DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Fmb Retirement Services
Latest filing Mar 5, 2026
First filing on the tape Jun 18, 2012 · 37 filings
SEC status approved since Jul 18, 2012
RAUM
$146M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$24.4M
derived; firm RAUM over IAPD count
Employees
12
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$146M as of Mar 5, 2026
Mar 28, 2013$32.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 5, 2026
Mar 28, 20135 then
Employees (5.A)12 as of Mar 5, 2026
Mar 28, 20135 then
Private funds: no history
RAUM +8.1% over the last fiscal year+8.9% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 5, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $24.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$146M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 45reported
- Charitable clients
- n/areported
- Accounts
- 85reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- Evan Miller to Avantax Advisory ServicesSep 25, 2023 · Other
- Kathryn Costas to Ep Wealth AdvisorsJun 24, 2020 · Other
- Weston Paul Patton to Fmb Wealth ManagementJul 16, 2019 · Other
Joined, latest
- Weston Paul Patton from Edward JonesJun 27, 2018 · Other
- Kathryn Costas from Fmb Wealth ManagementDec 1, 2015 · Other
- Evan Miller from Fmb Wealth ManagementJul 18, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Annette Debra Fields · President, Cfo, Partnercontrolsince 05/2012 · owns 50% to 75%
- E Grant Blindbury · Directorsince 12/2013 · owns 10% to 25%
- James Jeremy Fields · Partner, Directorsince 06/2021 · owns less than 5%
- Ray David Howerton · Chief Compliance Officer, Chief Operations Officersince 07/2018 · owns less than 5%
Related persons
Schedule D 7.A
- Fmb Insurance Services, Inc.real estaten
- Fmb Wealth Managementinvestment advisernRAUM $616M
Advisers that list Fmb Retirement Services as a related person
- 122309 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Westlake Village, Ca · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 52 to 85Mar 13, 2025 to Mar 5, 2026
- Pension plan clients · 52 to 45Mar 13, 2025 to Mar 5, 2026
- Employees · 11 to 12Mar 13, 2025 to Mar 5, 2026
- Discretionary RAUM · $135M to $146MMar 13, 2025 to Mar 5, 2026
- Pension RAUM · $135M to $146MMar 13, 2025 to Mar 5, 2026
- RAUM · $135M to $146MMar 13, 2025 to Mar 5, 2026
- Accounts · 82 to 52Mar 19, 2024 to Mar 13, 2025
- Advisory employees · 6 to 4Mar 19, 2024 to Mar 13, 2025
- Pension plan clients · 51 to 52Mar 19, 2024 to Mar 13, 2025
- Employees · 8 to 11Mar 19, 2024 to Mar 13, 2025
- Insurance-licensed employees · 6 to 4Mar 19, 2024 to Mar 13, 2025
- Financial planning clients · unset to Mar 19, 2024 to Mar 13, 2025
- State-registered IARs · 6 to 4Mar 19, 2024 to Mar 13, 2025
- Discretionary RAUM · $121M to $135MMar 19, 2024 to Mar 13, 2025
- Pension RAUM · $121M to $135MMar 19, 2024 to Mar 13, 2025
- RAUM · $121M to $135MMar 19, 2024 to Mar 13, 2025
- Accounts · 93 to 82Sep 26, 2023 to Mar 19, 2024
- Pension plan clients · 55 to 51Sep 26, 2023 to Mar 19, 2024
- Discretionary RAUM · $113M to $121MSep 26, 2023 to Mar 19, 2024
- Pension RAUM · $113M to $121MSep 26, 2023 to Mar 19, 2024
- RAUM · $113M to $121MSep 26, 2023 to Mar 19, 2024
- Other offices · 1 to 0Mar 29, 2023 to Sep 26, 2023
- Accounts · 97 to 93Mar 28, 2022 to Mar 29, 2023
- Advisory employees · 5 to 6Mar 28, 2022 to Mar 29, 2023
- Pension plan clients · 94 to 55Mar 28, 2022 to Mar 29, 2023
- Employees · 6 to 8Mar 28, 2022 to Mar 29, 2023
- Other offices · 2 to 1Mar 28, 2022 to Mar 29, 2023
- Discretionary RAUM · $122M to $113MMar 28, 2022 to Mar 29, 2023
- Pension RAUM · $118M to $113MMar 28, 2022 to Mar 29, 2023
- RAUM · $122M to $113MMar 28, 2022 to Mar 29, 2023
- Accounts · 98 to 97Apr 1, 2021 to Mar 28, 2022
- Advisory employees · 6 to 5Apr 1, 2021 to Mar 28, 2022
- Advisory activities · 1 to 2Apr 1, 2021 to Mar 28, 2022
- Pension plan clients · 62 to 94Apr 1, 2021 to Mar 28, 2022
- Employees · 7 to 6Apr 1, 2021 to Mar 28, 2022
- Insurance-licensed employees · 7 to 6Apr 1, 2021 to Mar 28, 2022
- State-registered IARs · 7 to 6Apr 1, 2021 to Mar 28, 2022
- Discretionary RAUM · $131M to $122MApr 1, 2021 to Mar 28, 2022
- Pension RAUM · $131M to $118MApr 1, 2021 to Mar 28, 2022
- RAUM · $131M to $122MApr 1, 2021 to Mar 28, 2022
Signals
2 dated events
- Evan Miller left Fmb Retirement Services for Avantax Advisory Services (registered 2025-01-03)Sep 25, 2023 · Advisor changed firm · fact
- Fmb Retirement Services filed its initial SEC registration (Form ADV)Jun 18, 2012 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/FMB-WEALTH-MANAGEMENTreportedpublic record, Form ADV, Sep 17, 2026
- Website
- FMBWEALTH.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 805-446-4494reportedpublic record, Form ADV, Mar 5, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $24.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026