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.
Teams that left M Holdings Securities, Inc.
A team is two or more advisors whose registrations through one firm ended within fourteen days of each other, from branches in the same state, and who all registered next through the same other firm. The rule reads registration dates on IAPD and nothing else: no press, no name matching, no judgment about why. When the cluster carried half or more of the firm it left, or the destination filed a succession naming it, it is typed firm absorbed rather than lift-out. When the two CRDs are one enterprise (the same business name, as with the two Wells Fargo Advisors channels, the same 75%+ owner on both Schedule As around the move, or one name the other with a word added) it is a channel change, listed only when asked for and never counted as a team in or out. Corporate re-registrations (hundreds of people moved to a new CRD in one month) are excluded before teams are formed.
| Advisors | From | To | Branch | Type | Left |
|---|---|---|---|---|---|
| 4 | M Holdings Securities, Inc. BD affiliated | LPL Financial LLC BD affiliated | Weatogue, Ct | Affiliated broker-dealer or bank to another | Feb 2, 2026 over 7 d |
| 8 | M Holdings Securities, Inc. BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Portland, Or | Affiliated broker-dealer or bank to another | Aug 11, 2025 |
| 4 | M Holdings Securities, Inc. BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | West Palm Beach, Fl +1 | Affiliated broker-dealer or bank to another | Aug 11, 2025 |
| 10 | M Holdings Securities, Inc. BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Morristown, Nj | Affiliated broker-dealer or bank to another | Aug 8, 2025 over 3 d |
| 2 | M Holdings Securities, Inc. BD affiliated | Prosperity Capital Advisors independent RIA | Berkeley Heights, Nj | Affiliated broker-dealer or bank to independent RIA | Mar 7, 2024 |
| 2 | M Holdings Securities, Inc. BD affiliated | True Capital Management independent RIA | Nashville, Tn | Affiliated broker-dealer or bank to independent RIA | Dec 15, 2022 |
| 2 | M Holdings Securities, Inc. BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Geneva, Il | Affiliated broker-dealer or bank to another | Feb 1, 2022 |
| 2 | M Holdings Securities, Inc. BD affiliated | Tlg Advisors, Inc. BD affiliated | Portland, Or | Affiliated broker-dealer or bank to another | Jul 16, 2021 over 3 d |
| 3 | M Holdings Securities, Inc. BD affiliated | Lion Street Advisors, LLC BD affiliated | Lake Forest, Ca | Affiliated broker-dealer or bank to another | May 4, 2020 |
| 2 | M Holdings Securities, Inc. BD affiliated | Lion Street Advisors, LLC BD affiliated | Highland, Ut +1 | Affiliated broker-dealer or bank to another | May 4, 2020 |
| 2 | M Holdings Securities, Inc. BD affiliated | Osaic Advisory Services, LLC BD affiliated | El Paso, Tx | Affiliated broker-dealer or bank to another | Aug 30, 2019 |
| 4 | M Holdings Securities, Inc. BD affiliated | Usi Advisors institutional | Uniondale, Ny | Other | May 28, 2019 |
| 3 | M Holdings Securities, Inc. BD affiliated | Tlg Advisors, Inc. BD affiliated | Indianapolis, In | Affiliated broker-dealer or bank to another | Dec 31, 2018 |
| 2 | M Holdings Securities, Inc. BD affiliated | Tlg Advisors, Inc. BD affiliated | Portland, Or | Affiliated broker-dealer or bank to another | Dec 31, 2018 |
| 2 | M Holdings Securities, Inc. BD affiliated | Retirement Wellness Group no RAUM | Torrance, Ca | Affiliated broker-dealer or bank to a newly registered adviser | May 31, 2018 |
| 2 | M Holdings Securities, Inc. other | Provenio Capital no RAUM | Irvine, Ca | Other | Sep 15, 2016 |