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RIA / WealthRegistered adviserinstitutional managerSEC registeredRAUM 100m 1b

SMH CAPITAL ADVISORS LLC

CRD 108344

FORT WORTH, TX

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Search this name across graphsid dfx:ria:7c01fbde-1ae8-4c5a-1051-90c48de4e641

Data as of Mar 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 54
Dated events: 6
On other graphs: 0
Observed: Nov 29, 2011 to Mar 19, 2026
60 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: institutional managerderivedprivate_client_share=0.08 fund_share=0.2 institutional_share=0.72 related_bd=true related_bank=false bd_reps=2.0
Regulatory AUM: $503MItem 5.F on the latest filing (2026-03-19); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $503M
Private client RAUM: $37.8MderivedItem 5.D individuals plus high net worth individuals
Private client share: 8%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $168Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 7
Advisory employees: 2
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 171
Individual clients: 161
High net worth clients: 6
SEC number: 801-54089
CRD: 108344
Filings on the tape: 60
First filed: Nov 29, 2011
Latest filed: Mar 19, 2026
Organised: Limited Liability Company, TX
Website: smhca.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
DWAYNE ALAN MOYERS	n/a	FORT WORTH, TX	29	35	1	yes
LISA CELESTE HALEY	n/a	FORT WORTH, TX \| WEATHERFORD, TX	18	22	2	yes
JEFFREY BRANDON ALLRED	n/a	FORT WORTH, TX	0	16	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
HALEY, LISA, CELESTE	VICE PRESIDENT	Na	yes	07/2017	Aug 1, 2017	Dec 18, 2024
MOYERS ORGANIZATION, LLC	Member	E	yes	07/2017	Dec 4, 2017	Dec 18, 2024
MOYERS, DWAYNE, ALAN	MEMBER, MANAGER AND PRESIDENT	E	yes	07/2017	Nov 29, 2011	Dec 18, 2024
MOYERS, DWAYNE, ALAN	PRESIDENT, CHIEF INVESTMENT OFFICER AND BOARD OF MANAGERS(9/2015)	Na	yes	03/2012	Nov 29, 2011	Dec 18, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
SMH CAPITAL INVESTMENTS LLC	n/a	n/a	n/a	Y	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Weatherford	TX	United States	1	yes

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 19, 2026	$503M	$503M	7	2	2	n/a	n/a
2024	Mar 27, 2025	$420M	$420M	4	2	1	n/a	n/a
2023	Feb 15, 2024	$395M	$382M	4	4	1	n/a	n/a
2022	Mar 28, 2023	$371M	$371M	3	3	1	n/a	n/a
2021	Mar 24, 2022	$427M	$414M	8	3	1	n/a	n/a
2020	Mar 31, 2021	$323M	$311M	8	3	1	n/a	n/a
2019	Mar 30, 2020	$303M	$303M	7	3	1	n/a	n/a
2018	Mar 29, 2019	$318M	$306M	9	3	1	n/a	n/a
2017	Mar 29, 2018	$408M	$408M	7	3	1	n/a	n/a
2016	Mar 30, 2017	$441M	$428M	11	4	n/a	n/a	n/a
2015	Mar 30, 2016	$340M	$327M	11	3	n/a	n/a	n/a
2014	Mar 31, 2015	$885M	$885M	11	4	n/a	n/a	n/a
2013	Mar 31, 2014	$1.3B	$1.3B	13	5	n/a	n/a	n/a
2012	Mar 27, 2013	$1.5B	$1.5B	15	5	n/a	n/a	n/a
2011	Mar 26, 2012	$1.5B	$1.5B	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$503M	$420M	19.9%	$371M	10.7%	7	4	2	1

Relationships

Registered with (50)

