M Holdings Securities, Inc. (Portland)

Name: M Holdings Securities, Inc.
Address: 1125 N.W. Couch Street, Portland, OR, 97209
Telephone: 800-656-6960

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.