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Richard Chaffee

M Holdings Securities, INC.
53 Years of Experience
Minnetonka, MN
3 DisclosuresBroker
View SEC Summary
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Richard Chaffee is a ChFC-designated registered investment advisor at M Holdings Securities, INC., based in Minnetonka, MN, with 53 years of industry experience. Richard is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Corporate Executives, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 4,513 clients with $3.2B in assets under management.

M Holdings Securities, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
339 advisors
Number of Clients
4,513 clients
Average Client Portfolio
$710K average
Assets Under Management
$3.2B

Fee Structure

Minimum Investment:$10K
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.0M1.30%
$1.0M - $3.0M1.25%
$3.0M - $5.0M1.20%
$5.0M - $10.0M1.10%
$10M+1.05%

Schedule reflects maximum M Wealth customized sub-advisory fees. Other advisory programs negotiate fees up to a maximum of 3%.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

11100 Wayzata Blvd Ste 220, Minnetonka, MN, 55305

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History

Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Financial
August 2026
Final
Regulatory
January 2020
Final
Customer Dispute
March 2007
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Richard is the CEO of Chaffee & Associates, LLC, focusing on sales, marketing, and management, which takes nearly full-time hours. He also serves as a trustee for two family trusts and the Chaffee & Associates 401k and Profit Sharing Plan, dedicating minimal time to each.

Employment History
Current Registrations
M Holdings Securities, INC.
November 2013 - Present · 12 yrs 11 mos
M Holdings Securities, INC.Broker
October 2009 - Present · 17 yrs
Previous Registrations
M Holdings Securities, INC.
June 2012 - November 2013 · 1 yr 5 mos
Northwestern Mutual Investment Services, LLCBroker
July 2008 - October 2009 · 1 yr 3 mos
M Holdings Securities, INC.Broker
September 2000 - June 2008 · 7 yrs 9 mos
W. S. Griffith & CO., INC.Broker
August 1993 - September 2000 · 7 yrs 1 mo
Phoenix Equity Planning CorporationBroker
May 1982 - August 1993 · 11 yrs 3 mos
Mony Sales, INC.Broker
February 1977 - April 1982 · 5 yrs 2 mos
The Mutual Life Insurance Company of New YorkBroker
February 1977 - April 1982 · 5 yrs 2 mos
Penn Mutual Equity Services, INC.Broker
March 1973 - March 1977 · 4 yrs
State Registrations12 states
AZCAFLMDMIMNMTNDNYSDVAWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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