← JEFFREY BRANDON ALLREDAdvisorregistration: current employment
May 26, 2026 to presentfactForm ADV
← LISA CELESTE HALEYAdvisorregistration: current employment
Oct 18, 2007 to presentfactForm ADV
← DWAYNE ALAN MOYERSAdvisorregistration: current employment
Jun 9, 1997 to presentfactForm ADV
← Jenny Don CarlosAdvisorregistration: previous registration
Apr 14, 2009 to Jan 20, 2023factForm ADV
← Deborah Eileen SmithAdvisorregistration: previous registration
Oct 21, 2011 to Dec 1, 2017factForm ADV
← Christine E GoatesAdvisorregistration: previous registration
Oct 24, 2012 to Feb 19, 2013factForm ADV
← JIMMY RHEA DAYAdvisorregistration: previous registration
Feb 26, 2004 to Sep 11, 2012factForm ADV
← Cindy Michelle TamborelloAdvisorregistration: previous registration
May 3, 2012 to Sep 11, 2012factForm ADV
← STEPHEN RICHARD CORDILLAdvisorregistration: previous registration
Apr 18, 2006 to Aug 8, 2011factForm ADV
← TERRANCE STEPHEN PUHLAdvisorregistration: previous registration
Feb 27, 2003 to Dec 31, 2006factForm ADV
← BERT EARL MILLERAdvisorregistration: previous registration
Mar 9, 2005 to Dec 31, 2006factForm ADV
← RUNE MEDHUSAdvisorregistration: previous registration
Feb 13, 2006 to Dec 31, 2006factForm ADV
← JEFFREY WARREN FARLEYAdvisorregistration: previous registration
Nov 5, 2002 to Dec 31, 2006factForm ADV
← JAMES RAYMOND CLARKAdvisorregistration: previous registration
Oct 3, 2005 to Dec 31, 2006factForm ADV
← JOHN GREGORY FATTIBENEAdvisorregistration: previous registration
Nov 29, 2004 to Dec 31, 2006factForm ADV
← THOMAS MAHONE TOLLESONAdvisorregistration: previous registration
Jul 27, 2004 to Dec 31, 2006factForm ADV
← KEVIN CALANDROAdvisorregistration: previous registration
Apr 14, 2004 to Dec 31, 2006factForm ADV
← TERRY LEE ALLENAdvisorregistration: previous registration
Nov 1, 2004 to Dec 31, 2006factForm ADV
← JAMES ALLEN NEUENSCHWANDERAdvisorregistration: previous registration
Nov 4, 2005 to Dec 31, 2006factForm ADV
← JASON N GINDERAdvisorregistration: previous registration
Jan 2, 2004 to Dec 31, 2006factForm ADV
← AMY SMITH RUBINAdvisorregistration: previous registration
Mar 17, 2004 to Dec 31, 2006factForm ADV
← LISA GAYE MARCELLIAdvisorregistration: previous registration
Feb 5, 2003 to Dec 31, 2006factForm ADV
← RONALD JOSEPH BROWNAdvisorregistration: previous registration
Mar 15, 2004 to Dec 31, 2006factForm ADV
← ROBERT ALEXANDER SOLLEYAdvisorregistration: previous registration
Feb 4, 2004 to Dec 31, 2006factForm ADV
← THOMAS BRIAN ALLREDAdvisorregistration: previous registration
Mar 25, 2003 to Dec 31, 2006factForm ADV
← JEFFREY GLYNN RHAMEAdvisorregistration: previous registration
Oct 4, 2005 to Dec 31, 2006factForm ADV
← CHRISTOPHER ERIC POLLITTAdvisorregistration: previous registration
Feb 4, 2002 to Dec 31, 2006factForm ADV
← SUSAN ANNE SCHAUFELEAdvisorregistration: previous registration
Dec 19, 2005 to Dec 31, 2006factForm ADV
← JOHN ELLIOT DOREAdvisorregistration: previous registration
Mar 11, 2004 to Dec 31, 2006factForm ADV
← WILLIAM RICHARD HURTAdvisorregistration: previous registration
Nov 19, 2002 to Dec 31, 2006factForm ADV
and 20 more

Controls (3)

