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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
  1. TRINITY CAP INC · COM · 896442308 · shares: $3,015,449
  2. CAPITAL SOUTHWEST CORP · COM · 140501107 · shares: $1,862,576
  3. ALPHATEC HLDGS INC · NOTE 0.750% 3/1 · 02081GAD4 · shares: $1,482,045
  4. VICI PPTYS INC · COM · 925652109 · shares: $1,348,243
  5. SM ENERGY COMPANY · COM · 78454L100 · shares: $1,263,360
  6. MAIN STR CAP CORP · COM · 56035L104 · shares: $1,216,357
  7. HERCULES CAPITAL INC · COM · 427096508 · shares: $1,007,020
  8. CAPITAL SOUTHWEST CORP · NOTE 5.125%11/1 · 140501AE7 · shares: $967,356
  9. BLUE OWL CAPITAL INC · COM CL A · 09581B103 · shares: $938,533
  10. LYFT INC · NOTE 9/1 · 55087PAF1 · shares: $812,600

Reported holdings

56 reported entries
IssuerClassCUSIPTypeShares / principalReported value (USD)
TRINITY CAP INCCOM896442308 — 171,820 shares $3,015,449
CAPITAL SOUTHWEST CORPCOM140501107 — 80,526 shares $1,862,576
ALPHATEC HLDGS INCNOTE 0.750% 3/102081GAD4 — 1,485,000 shares $1,482,045
VICI PPTYS INCCOM925652109 — 58,696 shares $1,348,243
SM ENERGY COMPANYCOM78454L100 — 37,400 shares $1,263,360
MAIN STR CAP CORPCOM56035L104 — 22,095 shares $1,216,357
HERCULES CAPITAL INCCOM427096508 — 59,906 shares $1,007,020
CAPITAL SOUTHWEST CORPNOTE 5.125%11/1140501AE7 — 936,000 shares $967,356
BLUE OWL CAPITAL INCCOM CL A09581B103 — 103,249 shares $938,533
LYFT INCNOTE 9/155087PAF1 — 850,000 shares $812,600
CARLYLE GROUP INCCOM14316J108 — 18,795 shares $745,418
STATE STR SPDR S&P 500 ETF TTR UNIT78462F103 — 807 shares $615,133
RITHM CAPITAL CORPCOM NEW64828T201 — 66,158 shares $590,792
NEOSTELLAR CAP CORPCOM NEW86887Q109 — 72,245 shares $555,563
ROUNDHILL ETF TRUSTMEMORY ETF77926X320 — 9,106 shares $549,638
ARES CAPITAL CORPCOM04010L103 — 25,355 shares $484,281
VANGUARD INTL EQUITY INDEX FFTSE EMR MKT ETF922042858 — 7,692 shares $456,196
ISHARES TRMSCI EAFE ETF464287465 — 4,282 shares $444,842
INNOVATIVE INDL PPTYS INCCOM45781V101 — 8,000 shares $421,440
RUNWAY GROWTH FINANCE CORPCOM78163D100 — 57,636 shares $381,550
FORD MTR COCOM345370860 — 31,177 shares $375,995
FLUENCE ENERGY INCNOTE 2.250% 6/134379VAB9 — 500,000 shares $373,500
ADAMS DIVERSIFIED EQUITY FDCOM006212104 — 13,674 shares $351,012
CALAMOS STRATEGIC TOTAL RETUCOM SH BEN INT128125101 — 15,628 shares $318,663
VIRTUS EQUITY & CONV INCM FDCOM92841M101 — 12,564 shares $314,093
NEXPOINT DIVERSIFIED REL ETCOM NEW65340G205 — 59,944 shares $312,307
GABELLI DIVID & INCOME TRCOM36242H104 — 9,662 shares $273,345
EZCORP INCCL A NON VTG302301106 — 9,142 shares $272,066
EATON VANCE TAX ADVT DIV INCCOM27828G107 — 9,603 shares $268,018
INVESCO QQQ TRUNIT SER 146090E103 — 349 shares $258,081
ALLIANCEBERNSTEIN GLOBAL HIGCOM01879R106 — 25,524 shares $248,351
CARLYLE SECURED LENDING INCCOM872280102 — 22,243 shares $237,778
APOLLO GLOBAL MGMT INCCOM03769M106 — 1,917 shares $222,431
BLACKROCK CORPOR HI YLD FD ICOM09255P107 — 28,314 shares $221,985
BLUE OWL CAPITAL CORPORATIONCOM69121K104 — 20,049 shares $210,314
HANCOCK JOHN TAX-ADVANTAGEDCOM41013V100 — 9,406 shares $208,618
BLACKROCK CR ALLOCATIONCOM092508100 — 22,327 shares $207,866
BLACKSTONE SECD LENDING FDCOMMON STOCK09261X102 — 8,662 shares $207,715
LYFT INCNOTE 0.625% 3/055087PAD6 — 190,000 shares $195,627
PALMER SQUARE CAPITAL BDC INCOM SHS69702V107 — 19,447 shares $192,331
SLR INVESTMENT CORPCOM83413U100 — 16,086 shares $186,440
NEW MTN FIN CORPCOM647551100 — 25,169 shares $174,169
COHEN & STEERS QUALITY INCOMCOM19247L106 — 15,851 shares $172,774
BLACKROCK MULTI SECTOR INC TCOM09258A107 — 13,889 shares $156,107
CRESCENT CAP BDC INCCOM225655109 — 15,527 shares $142,538
TEMPLETON EMERGING MKTS INCOCOM880192109 — 22,799 shares $140,212
EATON VANCE MUN BD FDCOM27827X101 — 13,213 shares $119,846
NUVEEN QUALITY MUNCP INCOMECOM67066V101 — 11,715 shares $118,559
NUVEEN AMT FREE QLTY MUN INCCOM670657105 — 11,798 shares $117,390
ALLIANCEBERNSTEIN NATL MUN ICOM01864U106 — 12,204 shares $116,305
U S GLOBAL INVS INCCL A902952100 — 37,486 shares $107,960
CION INVT CORPCOM17259U204 — 14,600 shares $102,492
BLACKROCK TCP CAPITAL CORPCOM09259E108 — 24,717 shares $98,868
TRIPLEPOINT VENTURE GROWTH BCOM89677Y100 — 19,494 shares $94,741
ADVANCED FLOWER CAP INCCOM00109K105 — 26,000 shares $93,600
SELECTQUOTE INCCOM816307300 — 116,337 shares $47,116