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M Holdings Securities, Inc. is a large advisory firm based in Portland. It manages $2.8 billion of regulatory assets for 8,297 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 49 other states.
M Holdings Securities provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, pension consulting services, selection of other advisers, publication of newsletters, and educational seminars and workshops. It prepares financial plans for more than 50 clients. On top of advisory services, the firm doesn't engage in other business activities.
M Holdings Securities: assets under management
The assets under management (AUM) of M Holdings Securities, Inc. is $2.8 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 2515% since the beginning of its operation, and $5.66 million of the total AUM is attributable to clients outside of the United States.
The firm manages $2.8 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $337.39 thousand each.
M Holdings Securities has custody of $860.41 million in cash and securities for 1,439 clients in total but doesn’t act as a qualified custodian.
Investments
The firm invests in investment and business development companies the most. They account for 55% of the total AUM. The second-largest asset type is exchange traded securities, which make up 30% of the firm’s portfolio. Investments in cash and cash equivalents form 9% of the total invested assets.
Fees & Commissions
The advisory firm has several streams of revenue. Clients pay M Holdings Securities, Inc. for their services and products based on a percentage of assets under management, hourly charges, fixed fees, and commissions. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.
What kind of clients Daniel Francis Byrne serves?
The firm provides services to individuals, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Daniel Francis Byrne is high net worth individuals with 1,023 clients and $1.34 billion of assets under management. Among the 6 most similar advisory firms, M Holdings Securities has the highest percentage of high net worth individuals out of all clients.
The amount of regulatory assets under management is $2.8 billion for 8,297 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.
M Holdings Securities doesn't advise any private funds.
Careers at M Holdings Securities, Inc.
The company employs 852 people that are either part- or full-time employees. 46 percent of the employees work as investment advisers or researchers. 388 employees are registered as investment adviser representatives with the state securities authorities.
There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees receive compensation from other entities for client referrals.
Daniel Francis Byrne has been acting as President since 1 Mar 1997. Jill Ellen Ehret joined the executive team most recently as the Chief Compliance Officer.
Direct owners and executive officers
| Name | Entity | Date acquired | Ownership | Employer ID |
|---|---|---|---|---|
| M Financial Holdings Incorporated | Equity owner | 1 Mar 1997 | 75% - 100% | 93-1189872 |
| Daniel Francis Byrne | Director | 1 Mar 1997 | Other | 2888922 |
| Connie Kathleen Elmore | Director | 1 Mar 1997 | Other | 1799595 |
| David Walter Schutt | Vice president, secretary and treasurer | 1 Apr 1998 | Other | 2736264 |
| James Richard Hilliker | Operations director, crop/srop, finop | 1 Jan 2000 | Other | 874277 |
| Leslie Elaine Andre | Compliance director, msrb principal | 1 Jan 2000 | Other | 712461 |
| Connie Kathleen Morrison | Director | 1 Feb 2000 | Other | 1799595 |
| Bridget Mary Mcnamara Fenesy | Chairman | 1 Jul 2000 | Other | 2233939 |
| Michael Terrance Keller | President | 1 Jul 2000 | Other | 813809 |
| Randall Mark O'connor | Director | 1 Aug 2000 | Other | 4456478 |
| Maria Renee Rogers | Financial principal | 1 Sep 2000 | Other | 2442526 |
| David Walter Schutt | Secretary and treasurer | 1 Apr 2001 | Other | 2736264 |
| James Richard Hilliker | Vice president, operations,crop/srop, finop | 1 Apr 2001 | Other | 874277 |
| Leslie Elaine Andre | Vice president,compliance, msrb principal | 1 Apr 2001 | Other | 712461 |
| Frank Edmund Day | Compliance officer advisory services | 1 Apr 2001 | Other | 3151160 |
| Robert Edgar Bedritis | Chairman | 1 Aug 2001 | Other | 1058646 |
| Maria Renee Rogers | Financial principal | 1 Oct 2002 | Other | 2442526 |
| Randall Mark O'connor | Chairman of the board & director | 1 Nov 2003 | Other | 4456478 |
| Heidi Pederson Donahe | President | 1 Nov 2003 | Other | 3179397 |
| David Walter Schutt | Secretary | 1 Feb 2004 | Other | 2736264 |
| Randall Mark O'connor | Ceo | 1 Feb 2004 | Other | 4456478 |
| Carrie Lee Fleisher | Manager, account services & licensing/registration/crop/srop | 1 Mar 2004 | Other | 1755228 |
| Krikor Naccachian | Compliance officer/rop | 1 Mar 2004 | Other | 1387624 |
