 | — | 15,628 shares | $318,663 |
| VIRTUS EQUITY & CONV INCM FD | COM | 92841M101 | — | 12,564 shares | $314,093 |
| NEXPOINT DIVERSIFIED REL ET | COM NEW | 65340G205 | — | 59,944 shares | $312,307 |
| GABELLI DIVID & INCOME TR | COM | 36242H104 | — | 9,662 shares | $273,345 |
| EZCORP INC | CL A NON VTG | 302301106 | — | 9,142 shares | $272,066 |
| EATON VANCE TAX ADVT DIV INC | COM | 27828G107 | — | 9,603 shares | $268,018 |
| INVESCO QQQ TR | UNIT SER 1 | 46090E103 | — | 349 shares | $258,081 |
| ALLIANCEBERNSTEIN GLOBAL HIG | COM | 01879R106 | — | 25,524 shares | $248,351 |
| CARLYLE SECURED LENDING INC | COM | 872280102 | — | 22,243 shares | $237,778 |
| APOLLO GLOBAL MGMT INC | COM | 03769M106 | — | 1,917 shares | $222,431 |
| BLACKROCK CORPOR HI YLD FD I | COM | 09255P107 | — | 28,314 shares | $221,985 |
| BLUE OWL CAPITAL CORPORATION | COM | 69121K104 | — | 20,049 shares | $210,314 |
| HANCOCK JOHN TAX-ADVANTAGED | COM | 41013V100 | — | 9,406 shares | $208,618 |
| BLACKROCK CR ALLOCATION | COM | 092508100 | — | 22,327 shares | $207,866 |
| BLACKSTONE SECD LENDING FD | COMMON STOCK | 09261X102 | — | 8,662 shares | $207,715 |
| LYFT INC | NOTE 0.625% 3/0 | 55087PAD6 | — | 190,000 shares | $195,627 |
| PALMER SQUARE CAPITAL BDC IN | COM SHS | 69702V107 | — | 19,447 shares | $192,331 |
| SLR INVESTMENT CORP | COM | 83413U100 | — | 16,086 shares | $186,440 |
| NEW MTN FIN CORP | COM | 647551100 | — | 25,169 shares | $174,169 |
| COHEN & STEERS QUALITY INCOM | COM | 19247L106 | — | 15,851 shares | $172,774 |
| BLACKROCK MULTI SECTOR INC T | COM | 09258A107 | — | 13,889 shares | $156,107 |
| CRESCENT CAP BDC INC | COM | 225655109 | — | 15,527 shares | $142,538 |
| TEMPLETON EMERGING MKTS INCO | COM | 880192109 | — | 22,799 shares | $140,212 |
| EATON VANCE MUN BD FD | COM | 27827X101 | — | 13,213 shares | $119,846 |
| NUVEEN QUALITY MUNCP INCOME | COM | 67066V101 | — | 11,715 shares | $118,559 |
| NUVEEN AMT FREE QLTY MUN INC | COM | 670657105 | — | 11,798 shares | $117,390 |
| ALLIANCEBERNSTEIN NATL MUN I | COM | 01864U106 | — | 12,204 shares | $116,305 |
| U S GLOBAL INVS INC | CL A | 902952100 | — | 37,486 shares | $107,960 |
| CION INVT CORP | COM | 17259U204 | — | 14,600 shares | $102,492 |
| BLACKROCK TCP CAPITAL CORP | COM | 09259E108 | — | 24,717 shares | $98,868 |
| TRIPLEPOINT VENTURE GROWTH B | COM | 89677Y100 | — | 19,494 shares | $94,741 |
| ADVANCED FLOWER CAP INC | COM | 00109K105 | — | 26,000 shares | $93,600 |
| SELECTQUOTE INC | COM | 816307300 | — | 116,337 shares | $47,116 |