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 |
|---|---|---|---|---|---|
| Jonathan Ruth | M Holdings Securities, Inc. BD affiliated | Tlg Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 19, 2021 | Jul 22, 2021 |
| Anthony Joseph D'Angelo | M Holdings Securities, Inc. BD affiliated | Tlg Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 16, 2021 | Sep 28, 2021 (74 d) |
| Stoddard Barnhill | M Holdings Securities, Inc. BD affiliated | Hightower Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 16, 2021 | Jul 13, 2021 |
| Eric Boyd Philips | M Holdings Securities, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 14, 2021 | Aug 15, 2021 (32 d) |
| Edward Allen Steiger | M Holdings Securities, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Jun 11, 2021 | Jun 7, 2021 |
| Sean Lyons | M Holdings Securities, Inc. BD affiliated | Lion Street Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 12, 2021 | Apr 21, 2022 (374 d) |
| Nicholas M Sheridan | M Holdings Securities, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Apr 1, 2021 | Mar 30, 2021 |
| Kaytie Anne Cunningham Salzman | M Holdings Securities, Inc. BD affiliated | Avantax Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Feb 3, 2021 | Feb 7, 2022 (369 d) |
| David Amato | M Holdings Securities, Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 3, 2020 | Dec 20, 2021 (412 d) |
| Kirk Dietrick | M Holdings Securities, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 17, 2020 | Jul 26, 2021 (312 d) |
| William Bowden Simmermon | M Holdings Securities, Inc. BD affiliated | Woodbury Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 21, 2020 | Aug 20, 2020 |
| Amanda Kim Blocksom | M Holdings Securities, Inc. BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 28, 2020 | Jul 28, 2020 |
| Logan Smith | M Holdings Securities, Inc. BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jul 23, 2020 | Apr 29, 2021 (280 d) |
| Christopher L. Klinck | M Holdings Securities, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 12, 2020 | May 18, 2020 |
| Donna Bartlett | M Holdings Securities, Inc. BD affiliated | Trace Wealth Advisors no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jun 11, 2020 | Jan 21, 2022 (589 d) |
| Nickolas Seifert | M Holdings Securities, Inc. BD affiliated | Southport Capital independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 8, 2020 | Dec 15, 2020 (190 d) |
| Todd Morris Mezrah | M Holdings Securities, Inc. BD affiliated | Lion Street Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 7, 2020 | Sep 10, 2020 (126 d) |
| Kenneth George Gibson | M Holdings Securities, Inc. BD affiliated | Lion Street Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 4, 2020 | May 4, 2020 |
| Robert Joseph Rainey | M Holdings Securities, Inc. BD affiliated | Lion Street Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 4, 2020 | May 1, 2020 |
| Craig Alan Rutledge | M Holdings Securities, Inc. BD affiliated | Lion Street Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 4, 2020 | May 1, 2020 |
| Rebecca Anne Napier | M Holdings Securities, Inc. BD affiliated | Lion Street Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 4, 2020 | May 1, 2020 |
| Thomas Edward Miller | M Holdings Securities, Inc. BD affiliated | Lion Street Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 4, 2020 | May 6, 2020 |
| Brian Joseph Gift | M Holdings Securities, Inc. BD affiliated | Mbl Advisors no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Mar 2, 2020 | Nov 13, 2019 |
| Victor Dominick Maccagnan | M Holdings Securities, Inc. BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Feb 25, 2020 | May 6, 2020 (71 d) |
| Erik Fischer | M Holdings Securities, Inc. BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 25, 2020 | Feb 28, 2020 |
| Brian Hodgeman | M Holdings Securities, Inc. BD affiliated | Ally Invest Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 16, 2020 | Oct 13, 2021 (636 d) |
| Peter Brotherton | M Holdings Securities, Inc. BD affiliated | J.P. Morgan Private Wealth Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 16, 2020 | Apr 18, 2023 (1188 d) |
| Rodney Dale Dir | M Holdings Securities, Inc. BD affiliated | Southport Capital independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2019 | Feb 27, 2020 (58 d) |
| Mary Yolanda Kirk | M Holdings Securities, Inc. BD affiliated | Stancorp Investment Advisers, Inc. other | Other | Dec 20, 2019 | Feb 11, 2020 (53 d) |
| John Matthew Maziarz | M Holdings Securities, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 12, 2019 | Jan 20, 2026 (2231 d) |
| Emilee Lawrence | M Holdings Securities, Inc. BD affiliated | Cuna Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 11, 2019 | Jan 14, 2020 (64 d) |
| Eric Walter Thomas | M Holdings Securities, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Oct 7, 2019 | Nov 5, 2019 |
| Christopher Ryan Ardizzone | M Holdings Securities, Inc. BD affiliated | Usi Advisors institutional | Other | Oct 2, 2019 | Oct 17, 2019 |
| Laura Lincoln Gustafson | M Holdings Securities, Inc. BD affiliated | Sk Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 9, 2019 | May 20, 2022 (984 d) |
| Brittney B Deese | M Holdings Securities, Inc. BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Sep 9, 2019 | Oct 11, 2019 (32 d) |
| Monica Salaiz Narvaez | M Holdings Securities, Inc. BD affiliated | Osaic Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 30, 2019 | Aug 30, 2019 |
| Henry Gallardo | M Holdings Securities, Inc. BD affiliated | Osaic Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 30, 2019 | Aug 30, 2019 |
| Roberto Alexandro Blanco | M Holdings Securities, Inc. BD affiliated | Osaic Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 30, 2019 | Aug 30, 2019 |
| John Terry Grace | M Holdings Securities, Inc. BD affiliated | Usi Advisors institutional | Other | May 28, 2019 | May 30, 2019 |
| Michael Patrick Callahan | M Holdings Securities, Inc. BD affiliated | Tlg Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 28, 2019 | May 21, 2019 |
| Douglas John Lamendola | M Holdings Securities, Inc. BD affiliated | Usi Advisors institutional | Other | May 28, 2019 | Jul 27, 2021 (791 d) |
| Stephen Lee Yeung | M Holdings Securities, Inc. BD affiliated | Usi Advisors institutional | Other | May 28, 2019 | Jul 27, 2021 (791 d) |
| Matthew R Sweat | M Holdings Securities, Inc. BD affiliated | Lion Street Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 28, 2019 | May 29, 2019 |
| Thomas Francis Cooke | M Holdings Securities, Inc. BD affiliated | Usi Advisors institutional | Other | May 28, 2019 | May 30, 2019 |
| Christine Louise Batts | M Holdings Securities, Inc. BD affiliated | Cws Financial Advisors LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 19, 2019 | Jun 25, 2019 (98 d) |
| Stacy Sizemore | M Holdings Securities, Inc. BD affiliated | Tru Independence Asset Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 4, 2019 | Jul 11, 2019 (129 d) |
| Matthew John Stolen | M Holdings Securities, Inc. BD affiliated | Kingsview Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 7, 2019 | Jan 16, 2019 |
| Richard Dale Mack | M Holdings Securities, Inc. BD affiliated | Tlg Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2018 | Jan 7, 2019 |
| William Quinn Buckner | M Holdings Securities, Inc. BD affiliated | Tlg Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2018 | Jan 18, 2019 |
| Edward Sylvester Watko | M Holdings Securities, Inc. BD affiliated | Tlg Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2018 | Feb 7, 2019 (38 d) |
| Holly Hynes | M Holdings Securities, Inc. BD affiliated | Tlg Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2018 | Jan 16, 2019 |
| Harrison Taylor Mcdougal | M Holdings Securities, Inc. BD affiliated | Tlg Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2018 | Jan 7, 2019 |
| John Patterson Corey | M Holdings Securities, Inc. BD affiliated | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 30, 2018 | Nov 9, 2018 |
| Philip Mark Debruyn | M Holdings Securities, Inc. BD affiliated | Southern Wealth Management Llp independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 1, 2018 | Nov 21, 2019 (416 d) |
| Laura Elizabeth English | M Holdings Securities, Inc. BD affiliated | Southern Wealth Management Llp independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 1, 2018 | Oct 5, 2018 |
| Yu Yeung Li | M Holdings Securities, Inc. BD affiliated | B. Riley Wealth Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 21, 2018 | May 15, 2024 (2063 d) |
| Adam Colombo | M Holdings Securities, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 20, 2018 | Aug 27, 2018 |
| Marla Ann Mcclain | M Holdings Securities, Inc. BD affiliated | Lion Street Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 3, 2018 | Jul 30, 2018 |
| Sara Jane Andres | M Holdings Securities, Inc. BD affiliated | Sharebuilder 401k no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jul 20, 2018 | Jan 16, 2020 (545 d) |
| Allix C Dennis | M Holdings Securities, Inc. BD affiliated | Lion Street Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 16, 2018 | Aug 8, 2018 |
306 moves match.