0001085146-21-002901.txt : 20211026 0001085146-21-002901.hdr.sgml : 20211026 20211026120147 ACCESSION NUMBER: 0001085146-21-002901 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210930 FILED AS OF DATE: 20211026 DATE AS OF CHANGE: 20211026 EFFECTIVENESS DATE: 20211026 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SMH CAPITAL ADVISORS INC CENTRAL INDEX KEY: 0001180391 IRS NUMBER: 752681494 STATE OF INCORPORATION: TX FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10258 FILM NUMBER: 211347238 BUSINESS ADDRESS: STREET 1: 4200 S. HULEN STREET 2: STE 534 CITY: FORT WORTH STATE: TX ZIP: 76109 BUSINESS PHONE: 7132243100 MAIL ADDRESS: STREET 1: 4200 S. HULEN STREET 2: STE 534 CITY: FORT WORTH STATE: TX ZIP: 76109 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001180391 XXXXXXXX 09-30-2021 09-30-2021 false SMH CAPITAL ADVISORS INC

4200 S. HULEN STE 534 FORT WORTH TX 76109

13F HOLDINGS REPORT 028-10258 N Jenny Don Carlos 817-569-7005 /s/ Jenny Don Carlos Fort Worth TX 10-15-2021 0 57 54421 false INFORMATION TABLE 2 infotable.xml INFORMATION TABLE ADAMS DIVERSIFIED EQUITY FD COM 006212104 297 14994 SH SOLE 0 0 14994 AFC GAMMA INC COM 00109K105 561 26000 SH SOLE 0 0 26000 ALLIANCEBERNSTEIN GLOBAL HIG COM 01879R106 348 28363 SH SOLE 0 0 28363 ALLIANCEBERNSTEIN NATL MUN I COM 01864U106 198 13251 SH SOLE 0 0 13251 APOLLO GLOBAL MGMT INC COM CL A 03768E105 820 13319 SH SOLE 0 0 13319 AT&T INC COM 00206R102 497 18408 SH SOLE 0 0 18408 BLACKROCK CORPOR HI YLD FD I COM 09255P107 385 31584 SH SOLE 0 0 31584 BLACKROCK CR ALLOCATION INCO COM 092508100 389 25690 SH SOLE 0 0 25690 BLACKROCK MULTI SECTOR INC T COM 09258A107 247 13198 SH SOLE 0 0 13198 BLACKROCK MUNICIPAL INCOME COM 09253X102 182 11950 SH SOLE 0 0 11950 CALAMOS STRATEGIC TOTAL RETU COM SH BEN INT 128125101 317 17897 SH SOLE 0 0 17897 CHEVRON CORP NEW COM 166764100 405 3992 SH SOLE 0 0 3992 COHEN & STEERS LTD DURATION COM 19248C105 244 8951 SH SOLE 0 0 8951 COHEN & STEERS QUALITY INCOM COM 19247L106 249 16730 SH SOLE 0 0 16730 COMPASS DIVERSIFIED SH BEN INT 20451Q104 2181 77411 SH SOLE 0 0 77411 D R HORTON INC COM 23331A109 777 9250 SH SOLE 0 0 9250 DIGITALBRIDGE GROUP INC NOTE 5.000% 4/1 19624RAA4 9354 9177000 SH SOLE 0 0 9177000 EATON VANCE MUN BD FD COM 27827X101 188 14034 SH SOLE 0 0 14034 EATON VANCE TAX ADVT DIV INC COM 27828G107 272 9910 SH SOLE 0 0 9910 ENVESTNET INC NOTE 1.750% 6/0 29404KAB2 14 11000 SH SOLE 0 0 11000 EXXON MOBIL CORP