DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Smh Capital Advisors LLC
Latest filing Mar 19, 2026
First filing on the tape Nov 29, 2011 · 60 filings
SEC status approved since Jun 6, 1997
RAUM
$503M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
7.5%
$37.8M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$168M
derived; firm RAUM over IAPD count
Employees
7
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
60 filings and snapshots on the tape
RAUM$503M as of Mar 19, 2026
Mar 26, 2012$1.5B then
HNW client RAUM$9.5M as of Mar 19, 2026
Mar 29, 2018$16.1M then
State-registered IARs (5.B.3)2 as of Mar 19, 2026
Mar 27, 20139 then
Employees (5.A)7 as of Mar 19, 2026
Mar 27, 201315 then
Private funds: no history
RAUM +20% over the last fiscal year+11% a year over threeIARs 2 to 2offices 1 to 2
Practice profile
derived from the filing of Mar 19, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $168MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 56derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $2.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 72%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -6.7%derived
- Compensation
- percentage of assets, hourly, commissionsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, pension consultingreportedItem 5.G
- Wrap fee program
- $64.0MreportedItem 5.I
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$350M70%
- Investment companies$98.1M20%
- Individuals$28.3M5.6%
- Insurance companies$13.1M2.6%
- High-net-worth individuals$9.5M1.9%
- Corporations and businesses$4.4M0.9%
- Individual clients
- 161reported
- HNW clients
- 6reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 171reported
- Financial planning clients
- reported
- Wrap fee programs
- $32.0M sponsored, $32.0M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourly, commissionsreported
- Class basis
- private_client_share=0.08 fund_share=0.2 institutional_share=0.72 related_bd=true related_bank=false bd_reps=2.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Dwayne Alan Moyers | Fort Worth, Tx | Jun 9, 1997 | 35 y | 1 |
| Lisa Celeste Haley | Fort Worth, Tx | Oct 18, 2007 | 22 y | 2 |
| Jeffrey Brandon Allred | Fort Worth, Tx | May 26, 2026 | 16 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Jenny Don Carlos to First Command Advisory ServicesJan 20, 2023 · Other
- Deborah Eileen Smith to First Command Advisory ServicesDec 1, 2017 · Other
- Christine E Goates to First Command Advisory ServicesFeb 19, 2013 · Other
- Jimmy Rhea Day to Prospera Financial Services, Inc.Sep 11, 2012 · Other
- Cindy Michelle Tamborello to Prospera Financial Services, Inc.Sep 11, 2012 · Other
- Stephen Richard Cordill to Sanders Morris LLCAug 8, 2011 · Other
- William Richard Hurt to Smh Group Investment Advisors Inc.Dec 31, 2006 · Other
- Richard Allan Walsh to Sanders Morris LLCJul 14, 2006 · Other
- Jeffrey Alan Thompson to Fsc Securities CorporationFeb 27, 2006 · Other
- Paula Sue Levine to Morgan StanleyDec 6, 2005 · Other
- Lawrence Jay Kalish to Oppenheimer & Co. Inc.Dec 6, 2005 · Other
- Neal Paul Quon to Next Financial Group, Inc.Nov 8, 2005 · Other
- John Neale Mcintyre to Wells Fargo AdvisorsNov 3, 2005 · Other
- Janice Ann Webb Lavin to Abshier Webb Donnelly & Baker, Inc.Jan 5, 2005 · Other
- John Perry to Raymond James Financial Services, Inc.May 4, 2004 · Other
Joined, latest
- Christine E Goates from First Command Financial Planning, Inc.Oct 24, 2012 · Other
- Jenny Don Carlos from Sanders Morris LLCApr 14, 2009 · Other
- Lisa Celeste Haley from LPL Financial LLCOct 18, 2007 · Other
- John Calandro from Calandro Advisory Services, Inc.May 19, 2006 · Other
- Stephen Richard Cordill from Oppenheimer Asset ManagementApr 18, 2006 · Other
- Susan Anne Schaufele from Ferris, Baker Watts, LLCDec 19, 2005 · Other
- James Allen Neuenschwander from Miller-Green Financial Services LLCNov 4, 2005 · Other
- Jeffrey Glynn Rhame from Miller-Green Financial Services LLCOct 4, 2005 · Other
- Christopher Shawn Ramsey from Miller-Green Financial Services LLCOct 4, 2005 · Other
- James Raymond Clark from StephensOct 3, 2005 · Other
- Neal Paul Quon from 1717 Capital Management CompanySep 27, 2005 · Other
- Richard Allan Walsh from Cascade Investment Group, Inc.Mar 11, 2005 · Other
- Bert Earl Miller from Miller-Green Financial Services LLCMar 9, 2005 · Other
- Thomas Mahone Tolleson from Cetera Advisors LLCJul 27, 2004 · Other
- Lawrence Jay Kalish from Wells Fargo AdvisorsMar 12, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Celeste Lisa Haley · Vice Presidentcontrolsince 07/2017 · owns less than 5%