← MOYERS, DWAYNE, ALANOwnerMEMBER, MANAGER AND PRESIDENT, ownership code E, individual
Nov 29, 2011 to Dec 18, 2024factForm ADV
← HALEY, LISA, CELESTEOwnerVICE PRESIDENT, ownership code NA, individual
Aug 1, 2017 to Dec 18, 2024factForm ADV
← MOYERS ORGANIZATION, LLCOwnerMEMBER, ownership code E, domestic entity
Dec 4, 2017 to Dec 18, 2024factForm ADV

Dated events

Occurred
Feb 15, 2024
Control person left
Alan Daniel Rudnitsky (Senior Vice President) no longer on Schedule A of Smh Capital Advisors Llc (listed 2023-06-01, absent 2024-02-15)
Form ADVobserved 4 days ago
Occurred
Jan 20, 2023
Advisor changed firm
Jenny Don Carlos left Smh Capital Advisors Llc for First Command Advisory Services (registered 2023-02-17)
Form ADVobserved 4 days ago
Occurred
Mar 24, 2022
Regulatory AUM changed
Smh Capital Advisors Llc reported RAUM $426.7M, up 32% from $323.1M (2021-08-15 to 2022-03-24)
Form ADVobserved 4 days ago
$104M
Occurred
Aug 15, 2021
Control person left
L Rhonda Davis (Cco) no longer on Schedule A of Smh Capital Advisors Llc (listed 2021-03-31, absent 2021-08-15)
Form ADVobserved 4 days ago
Occurred
Apr 23, 2019
Control person joined
L Rhonda Davis (Co-Cco) appeared on Schedule A of Smh Capital Advisors Llc
Form ADVobserved 4 days ago
Occurred
Oct 1, 2015
Succession filed (Item 4)
Smh Capital Advisors, Inc. reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7c01fbde-1ae8-4c5a-1051-90c48de4e641
First observed: Nov 29, 2011
Last observed: Mar 19, 2026 6 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

SMH CAPITAL ADVISORS LLC

CRD 108344

FORT WORTH, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:7c01fbde-1ae8-4c5a-1051-90c48de4e641

Data as of Mar 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:39 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

DWAYNE ALAN MOYERS

n/a

FORT WORTH, TX

yes

LISA CELESTE HALEY

n/a

FORT WORTH, TX | WEATHERFORD, TX

yes

JEFFREY BRANDON ALLRED

n/a

FORT WORTH, TX

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HALEY, LISA, CELESTE

VICE PRESIDENT

yes

07/2017

Aug 1, 2017

Dec 18, 2024

MOYERS ORGANIZATION, LLC

Member

yes

07/2017

Dec 4, 2017

Dec 18, 2024

MOYERS, DWAYNE, ALAN

MEMBER, MANAGER AND PRESIDENT

yes

07/2017

Nov 29, 2011

Dec 18, 2024

MOYERS, DWAYNE, ALAN

PRESIDENT, CHIEF INVESTMENT OFFICER AND BOARD OF MANAGERS(9/2015)

yes

03/2012

Nov 29, 2011

Dec 18, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

SMH CAPITAL INVESTMENTS LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Weatherford

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 19, 2026

$503M

n/a

2024

Mar 27, 2025

$420M

n/a

2023

Feb 15, 2024

$395M

$382M

n/a

2022

Mar 28, 2023

$371M

n/a

2021

Mar 24, 2022

$427M

$414M

n/a

2020

Mar 31, 2021

$323M

$311M

n/a

2019

Mar 30, 2020

$303M

n/a

2018

Mar 29, 2019

$318M

$306M

n/a

2017

Mar 29, 2018

$408M

n/a

2016

Mar 30, 2017

$441M

$428M

n/a

2015

Mar 30, 2016

$340M

$327M

n/a

2014

Mar 31, 2015

$885M

n/a

2013

Mar 31, 2014

$1.3B

n/a

2012

Mar 27, 2013

$1.5B

n/a

2011

Mar 26, 2012

$1.5B

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$503M

$420M

19.9%

$371M

10.7%