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
Arrivals at 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 |
|---|---|---|---|---|---|
| Shuang Guo | Kovack Advisors, Inc. BD affiliated | M Holdings Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 24, 2026 | Aug 25, 2026 |
| Kari Ann Maenhout | Russell Investments asset manager | M Holdings Securities, Inc. BD affiliated | Other | Apr 16, 2026 | Mar 13, 2026 |
| Tara Anne Davis | Advice And Planning Services BD affiliated | M Holdings Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 1, 2026 | Apr 1, 2026 |
| Jesse Ohakam | Thrivent Investment Management Inc. BD affiliated | M Holdings Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 1, 2026 | Mar 31, 2026 |
| Peyton Miller | Integrity Alliance, LLC BD affiliated | M Holdings Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 3, 2026 | Jan 30, 2026 |
| John Francis Sharkey | Equitable Advisors, LLC national BD | M Holdings Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 13, 2026 | Jan 6, 2026 |
| Spencer Jay David | Integrated Wealth Services, Inc unclassified | M Holdings Securities, Inc. other | Other | Dec 31, 2025 | Aug 5, 2004 |
| Richard Douglas Tanner | Ownership Advisors, Inc. unclassified | M Holdings Securities, Inc. BD affiliated | Other | Nov 12, 2025 | Sep 25, 2025 |
| Shiv Enakar | Strategic Advisers LLC national BD | M Holdings Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 11, 2025 | Oct 17, 2025 (36 d) |
| Harold Blaine Miller | Concourse Financial Group Advisors BD affiliated | M Holdings Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 13, 2025 | Apr 8, 2025 |
| Jordan Holding | Lion Street Advisors, LLC BD affiliated | M Holdings Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 7, 2025 | Feb 27, 2025 (51 d) |
| Matthew Richard Medell | J.P. Morgan Securities LLC wirehouse | M Holdings Securities, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 20, 2024 | Mar 18, 2025 (88 d) |
| Michael Chandler Ingram | Principal Securities, Inc. BD affiliated | M Holdings Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2024 | Nov 4, 2024 |
| Thadius Beavers | Level Four Advisory Services BD affiliated | M Holdings Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 19, 2024 | Jul 23, 2024 |
| Adriana Ramos Courts | Preisz Financial mixed wealth | M Holdings Securities, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jun 12, 2024 | May 6, 2024 |
| Krishna Devendra Gaglani | Tanager Wealth Management independent RIA | M Holdings Securities, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jun 11, 2024 | Aug 13, 2024 (63 d) |
| Douglas Leonard Whitten | C & J Wealth Advisors independent RIA | M Holdings Securities, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jun 7, 2024 | Jun 6, 2024 |
| Matthew Kasper | Citigroup Global Markets Inc. BD affiliated | M Holdings Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 10, 2024 | May 22, 2024 |
| Erik Bjorvik | M Financial Asset Management, Inc. independent RIA | M Holdings Securities, Inc. other | Other | Apr 12, 2024 | Jun 7, 2010 |
| John Reagan | Hill Investment Group independent RIA | M Holdings Securities, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Mar 29, 2024 | Aug 19, 2024 (143 d) |
| David Jay Pergande | Hilltop Securities Inc. BD affiliated | M Holdings Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 6, 2024 | Mar 19, 2024 |
| Kari Ann Maenhout | Cadence Wealth Management, LLC state registered | M Holdings Securities, Inc. other | Other | Feb 29, 2024 | Apr 20, 2017 |
| Brian Daniel Bobeck | Cornerstone Advisors Asset Management, LLC other | M Holdings Securities, Inc. BD affiliated | Other | Feb 14, 2024 | Feb 14, 2024 |
| Owen Cook | Charles Schwab & Co., Inc. national BD | M Holdings Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 9, 2024 | Apr 4, 2024 (55 d) |
| Michael Glenn Rinaldi | LPL Financial LLC BD affiliated | M Holdings Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 9, 2024 | Feb 23, 2024 |
| Todd S Skousen | Drive Wealth Advisers independent RIA | M Holdings Securities, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Oct 4, 2023 | Oct 6, 2023 |
| Robert Patrick Olson | Morningstar Investment Services LLC independent RIA | M Holdings Securities, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Sep 13, 2023 | Sep 12, 2023 |
| Belle Harris | Charles Schwab & Co., Inc. national BD | M Holdings Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 29, 2023 | Sep 8, 2023 |
| Nathan Allan Perry | Fisher Investments independent RIA | M Holdings Securities, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Aug 22, 2023 | Sep 27, 2023 (36 d) |
| Shannon Vendrell Reed | Fidelity Personal And Workplace Advisors BD affiliated | M Holdings Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 6, 2023 | Oct 24, 2023 (110 d) |
| Richard Joshua Whitelock | MML Investors Services, LLC BD affiliated | M Holdings Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 16, 2023 | Jun 12, 2023 |
| Stephen Christopher Target | N1 Advisors independent RIA | M Holdings Securities, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Apr 26, 2023 | Mar 28, 2023 |
| Harold Thomas Hollinger | N1 Advisors independent RIA | M Holdings Securities, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Apr 26, 2023 | May 10, 2023 |
| Reynaldo Ortiz | Northwestern Mutual Investment Services,LLC no RAUM | M Holdings Securities, Inc. BD affiliated | Other | Apr 11, 2023 | Aug 22, 2023 (133 d) |
| Ryan Mclain | Fifth Third Securities, Inc. BD affiliated | M Holdings Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 6, 2023 | Apr 7, 2023 |
| Catherine Gill | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | M Holdings Securities, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 28, 2023 | Apr 2, 2023 |
| Nicole Rae Bowen | Edward Jones national BD | M Holdings Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 22, 2023 | Feb 13, 2023 |
| Rodney Allen Bench | Columbia Pacific Wealth Management independent RIA | M Holdings Securities, Inc. other | Other | Feb 6, 2023 | Apr 10, 2017 |
| Andrea Elizabeth Camoin | Mariner Financial Group, LLC no RAUM | M Holdings Securities, Inc. BD affiliated | Other | Jan 23, 2023 | Feb 13, 2021 |
| Steven Tyler Mcbrayer | West Wealth Group, LLC independent RIA | M Holdings Securities, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Nov 29, 2022 | Feb 21, 2023 (84 d) |
| Shane David Feiman | Equitable Advisors, LLC national BD | M Holdings Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 13, 2022 | Sep 19, 2022 |
| Sean M Lorenz | Equitable Advisors, LLC national BD | M Holdings Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 13, 2022 | Sep 16, 2022 |
| Antonio Carter | Commonwealth Financial Network national BD | M Holdings Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 30, 2022 | Sep 9, 2022 |
| John Hogan Wendland | Aldrich Wealth LP independent RIA | M Holdings Securities, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Aug 16, 2022 | Oct 5, 2022 (50 d) |
| Erin Rico | Fisher Investments independent RIA | M Holdings Securities, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jun 15, 2022 | Sep 28, 2022 (105 d) |
| Joseph Peter Bartolomeo | Rockefeller Capital Management BD affiliated | M Holdings Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 28, 2022 | Jul 24, 2024 (788 d) |
| Andrew David Miner | Commonwealth Financial Network national BD | M Holdings Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 21, 2022 | Jun 2, 2022 (73 d) |
| Jeffrey George Newman | Eagle Strategies LLC BD affiliated | M Holdings Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 12, 2021 | Nov 16, 2021 |
| Kurt Nicholas Knoess | MML Investors Services, LLC BD affiliated | M Holdings Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 28, 2021 | Nov 23, 2021 |
| Kelli Ann Gamble | Cable Hill Partners, LLC independent RIA | M Holdings Securities, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Sep 29, 2021 | Dec 22, 2021 (84 d) |
| Mark Allen Jagow | Bancwest Investment Services, Inc. (Bwis) BD affiliated | M Holdings Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 28, 2021 | Sep 22, 2021 |
| Amy Sue Wasley Palmer | Commonwealth Financial Network national BD | M Holdings Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 15, 2021 | Sep 30, 2021 |
| Gregory M Oconnell | Ethic Wealth Advisors LLC no RAUM | M Holdings Securities, Inc. BD affiliated | Other | Aug 20, 2021 | Jan 30, 2023 (528 d) |
| Lenia Vanessa Muro | Commonwealth Financial Network national BD | M Holdings Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 26, 2021 | Aug 13, 2021 |
| Scott Charles Wayne | MML Investors Services, LLC BD affiliated | M Holdings Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 10, 2021 | Jun 16, 2021 |
| Michael Ski Schoonmaker | American Century Investments Private Client Group, Inc. BD affiliated | M Holdings Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 9, 2021 | Dec 15, 2022 (554 d) |
| Michael Matthew Pfenninger | MML Investors Services, LLC BD affiliated | M Holdings Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 8, 2021 | Jun 16, 2021 |
| Matthew Scott Nakamura | Commonwealth Financial Network national BD | M Holdings Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 26, 2021 | Apr 21, 2021 |
| Sean Lyons | Deep Draft Consulting, LLC state registered | M Holdings Securities, Inc. other | Other | Apr 14, 2021 | Jan 9, 2015 |
| Michael G. Brodowicz | Ameriprise Financial Services, LLC national BD | M Holdings Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 10, 2021 | Mar 22, 2021 (40 d) |
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278 moves match.