M FINANCIAL INVESTMENT ADVISERS INC
Adviser information for M FINANCIAL INVESTMENT ADVISERS INC last updated from Form ADV on March 26th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Colorado, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 0 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 4 | $844.6M |
| Non-Discretionary | 0 | $0 |
| Total | 4 | $844.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $844.6M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companies |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-50553 |
|---|---|
| SEC ERA File Number | 801-50553 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 106648 |
| Legal Entity Identifier | None |
Principal Office
M FINANCIAL PLAZA1125 NW COUCH STREET, SUITE 900
PORTLAND
OR
United States
Monday - Friday, 9:00 AM TO 5:00 PM
Tel: 503-232-6960, Fax: 503-238-1621
Websites
Chief Compliance Officer
KENNETH A KALINA
CHIEF COMPLIANCE OFFICER
3 CANAL PLAZA
SUITE 100
PORTLAND
ME
United States
Tel:
219-228-8844
K*************@************M
(Full email address available in API data)
Regulatory Contact
ROBERT P OLSON
PRESIDENT
M FINANCIAL PLAZA
1125 NW COUCH STREET, SUITE 900
PORTLAND
OR
United States
Tel:
503-414-7692
B********@*******M
(Full email address available in API data)
Industry Affiliates
| DBA M BENEFIT SOLUTIONS | Insurance company or agency |
| DBA M FINANCIAL RE | Insurance company or agency |
| M FINANCIAL ASSET MANAGEMENT, INC. | Other investment adviser, including financial planners |
| M FINANCIAL SECURITIES MARKETING, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| M HOLDINGS SECURITIES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| M FINANCIAL HOLDINGS INCORPORATED | Domestic Entity | – | EQUITY OWNER | 01/1997 | > 75% |
| COWEN, MALCOLM, LEE | Individual | – | DIRECTOR/CHAIR | 05/2019 | < 5% |
| LEES, DAVID, ROBERT | Individual | – | SECRETARY/TREASURER | 02/2007 | < 5% |
| DEBRUYN, PHILIP, MARK | Individual | – | DIRECTOR | 12/2016 | < 5% |
| PETERSON, CARL, JAMES | Individual | – | DIRECTOR | 10/2018 | < 5% |
| KALINA, KENNETH, ANDREW | Individual | – | CHIEF COMPLIANCE OFFICER | 08/2019 | < 5% |
| THOMAS, LAUREN, SANDRA | Individual | – | DIRECTOR | 06/2019 | < 5% |
| KAPLAN, JAMES, DAVID | Individual | – | DIRECTOR | 08/2021 | < 5% |
| OLSON, ROBERT, PATRICK | Individual | – | PRESIDENT | 11/2023 | < 5% |