| Leslie Elaine Andre | Vice president,compliance, msrb principal,chief compliance officer - ria | 1 Oct 2004 | Other | 712461 |
| James Richard Hilliker | Vice president, operations-chief compliance officer - ria/bd | 1 Oct 2004 | Other | 874277 |
| Linda Lee Harrington | Msrb | 1 Oct 2004 | Other | 4173014 |
| Laura Eileen Miller | Vice president, member firm services | 1 Oct 2004 | Other | 1558203 |
| James Richard Hilliker | Vice president compliance -chief compliance officer - ria/bd | 1 Jan 2005 | Other | 874277 |
| Carrie Lee Fleisher | Director of operations crop/srop | 1 Jan 2005 | Other | 1755228 |
| James Richard Hilliker | Vice president compliance -chief compliance officer - ria/bd, crop/srop | 1 Apr 2005 | Other | 874277 |
| Carrie Lee Fleisher | Director of operations, rop | 1 Apr 2005 | Other | 1755228 |
| Stephen Michael Youhn | Chief compliance officer - ria/bd | 1 Jul 2005 | Other | 1414691 |
| Carrie Lee Fleisher | Director of operations, rop, crop | 1 Nov 2005 | Other | 1755228 |
| Paul Cohn Mcclung | Msrb principal | 1 Apr 2006 | Other | 3236946 |
| Laura Mary Hoey | Aml compliance officer | 1 Apr 2006 | Other | 3232950 |
| Kevin Bruce Kukar | Treasurer | 1 Jun 2006 | Other | 4605225 |
| Carrie Lee Fleisher | Director of operations, rop, crop, director of supervision | 1 Oct 2006 | Other | 1755228 |
| Carrie Lee Fleisher | Vice president, srop, chief compliance officer b/d, director of supervision | 1 Mar 2007 | Other | 1755228 |
| Benjamin Edward Bramer | Chief compliance officer ria | 1 Mar 2007 | Other | 3222029 |
| Jason Godfrey Lytle | Msrb principal, rop, crop | 1 Mar 2007 | Other | 3028260 |
| Jennifer Marie Tucker | Msrb principal | 1 Aug 2007 | Other | 3168512 |
| Maria Renee Rogers | Financial principal | 1 Sep 2007 | Other | 2442526 |
| Frank Edmund Day | Rop/crop | 1 Jun 2008 | Other | 3151160 |
| Frank Edmund Day | Chief compliance officer ria, rosfp | 1 Sep 2008 | Other | 3151160 |
| Kenneth Ray Ehinger | President/ceo/director | 1 Sep 2008 | Other | 1525408 |
| Fred Henry Jonske | Chair | 1 Dec 2009 | Other | xxx-xx-xxxx |
| Robert David Watros | V.p. | 1 Dec 2009 | Other | 4430563 |
| Daniel Scott Domenighini | Vp technology and business analytics | 1 Dec 2009 | Other | xxx-xx-xxxx |
| Brian Bruce Bristow | Vp supvervision | 1 Dec 2009 | Other | 3151921 |
| Jill Crestinger Houtman | Financial services and products officer | 1 Aug 2011 | Other | 2380307 |
| Brian Bruce Bristow | Vp, business development | 1 Oct 2012 | Other | 3151921 |
| Jill Crestinger Houtman | Vp, operations | 1 Oct 2012 | Other | 2380307 |
| Carrie Lee Fleisher | Vp, chief risk and compliance officer | 1 Oct 2012 | Other | 1755228 |
| Carrie Lee Fleisher | Vp, chief risk and compliance officer, aml co | 1 Feb 2013 | Other | 1755228 |
| Steven Byungkwan Chang | Msrb principal | 1 Mar 2013 | Other | 4386630 |
| Randall Mark O'connor | President, ceo | 1 Mar 2016 | Other | 4456478 |
| Bridget Mary Mcnamara Fenesy | Chief risk and compliance officer | 1 Mar 2016 | Other | 2233939 |
| Kenneth Dale Stephens | President, ceo, director | 1 Apr 2016 | Other | 6623419 |
| Bridget Mary Mcnamara Fenesy | Vice president, regulatory & governance affairs | 1 Sep 2016 | Other | 2233939 |
| Andrew Paul Graves | Director | 1 Oct 2016 | Other | xxx-xx-xxxx |
| Randall Mark O'connor | Director | 1 Oct 2016 | Other | 4456478 |
| Bridget Mary Mcnamara Fenesy | President and chief executive officer | 1 Apr 2017 | Other | 2233939 |
| Valerie Rachelle Bolch Pimenta | Vp, coo | 1 Jun 2017 | Other | xxx-xx-xxxx |
| Sara Jane Andres | Vp compliance, risk, supervision & regulatory affairs, cco | 1 Jun 2017 | Other | 2985300 |
| Westley Vander Thompson | Director | 1 Sep 2017 | Other | 1806289 |
| Constantine Pelos | Chief compliance officer | 1 Jun 2018 | Other | 1074631 |
| Dean James Beckley | Chief information security officer | 1 Mar 2019 | Other | xxx-xx-xxxx |
| Jill Ellen Ehret | Chief compliance officer | 1 Jul 2019 | Other | 4004344 |
Indirect Owners
The SEC currently registers 1 indirect owner.
| Name | Entity | Date acquired | Ownership | Employer ID |
|---|---|---|---|---|
| Peter William Mullin | Shareholder | 1 Feb 2001 | 25% - 50% | xxx-xx-xxxx |
Based in Portland
The principal office where M Holdings Securities, Inc. performs its advisory services is located at 1125 N.W. Couch Street, Portland, OR 97209, which is also the mailing address of the firm. An additional office of the firm is in East Hanover, NJ. It doesn’t run an office outside of the United States.
You can reach the main office by calling the phone number 800-656-6960 or by fax 503-414-7474. The normal business hours are 8:00am-5:00pm pst on Monday - Friday. You can find more information about the New York firm at pacificcapitalstrategies.com.
Registered investment advisers similar to M Holdings Securities, Inc.
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