{"url":"https://nivawealth.com/firms/fmb-retirement-services-164571","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/164571","regulatoryAum":146154573,"crd":"164571","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6905569","suffix":null,"lastName":"BERMAN","firstName":"JAKE","middleName":"L"},{"crd":"4697717","suffix":null,"lastName":"BLINDBURY","firstName":"GRANT","middleName":"E"},{"crd":"3049831","suffix":null,"lastName":"FIELDS","firstName":"DEBRA","middleName":"ANNETTE"},{"crd":"6144701","suffix":null,"lastName":"FIELDS","firstName":"JEREMY","middleName":"JAMES"},{"crd":"6698753","suffix":null,"lastName":"Miller","firstName":"Andrew","middleName":"Jakob"},{"crd":"6343729","suffix":null,"lastName":"MOCK","firstName":"DANIEL","middleName":"LAURENCE"}],"total":6,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-04-01","regulatoryAum":131287220,"clients":62,"employees":7,"offices":3},{"filedOn":"2022-03-28","regulatoryAum":122215422,"clients":94,"employees":6,"offices":3},{"filedOn":"2023-03-29","regulatoryAum":113256763,"clients":55,"employees":8,"offices":2},{"filedOn":"2024-03-19","regulatoryAum":120741257,"clients":51,"employees":8,"offices":1},{"filedOn":"2025-03-13","regulatoryAum":135247298,"clients":52,"employees":11,"offices":1},{"filedOn":"2026-03-05","regulatoryAum":146154573,"clients":45,"employees":12,"offices":1}],"secFileNumber":"801-76839","legalName":"FMB Retirement Services","displayName":"FMB Retirement Services","slug":"fmb-retirement-services-164571","website":null,"classification":{"segment":"institutions","segmentLabel":"Institutional","type":"institutional_asset_manager","typeLabel":"Asset manager","feeDisclosure":"payment_only"},"founded":null,"organization":"California corporation","fiscalYearEnd":"December","headquarters":{"street":"100 N. Westlake BLVD. #201","city":"Westlake Village","state":"CA","stateName":"California","country":"United States","postalCode":"91362"},"tradeNames":[],"registration":{"secApproved":"18 July 2012","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":12,"advisory":4,"brokerDealerReps":0,"insuranceAgents":4,"promoters":0},"aum":{"regulatory":146154573,"discretionary":146154573,"discretionaryAccounts":85,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Pension and profit-sharing plans","clients":45,"regulatoryAum":146154573}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"Ascensus Broker Dealer Services, LLC","shortName":"Ascensus Broker Dealer Services","location":"Dresher, PA","smaAssets":23720190},{"name":"Capital Client Group, Inc.","shortName":"Capital Client Group","location":"Los Angeles, CA","smaAssets":22680250},{"name":"Fidelity Brokerage Services LLC","shortName":"Fidelity","location":"Boston, MA","smaAssets":50441151},{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Newport Beach, CA","smaAssets":15848289}],"custodyNote":"FMB Retirement Services does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Debra Fields","title":"President, CFO, Partner","crd":"3049831"},{"name":"David Howerton","title":"Chief Compliance Officer, Chief Operations Officer","crd":"4540828"},{"name":"Grant Blindbury","title":"Director","crd":"4697717"},{"name":"Jeremy Fields","title":"Partner, Director","crd":"6144701"}],"ownership":[{"label":"Debra Fields","detail":"President, cfo, partner in the 50% to 75% ownership band and a control person, since May 2012."},{"label":"Grant Blindbury","detail":"Director in the 10% to 25% ownership band, since December 2013."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"100 N. Westlake BLVD. #201","city":"Westlake Village","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"805-446-4494","stateRegisteredReps":4,"otherAdviserReps":4,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":3},{"label":"Securities issued by registered investment companies or business development companies","percent":82},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":4},{"label":"Cash and cash equivalents","percent":6},{"label":"Other","percent":5,"detail":"Mortgages (Private Credit)"}],"privateFunds":0},"sources":{"adv1FilingDate":"5 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/164571/PDF/164571.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does FMB Retirement Services have?","answer":"FMB Retirement Services has 45 clients and manages $146 million for them, as of March 2026. They include 45 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 5 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does FMB Retirement Services offer?","answer":"FMB Retirement Services provides portfolio management for institutions and pension consulting.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does FMB Retirement Services use?","answer":"FMB Retirement Services’ separately managed account assets are held at Fidelity Brokerage Services LLC (Boston, MA), with $50.4M, Ascensus Broker Dealer Services, LLC (Dresher, PA), with $23.7M, Capital Client Group, Inc. (Los Angeles, CA), with $22.7M and Charles Schwab & Co., Inc. (Newport Beach, CA), with $15.8M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 5 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does FMB Retirement Services have?","answer":"FMB Retirement Services has 4 investment adviser representatives registered with state securities authorities, out of 12 employees, and 4 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 4 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does FMB Retirement Services invest in?","answer":"At the end of its last fiscal year, FMB Retirement Services’ separately managed accounts held 82% registered funds (mutual funds, ETFs, BDCs), 6% cash and equivalents, 5% other, 4% pooled vehicles (private funds and similar) and 3% exchange-traded equities. The 5% other category is described as: Mortgages (Private Credit).","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns FMB Retirement Services?","answer":"FMB Retirement Services’ direct owners are Debra Fields (50% to 75%) and Grant Blindbury (10% to 25%).","source":"Form ADV Part 1A, Schedules A and B, filed 5 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does FMB Retirement Services get paid?","answer":"FMB Retirement Services is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact FMB Retirement Services?","answer":"FMB Retirement Services’ main office is at 100 N. Westlake BLVD. #201, Westlake Village, CA 91362. Its phone number is 805-446-4494.","source":"Form ADV Part 1A, Item 1.F, filed 5 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}