COM 30231G102 236 4016 SH SOLE 0 0 4016 EZCORP INC NOTE 2.375% 5/0 302301AE6 3190 3506000 SH SOLE 0 0 3506000 FINTECH ACQUISITION CORP V COM CL A 31810Q107 117 11547 SH SOLE 0 0 11547 FLUIDIGM CORPORATION NOTE 2.750% 2/0 34385PAA6 30 31000 SH SOLE 0 0 31000 GABELLI DIVID & INCOME TR COM 36242H104 269 10430 SH SOLE 0 0 10430 HANCOCK JOHN TAX-ADVANTAGED COM 41013V100 217 9487 SH SOLE 0 0 9487 HELLO GROUP INC NOTE 1.250% 7/0 60879BAB3 4044 4797000 SH SOLE 0 0 4797000 HERCULES CAPITAL INC DBCV 4.375% 2/0 427096AF9 9987 9574000 SH SOLE 0 0 9574000 HP INC COM 40434L105 333 12182 SH SOLE 0 0 12182 INNOVATIVE INDL PPTYS INC COM 45781V101 552 2390 SH SOLE 0 0 2390 INTERNATIONAL BUSINESS MACHS COM 459200101 427 3076 SH SOLE 0 0 3076 IRON MTN INC NEW COM 46284V101 601 13832 SH SOLE 0 0 13832 ISHARES TR IBOXX HI YD ETF 464288513 779 8900 SH SOLE 0 0 8900 ISHARES TR MSCI EAFE ETF 464287465 355 4547 SH SOLE 0 0 4547 ISHARES TR TIPS BD ETF 464287176 207 1618 SH SOLE 0 0 1618 KRAFT HEINZ CO COM 500754106 291 7909 SH SOLE 0 0 7909 NEXPOINT STRATEGIC OPPORTES COM NEW 65340G205 819 58859 SH SOLE 0 0 58859 NUVEEN AMT FREE QLTY MUN INC COM 670657105 194 12754 SH SOLE 0 0 12754 NUVEEN QUALITY MUNCP INCOME COM 67066V101 199 12729 SH SOLE 0 0 12729 OAKTREE SPECIALTY LENDING CO COM 67401P108 319 45226 SH SOLE 0 0 45226 PDL BIOPHARMA INC NOTE 2.750%12/0 69329YAG9 54 53000 SH SOLE 0 0 53000 PERELLA WEINBERG PARTNERS CLASS A COM 71367G102 413 31138 SH SOLE 0 0 31138 PERSHING SQUARE TONTINE HLDG COM CL A 71531R109 743 37714 SH SOLE 0 0 37714 PITNEY BOWES INC COM 724479100 340 47154 SH SOLE 0 0 47154 PROSPECT CAP CORP COM 74348T102 1018 132197 SH SOLE 0 0 132197 PROSPECT CAP CORP NOTE 4.950% 7/1 74348TAR3 5320 5198000 SH SOLE 0 0 5198000 QUEST DIAGNOSTICS INC COM 74834L100 366 2521 SH SOLE 0 0 2521 SCULPTOR CAP MGMT COM CL A 811246107 1066 38224 SH SOLE 0 0 38224 SLR INVESTMENT CORP COM 83413U100 217 11330 SH SOLE 0 0 11330 SPDR S&P 500 ETF TR TR UNIT 78462F103 223 520 SH SOLE 0 0 520 TEMPLETON EMERGING MKTS INCO COM 880192109 178 22997 SH SOLE 0 0 22997 U S GLOBAL INVS INC CL A 902952100 679 119295 SH SOLE 0 0 119295 VERIZON COMMUNICATIONS INC COM 92343V104 427 7905 SH SOLE 0 0 7905 VICI PPTYS INC COM 925652109 1472 51829 SH SOLE 0 0 51829 VICTORY CAP HLDGS INC COM CL A 92645B103 246 7028 SH SOLE 0 0 7028 VIRTUS ALLIANZGI EQUITY & CO COM 92841M101 460 15616 SH SOLE 0 0 15616 WISDOMTREE INVTS INC COM 97717P104 108 19091 SH SOLE 0 0 19091