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Investment Adviser Firm Summary

SMH CAPITAL ADVISORS LLC (CRD# 108344 / SEC# 801-54089)
Alternate Names: CUMMER MOYERS CAPITAL ADVISORS INC , DOUGLAS NOYES , KISSINGER FINANCIAL SERVICES , SANDERS MORRIS HARRIS , SMH ASSET MANAGEMENT , SMH CAPITAL ADVISORS LLC , SMH CAPITAL ADVISORS, INC.

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 06/06/1997

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 08/29/1997
Alaska 05/15/2001
Arizona 04/18/1997
Arkansas 06/04/1997
California 08/05/1997
Colorado 05/15/2001
Connecticut 02/23/1999
Delaware 08/27/2003
District of Columbia 02/01/2000
Florida 08/06/1997
Georgia 03/15/1997
Hawaii 08/19/1997
Idaho 06/19/1997
Illinois 07/08/1998
Indiana 02/28/2001
Iowa 05/15/2001
Kansas 08/19/1997
Kentucky 12/13/2000
Louisiana 05/15/2001
Maine 08/19/1997
Maryland 09/19/1997
Massachusetts 05/13/1997
Michigan 02/26/2001
Minnesota 04/25/1997
Mississippi 08/19/1997
Missouri 07/30/1997
Montana 04/16/1997
Nebraska 07/25/1997
Nevada 11/01/1997
New Hampshire 06/15/2000
New Jersey 09/12/1997
New Mexico 07/16/1997
New York 09/24/1996
North Carolina 02/26/2001
North Dakota 05/15/2001
Ohio 05/15/2001
Oklahoma 12/07/2001
Oregon 05/15/2001
Pennsylvania 09/16/1997
Puerto Rico 01/09/2008
Rhode Island 08/19/1997
South Carolina 02/26/2001
South Dakota 08/25/1997
Tennessee 01/01/2000
Texas 06/09/1997
Utah 08/19/1997
Vermont 09/02/1997
Virgin Islands 01/09/2008
Virginia 06/13/1997
Washington 06/16/1997
West Virginia 08/20/1997
Wisconsin 10/16/1997

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser