Broker-dealer firm · Portland, OR
M Holdings Securities, Inc.
SEC-registered investment adviser · CRD 43285 · SEC 801-57304
At a glance
M Holdings Securities, Inc. is an SEC-registered investment adviser based in Portland, Oregon, with $3.2 billion in regulatory assets under management as of its Form ADV filed October 1, 2026. Its largest client group by assets is individuals, and it reports 4,368 individual clients. By Form ADV it is a broker-dealer firm, ranked 108th of 391 broker-dealer firms and 2,724th of 17,210 SEC-registered advisers by assets.
Main office 800-656-6960LinkedInAs filed on Form ADV
- Regulatory AUM
- $3.2B
- Rank among broker-dealer firms
- #108 of 391
- Rank among all SEC RIAs
- #2,724 of 17,210
- Rank in Oregon
- #12 of 156
- Individual clients
- 4,368
- High-net-worth clients
- 78
- Accounts
- 8,115
- Discretionary
- 61% of AUM
- Employees
- 1,442
- Advisory staff
- 171
- Offices
- 106
Owners and executives on its Form ADV
- Maria Renee RogersPrincipal Financial Officer
- Michael Ski SchoonmakerChief Executive Officer
- Steven Charles LudwigChief Compliance Officer
- Laura Elizabeth Haney-JacksonVice President - Principal Operations Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
M Holdings Securities, Inc. is a hybrid RIA: 709 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: M Financial Securities Marketing, Inc..
- M Financial Securities Marketing, Inc. ↗CRD 139304
It doesn’t hold client accounts or customer funds itself. Its annual audited report filed with the SEC, March 2026
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 4,290 | $1.9B | 59% |
| High-net-worth individuals | 78 | $1.2B | 36% |
| Corporations or other businesses | 130 | $164M | 5% |
| Pension and profit sharing plans | 15 | $12M | <1% |
Disciplinary disclosures
M Holdings Securities, Inc. answers yes to 8 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Pension consulting
- Selecting other advisers
- Periodicals or newsletters
- Educational seminars and workshops
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗
AtlasMembers
The full record on M Holdings Securities, Inc.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 91 peers of its type and size
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- Owners and executives, with titles and stakes
- 4 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does M Holdings Securities, Inc. manage?
M Holdings Securities, Inc. reports $3.2 billion in regulatory assets under management across 8,115 accounts, 61% of it on a discretionary basis, on its Form ADV filed October 1, 2026.
What kind of firm is M Holdings Securities, Inc.?
M Holdings Securities, Inc. is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.
Who are M Holdings Securities, Inc.’s clients?
By assets, its largest client types are individuals ($1.9 billion, 4,290 clients); high-net-worth individuals ($1.2 billion, 78 clients); corporations or other businesses ($164 million, 130 clients).
Does M Holdings Securities, Inc. have any disciplinary history?
M Holdings Securities, Inc. answers yes to 8 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is M Holdings Securities, Inc.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-31), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →