Full text of SMH CAPITAL INVESTMENTS LLC's X-17A-5 filed 2026-03-26 (period 2025-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ### SMH CAPITAL INVESTMENTS LLC Report Pursuant to Rule 17a-5 of The Securities and Exchange Commission December 31, 2025 {1}------------------------------------------------ | | | | OMBAPPR~'AI | | |--------------------------------------------------------------|------------------------------------------------------------------------------------------------------------------------|---------------------|----------------------------------------------------|--| | | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION | | | | | | Washington, D.C. 20549 | | Expires: Nov. 30, 2026<br>Estimated average burden | | | | | | hours per response: 12 | | | | ANNUAL REPORTS | | SEC FILE NUMBER | | | | FORM X-17A-5 | | 8-24535 | | | | PART III | | | | | | FACING PAGE | | | | | | Information Required Pursuant to Rules 17a-5, 17a-12, and lSa-7 under the Securities Exchange Act of 1934 | | | | | FILING FOR THE PERIOD BEGINNING o1to1t | 25 | AND ENDING 12131125 | | | | | ----------<br>MM/DD/YY | | -----------<br>MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | | | NAME OF FIRM: SMH Capital Investments LLC | | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | | ■ Broker-dealer | D Security-based swap dealer | | D Major security-based swap participant | | | D Check here if respondent is also an OTC derivatives dealer | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | 4200 S. Hulen, Suite 534 | | | | | | | (No. and Street) | | | | | Ft. Worth | TX | | 76109 | | | (City) | (State) | | (Zip Code) | | | | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Dwayne Moyers | 817-569-7000 | | dwayne.moyers@smhc@j | | | (Name) | (Area Code-Telephone<br>Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | NTT & Company, PLLC | | | | | | | (Name -if individual, state last, first, and middle name) | | | | | 5865 Mistloe Avenue | Beaumont | TX | 77707 | | | (Address) | (City) | (State) | (Zip Code) | | | 03/19/2019 | | 6543 | | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Reoistration Number, if applicable) | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | • Claims for exemption from the requirement that the annual reports be covered by the reports-of an independent public | | | | | | accountant must be supported by a statem…Read the full text as markdown