Firm Information
Compensation
Number of Advisors
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
AUM-Based Fees (Tiered)
| Assets Under Management | Annual Fee |
|---|---|
| Up to $1.0M | 1.25% |
| $1.0M - $5.0M | 1.00% |
| $5M+ | 0.80% |
Fee Estimator
SMHCA charges a wrap fee, which includes portfolio administration, investment advice, quarterly reporting, account service requests, brokerage commissions, transaction costs, and custody. The fee is charged quarterly, in advance, based on the market value of the account. Fees are negotiable, and multiple family accounts may be aggregated for a lower percentage fee. Clients terminating early receive a pro-rated refund. SMHCA may receive compensation from its affiliated broker/dealer, SMH Capital Investments LLC, for executing transactions and from 12b-1 fees. The wrap fee does not cover mutual fund fees, debit balances, wire transfer fees, or other taxes.
Areas of Practice
Advisor Information
Office location
101 York Avenue, Weatherford, TX, 76086
Get directionsRegulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Lisa is a landlord for a rental property since 2013, spending minimal time on it. She also owns a horse farm called Misfit Acres since 2018, dedicating a few hours per week. Additionally, Lisa is the COO of SMH Capital Advisors LLC, spending nearly full-time hours on back office responsibilities.