- Alan Dwayne Moyers · President, Chief Investment Officer And Board Of Managers(9/2015)controlsince 03/2012 · owns less than 5%
- Alan Dwayne Moyers · Member, Manager And Presidentcontrolsince 07/2017 · owns 75% or more of Moyers Organization, LLC
Entity owners
- Moyers Organization, LLC · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- Smh Capital Investments LLCbroker-dealerreal estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Fort Worth, Tx · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Weatherford, TX1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 19, 2026financial planning (Item 5.G.1): yes on the filing of 2025-03-27, no on the filing of 2026-03-19peers: institutional managers, $500M to $1B (71)
- institutional asset share shiftChange between filings · filing Mar 19, 2026institutional share of RAUM moved from 5.0% to 73.0% between the annual amendments of 2025-03-27 and 2026-03-19peers: institutional managers, $500M to $1B (71)
What changed
consecutive filings, newest first
- Advisory activities · 5 to 4Mar 27, 2025 to Mar 19, 2026
- Accounts · 189 to 171Mar 27, 2025 to Mar 19, 2026
- BD registered reps · 3 to 2Mar 27, 2025 to Mar 19, 2026
- HNW clients · 5 to 6Mar 27, 2025 to Mar 19, 2026
- Individual clients · 174 to 161Mar 27, 2025 to Mar 19, 2026
- Pension plan clients · 2 to 0Mar 27, 2025 to Mar 19, 2026
- Employees · 4 to 7Mar 27, 2025 to Mar 19, 2026
- Financial planning clients · 0 to Mar 27, 2025 to Mar 19, 2026
- Other offices · 1 to 2Mar 27, 2025 to Mar 19, 2026
- Discretionary RAUM · $420M to $503MMar 27, 2025 to Mar 19, 2026
- HNW RAUM · $6.4M to $9.5MMar 27, 2025 to Mar 19, 2026
- Individual RAUM · $35.2M to $28.3MMar 27, 2025 to Mar 19, 2026
- Pension RAUM · $1.6M to $350MMar 27, 2025 to Mar 19, 2026
- RAUM · $420M to $503MMar 27, 2025 to Mar 19, 2026
- Wrap assets (manager) · $3.1M to $32.0MMar 27, 2025 to Mar 19, 2026
- Wrap assets (sponsor) · $0 to $32.0MMar 27, 2025 to Mar 19, 2026
- Accounts · 420 to 189Dec 18, 2024 to Mar 27, 2025
- Advisory employees · 4 to 2Dec 18, 2024 to Mar 27, 2025
- BD registered reps · 0 to 3Dec 18, 2024 to Mar 27, 2025
- HNW clients · 4 to 5Dec 18, 2024 to Mar 27, 2025
- Individual clients · 210 to 174Dec 18, 2024 to Mar 27, 2025
- Insurance-licensed employees · 2 to 0Dec 18, 2024 to Mar 27, 2025
- Financial planning clients · 0 to 0Dec 18, 2024 to Mar 27, 2025
- Discretionary RAUM · $382M to $420MDec 18, 2024 to Mar 27, 2025
- HNW RAUM · $5.1M to $6.4MDec 18, 2024 to Mar 27, 2025
- Individual RAUM · $49.7M to $35.2MDec 18, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $13.2M to $0Dec 18, 2024 to Mar 27, 2025
- Pension RAUM · $293M to $1.6MDec 18, 2024 to Mar 27, 2025
- RAUM · $395M to $420MDec 18, 2024 to Mar 27, 2025
- Wrap assets (manager) · $0 to $3.1MDec 18, 2024 to Mar 27, 2025
- Wrap assets (sponsor) · $69.5M to $0Dec 18, 2024 to Mar 27, 2025
- Accounts · 247 to 420Jun 1, 2023 to Feb 15, 2024
- Advisory employees · 3 to 4Jun 1, 2023 to Feb 15, 2024
- BD registered reps · 3 to 0Jun 1, 2023 to Feb 15, 2024
- Corporate clients · 3 to 0Jun 1, 2023 to Feb 15, 2024
- Individual clients · 232 to 210Jun 1, 2023 to Feb 15, 2024
- Pension plan clients · 4 to 2Jun 1, 2023 to Feb 15, 2024
- Employees · 3 to 4Jun 1, 2023 to Feb 15, 2024
- Insurance-licensed employees · 0 to 2Jun 1, 2023 to Feb 15, 2024
- State-registered IARs · 3 to 2Jun 1, 2023 to Feb 15, 2024
Signals
6 dated events
- Alan Daniel Rudnitsky (Senior Vice President) no longer on Schedule A of Smh Capital Advisors Llc (listed 2023-06-01, absent 2024-02-15)Feb 15, 2024 · Control person left · inference
- Jenny Don Carlos left Smh Capital Advisors Llc for First Command Advisory Services (registered 2023-02-17)Jan 20, 2023 · Advisor changed firm · fact
- Smh Capital Advisors Llc reported RAUM $426.7M, up 32% from $323.1M (2021-08-15 to 2022-03-24)Mar 24, 2022 · RAUM change · derived
- L Rhonda Davis (Cco) no longer on Schedule A of Smh Capital Advisors Llc (listed 2021-03-31, absent 2021-08-15)Aug 15, 2021 · Control person left · inference
- L Rhonda Davis (Co-Cco) appeared on Schedule A of Smh Capital Advisors LlcApr 23, 2019 · Control person joined · fact
- Smh Capital Advisors, Inc. reported succeeding to the business of Another Adviser (Form ADV Item 4)Oct 1, 2015 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- SMHCA.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 817-569-7000reportedpublic record, Form ADV, Mar 19, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $168Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026