M Holdings Securities, Inc. (Portland)


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. Hourly charges are usually charged for consulting work and special projects. 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.