FMB WEALTH MANAGEMENT
Adviser information for FMB WEALTH MANAGEMENT last updated from Form ADV on March 5th, 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 | California, United States |
Employees
| Total Number of Employees | 12 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 6 |
| Licensed Agents of an Insurance Company | 4 |
| No. of Firms/People that Solicit Clients | 3 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 794 | $451.7M |
| Non-Discretionary | 0 | $0 |
| Total | 794 | $451.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 165 | $53.5M |
| HNW Individuals | 120 | $396.3M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | <5 | $1.8M |
| 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 | <5 | $70,000 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 1 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-61556 |
|---|---|
| SEC ERA File Number | 801-61556 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 122309 |
| Legal Entity Identifier | None |
Principal Office
100 N. WESTLAKE BLVD., SUITE 201WESTLAKE VILLAGE
CA
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 805-446-4494, Fax: 805-446-4499
Chief Compliance Officer
DAVID HOWERTON
COO
100 N. WESTLAKE BLVD., SUITE 201
WESTLAKE VILLAGE
CA
United States
Tel:
805-446-4494
Fax:
805-446-4499
D****@************M
(Full email address available in API data)
Regulatory Contact
DEBRA A. FIELDS
PRESIDENT, CFO
100 N. WESTLAKE BLVD., SUITE 201
WESTLAKE VILLAGE
CA
United States
Tel:
805-446-4494
Fax:
805-446-4499
D*****@************M
(Full email address available in API data)
Industry Affiliates
| FMB INSURANCE SERVICES INC. | Insurance company or agency |
| FMB RETIREMENT SERVICES | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| FIELDS, DEBRA, ANNETTE | Individual | – | PRESIDENT, CFO | 05/2001 | 50-75% |
| BLINDBURY, GRANT, E | Individual | – | PARTNER, DIRECTOR | 05/2014 | 10-25% |
| HOWERTON, DAVID, RAY | Individual | – | CHIEF COMPLIANCE OFFICER | 07/2018 | < 5% |
| FIELDS, JEREMY, JAMES | Individual | – | PARTNER, DIRECTOR | 06/2021 | < 5% |