DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Advisor moves
Departures from M Holdings Securities, Inc.
A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Wendy Beth Adler | M Holdings Securities, Inc. BD affiliated | Lri Investments no RAUM | Other | Apr 1, 2024 | Apr 21, 2023 |
| Kari Ann Maenhout | M Holdings Securities, Inc. BD affiliated | Russell Investments other | Other | Mar 29, 2024 | Jun 25, 2024 (88 d) |
| Kenneth Scott Auman | M Holdings Securities, Inc. BD affiliated | Lri Investments no RAUM | Other | Mar 29, 2024 | Apr 1, 2024 |
| Scelena Russell | M Holdings Securities, Inc. BD affiliated | Edelman Financial Engines independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 25, 2024 | Jul 22, 2025 (484 d) |
| Stephen Bene | M Holdings Securities, Inc. BD affiliated | Prosperity Capital Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 7, 2024 | Nov 9, 2023 |
| Jeffrey Costello | M Holdings Securities, Inc. BD affiliated | Prosperity Capital Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 7, 2024 | Nov 9, 2023 |
| Michael Glenn Rinaldi | M Holdings Securities, Inc. BD affiliated | Enza Financial, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 28, 2024 | Feb 28, 2024 |
| Miles Dexter Honens | M Holdings Securities, Inc. BD affiliated | Alliancebernstein L.P. asset manager | Other | Feb 13, 2024 | Dec 12, 2025 (668 d) |
| John Christian Endriss | M Holdings Securities, Inc. BD affiliated | Crescent Wealth Advisory, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jan 29, 2024 | Mar 21, 2024 (52 d) |
| Zhaokun Yang | M Holdings Securities, Inc. BD affiliated | Plutus Wealth Management state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jan 24, 2024 | Feb 23, 2024 |
| Hope Noelle Alabi | M Holdings Securities, Inc. BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2024 | Sep 8, 2025 (607 d) |
| Peter Jacob Amrein | M Holdings Securities, Inc. BD affiliated | Concorde Asset Management, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 2, 2024 | Jan 10, 2024 |
| William James Snoke | M Holdings Securities, Inc. BD affiliated | Global Retirement Partners LLC institutional | Other | Dec 1, 2023 | Oct 11, 2023 |
| Matthew Scott Nakamura | M Holdings Securities, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 1, 2023 | Dec 26, 2023 (55 d) |
| Erin Rico | M Holdings Securities, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Oct 17, 2023 | Feb 9, 2024 (115 d) |
| Todd Jeremy Hawke | M Holdings Securities, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Sep 18, 2023 | Sep 15, 2023 |
| Andrew David Miner | M Holdings Securities, Inc. BD affiliated | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 14, 2023 | Oct 13, 2023 |
| Emmanuel Balandi | M Holdings Securities, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Sep 11, 2023 | Oct 27, 2023 (46 d) |
| Amy Sue Wasley Palmer | M Holdings Securities, Inc. BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 6, 2023 | Oct 2, 2023 |
| Steven Tyler Mcbrayer | M Holdings Securities, Inc. BD affiliated | Prime Capital Financial mixed wealth | Affiliated broker-dealer or bank to independent RIA | Sep 6, 2023 | Sep 6, 2023 |
| Thomas Elliot | M Holdings Securities, Inc. BD affiliated | Aldrich Wealth LP independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 28, 2023 | Sep 20, 2023 |
| Steven L Rich | M Holdings Securities, Inc. BD affiliated | Ae Wealth Management, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 10, 2023 | Sep 7, 2023 |
| Christopher John Burke | M Holdings Securities, Inc. BD affiliated | Azimuth Capital Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 9, 2023 | Aug 18, 2023 |
| Brian Thomas Murphy | M Holdings Securities, Inc. BD affiliated | M Financial Asset Management, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 12, 2023 | Jul 22, 2019 |
| Elizabeth Legacy | M Holdings Securities, Inc. BD affiliated | M Financial Asset Management, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | May 22, 2023 | Nov 8, 2022 |
| Danny Duy Pham | M Holdings Securities, Inc. BD affiliated | First Citizens Investor Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 3, 2023 | Jan 31, 2025 (639 d) |
| Antonio Carter | M Holdings Securities, Inc. BD affiliated | M Financial Asset Management, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 27, 2023 | Oct 14, 2022 |
| Benjamin Rush Miller | M Holdings Securities, Inc. BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Mar 7, 2023 | Jan 1, 2025 (666 d) |
| Andrea Elizabeth Camoin | M Holdings Securities, Inc. BD affiliated | Smith Brothers Financial, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jan 17, 2023 | Jan 5, 2023 |
| John Wilson Arnold | M Holdings Securities, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 5, 2023 | Jan 20, 2023 |
| Paulette Mercedes Girod | M Holdings Securities, Inc. BD affiliated | Pitcairn independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 3, 2023 | Aug 4, 2025 (944 d) |
| Gary Bret Fincher | M Holdings Securities, Inc. BD affiliated | True Capital Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 15, 2022 | Apr 28, 2022 |
| Christopher Dwight Stout | M Holdings Securities, Inc. BD affiliated | True Capital Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 15, 2022 | Apr 28, 2022 |
| Benjamin Charles Chamberlain | M Holdings Securities, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 8, 2022 | Oct 31, 2022 |
| Sally Dewitt | M Holdings Securities, Inc. BD affiliated | Missionsquare Retirement institutional | Other | Nov 3, 2022 | Sep 26, 2023 (327 d) |
| Carrie Thelise Maerz | M Holdings Securities, Inc. BD affiliated | Tpg Financial Advisors, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Sep 23, 2022 | Feb 28, 2023 (158 d) |
| Jeremy Brandon Houy | M Holdings Securities, Inc. BD affiliated | Vickerman Investment Advisors, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 19, 2022 | Oct 3, 2022 |
| Mark Allen Jagow | M Holdings Securities, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 1, 2022 | Jul 31, 2024 (699 d) |
| Derek Sausa | M Holdings Securities, Inc. BD affiliated | Td Private Client Wealth LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 1, 2022 | Aug 24, 2022 |
| Albert Donald Erb | M Holdings Securities, Inc. BD affiliated | Forvis Mazars Wealth Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 15, 2022 | Aug 30, 2022 (46 d) |
| Norman Wayne Jordan | M Holdings Securities, Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 24, 2022 | Jun 22, 2022 |
| Jason C Kronstad | M Holdings Securities, Inc. BD affiliated | M Financial Asset Management, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 22, 2022 | May 31, 2019 |
| Luan Drosso Dollens | M Holdings Securities, Inc. BD affiliated | Aldrich Wealth LP independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 9, 2022 | May 5, 2022 |
| Todd Anthony Scorzafava | M Holdings Securities, Inc. BD affiliated | Wealthcare Advisory Partners LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 28, 2022 | Apr 28, 2022 |
| Willis Smith | M Holdings Securities, Inc. BD affiliated | Tlg Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 19, 2022 | Jun 8, 2022 |
| Nicholas Robert Lloyd | M Holdings Securities, Inc. BD affiliated | Novare Capital Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 25, 2022 | May 16, 2022 |
| Sharon Denise Gerlach | M Holdings Securities, Inc. BD affiliated | Eagle Strategies LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 18, 2022 | May 17, 2023 (425 d) |
| Jeffrey Gaier | M Holdings Securities, Inc. BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 18, 2022 | Feb 18, 2022 |
| Daniel Joseph Bellet | M Holdings Securities, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 18, 2022 | Mar 31, 2022 (41 d) |
| Justin J Smith | M Holdings Securities, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 10, 2022 | Mar 19, 2024 (768 d) |
| Thomas Sean Mccartney | M Holdings Securities, Inc. BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Feb 1, 2022 | Feb 1, 2022 |
| Sharon Ann Piet | M Holdings Securities, Inc. BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Feb 1, 2022 | Feb 1, 2022 |
| Mihir Shital Saudagar | M Holdings Securities, Inc. BD affiliated | Cornerstone Advisors Asset Management, LLC other | Other | Dec 8, 2021 | Dec 3, 2021 |
| Angelica Vernay Proctor | M Holdings Securities, Inc. BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Nov 15, 2021 | Feb 21, 2022 (98 d) |
| Anne Kim Trinh | M Holdings Securities, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 2, 2021 | Oct 25, 2021 |
| Brett Anderson | M Holdings Securities, Inc. BD affiliated | Cozad Asset Management Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 13, 2021 | Dec 26, 2018 |
| Rebecca Nathe | M Holdings Securities, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 7, 2021 | Nov 8, 2021 (62 d) |
| Kevin Michael Anderson | M Holdings Securities, Inc. BD affiliated | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 7, 2021 | Oct 29, 2021 (52 d) |
| Stephanie K Palomino | M Holdings Securities, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Sep 2, 2021 | Sep 17, 2025 (1476 d) |
| Robert D Amoruso | M Holdings Securities, Inc. BD affiliated | Tlg Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 19, 2021 | Jul 15, 2021 |
306 moves match.