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Portfolio (Quarterly) Guide ↗

SMH CAPITAL ADVISORS INC

· CIK 0001180391
13F Portfolio $33M AUM 38 positions Filed Apr 10, 2026 EDGAR ↗ ← All Funds
Q1 2026 Q4 2025 · All 3 New 35 Reduced 20 Exited
Page 1 of 2  ·  38 positions
# Ticker Company Sector Shares Value ↓ % Port Chg Shares Chg % Period Price ① Since Period ①
1 CAPITAL SOUTHWEST CORP 11,610.0 $11.6M 35.24% -12.2M -99.9% $1000.04
2 TRIN TRINITY CAP INC Financial Services 2,517.0 $2.5M 7.64% -168K -98.5% $999.97 -98.3%
3 CSWC CAPITAL SOUTHWEST CORP Financial Services 1,733.0 $1.7M 5.26% -77K -97.8% $1000.23 -97.7%
4 VICI VICI PPTYS INC Real Estate 1,335.0 $1.3M 4.05% -48K -97.3% $1000.14 -97.4%
5 RIOT PLATFORMS INC 1,262.0 $1.3M 3.83% -1.1M -99.9% $1000.20
6 SM SM ENERGY COMPANY Energy 1,168.0 $1.2M 3.54% NEW $999.59 -97.3%
7 PSEC PROSPECT CAP CORP Financial Services 1,113.0 $1.1M 3.38% -425K -99.7% $999.96 -99.8%
8 MAIN MAIN STR CAP CORP Financial Services 1,000.0 $1.0M 3.04% -18K -94.7% $1000.19 -94.9%
9 CG CARLYLE GROUP INC Financial Services 911.0 $911K 2.77% -18K -95.2% $1000.04 -95.5%
10 OWL BLUE OWL CAPITAL INC Financial Services 795.0 $795K 2.41% -67K -98.8% $1000.26 -99.0%
11 WISDOMTREE INC 744.0 $744K 2.26% -497K -99.8% $1000.40
12 ALPHATEC HLDGS INC 717.0 $717K 2.17% NEW $999.43
13 RITM RITHM CAPITAL CORP Real Estate 625.0 $625K 1.90% -35K -98.3% $1000.63 -99.1%
14 HTGC HERCULES CAPITAL INC Financial Services 607.0 $607K 1.84% -40K -98.5% $999.23 -98.4%
15 SPY STATE STR SPDR S&P 500 ETF T Financial Services 533.0 $533K 1.62% -286.0 -34.9% $1000.38 -25.4%
16 MARA HOLDINGS INC 458.0 $458K 1.39% -500K -99.9% $1000.55
17 VWO VANGUARD INTL EQUITY INDEX F 415.0 $415K 1.26% -7K -94.6% $1001.06 -93.9%
18 EFA ISHARES TR 414.0 $414K 1.26% -4K -90.3% $1001.03 -89.6%
19 DKS DICKS SPORTING GOODS INC Consumer Cyclical 403.0 $403K 1.22% -2K -80.2% $1000.80 -76.7%
20 HASI HA SUSTAINABLE INFRA CAP INC Financial Services 318.0 $318K 0.97% -8K -96.3% $1001.15 -96.1%
Page 1 of 2  ·  38 positions

Period Price is the implied market price on the last day of the reporting period, calculated as reported value ÷ shares held. It is not the fund's purchase price or cost basis — the fund may have initiated or added to the position at any point during the quarter at a different price. Since Period shows the price change from that quarter-end snapshot to today's last price — it reflects stock movement after the report date, not the fund's actual return.

Sector Allocation
Financial Services 76.4%
Real Estate 14.3%
Energy 6.9%
Consumer Cyclical 2.4%