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CRD 122309
WESTLAKE VILLAGE, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| GRANT E BLINDBURY | Certified Financial Planner | CLEARWATER, FL | WESTLAKE VILLAGE, CA | Westlake Village, CA | 20 | 23 | 1 | no |
| JEREMY JAMES FIELDS | Certified Financial Planner | WESTLAKE VILLAGE, CA | CLEARWATER, FL | Westlake Village, CA | 13 | 17 | n/a | no |
| DEBRA ANNETTE FIELDS | Certified Financial Planner | WESTLAKE VILLAGE, CA | Westlake Village, CA | CLEARWATER, FL | 12 | 25 | 1 | no |
| DANIEL LAURENCE MOCK | Certified Financial Planner | CLEARWATER, FL | Westlake Village, CA | WESTLAKE VILLAGE, CA | 11 | 12 | n/a | no |
| Andrew Jakob Miller | n/a | CLEARWATER, FL | WESTLAKE VILLAGE, CA | Westlake Village, CA | 9 | 10 | n/a | no |
| JAKE L BERMAN | n/a | WESTLAKE VILLAGE, CA | CLEARWATER, FL | Westlake Village, CA | 8 | 10 | n/a | no |
| DAVID RAY HOWERTON | n/a | Westlake Village, CA | WESTLAKE VILLAGE, CA | CLEARWATER, FL | 2 | 23 | n/a | no |
| Brandon Michael Berges | n/a | Westlake Village, CA | CLEARWATER, FL | WESTLAKE VILLAGE, CA | 0 | 11 | n/a | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| FIELDS, DEBRA, ANNETTE | PRESIDENT, CFO | D | yes | 05/2001 | Mar 30, 2012 | Mar 5, 2024 |
| BLINDBURY, GRANT, E | PARTNER, DIRECTOR | B | no | 05/2014 | Apr 27, 2016 | Mar 5, 2024 |
| FIELDS, JEREMY, JAMES | PARTNER, DIRECTOR | Na | no | 06/2021 | Mar 28, 2022 | Mar 5, 2024 |
| HOWERTON, DAVID, RAY | CHIEF COMPLIANCE OFFICER | Na | no | 07/2018 | Jul 19, 2018 | Mar 5, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| FMB RETIREMENT SERVICES | n/a | Institutional manager | $146M | N | yes | n/a |
| FMB INSURANCE SERVICES INC. | n/a | n/a | n/a | N | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 28, 2026 | $616M | $616M | 12 | 5 | 0 | n/a | n/a |
| 2024 | Mar 14, 2025 | $508M | $508M | 11 | 5 | 0 | n/a | n/a |
| 2023 | Mar 5, 2024 | $452M | $452M | 12 | 6 | 0 | n/a | n/a |
| 2022 | Mar 24, 2023 | $405M | $405M | 8 | 6 | 1 | n/a | n/a |
| 2021 | Mar 28, 2022 | $387M | $387M | 6 | 6 | 2 | n/a | n/a |
| 2020 | Mar 22, 2021 | $313M | $313M | 13 | 7 | 2 | n/a | n/a |
| 2019 | Mar 30, 2020 | $352M | $352M | 15 | 9 | 2 | n/a | n/a |
| 2018 | Apr 1, 2019 | $304M | $304M | 14 | 8 | 2 | n/a | n/a |
| 2017 | Apr 26, 2017 | $208M | $208M | 9 | 8 | n/a | n/a | n/a |
| 2016 | Apr 27, 2016 | $147M | $147M | 7 | 6 | n/a | n/a | n/a |
| 2015 | Apr 15, 2015 | $161M | $161M | 6 | 5 | n/a | n/a | n/a |
| 2014 | Apr 28, 2014 | $135M | $135M | 5 | 4 | n/a | n/a | n/a |
| 2013 | Apr 25, 2013 | $129M | $129M | 2 | 1 | n/a | n/a | n/a |
| 2012 | Mar 30, 2012 | $126M | $126M | n/a | n/a | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 0 | 0.0% | 0 | 0 | 0 | 0 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $616M | $508M | 21.2% | $405M | 15.0% | 12 | 11 | 0 | 0 |