FMB RETIREMENT SERVICES

RIASEC RegisteredEst. 2012
Total AUM
$146M
Discretionary
$146M
100% of AUM
Avg account
$1.7M
Accounts
85
Employees
12
Advisory reps
7

Firm details

Headquarters
WESTLAKE VILLAGE, California
CRD number
164571
Registered since
July 18, 2012
Custodians
FIDELITY DISTRIBUTORS COMPANY LLC, ASCENSUS TRUST, CAPITAL CLIENT GROUP, INC., CHARLES SCHWAB & CO., INC.
Fee structure
Percentage of AUM
Client types
  • Pension & Profit Sharing Plans100%
Services
Portfolio Management for Institutional ClientsPension Consulting

Firm profile

FINTRX

Overview

FMB Retirement Services is a small, privately owned corporate RIA that focuses on institutional retirement clients. The firm, SEC-registered in 2012 and held by an individual owner, positions itself as a fee-based adviser charging a percentage of assets under management. Its primary advisory work centers on portfolio management for businesses and institutions and delivering pension consulting services. The firm does not identify as an active ESG investor, is not multi-state registered, and is not structured as a capital allocator.

Assets & Accounts

Public Holdings

Investments & Alternatives

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

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CRM & tech providers

TAMPs used

Clients

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Client base

Client personas

Asset composition

Asset composition: Public Funds/Mutual Funds 82%, Cash & Cash Equivalents 6%, Other 5%, Private Funds 4%, Exchange Traded Equities 3%82%
  • Public Funds/Mutual Funds82%
  • Cash & Cash Equivalents6%
  • Other5%
  • Private Funds4%
  • Exchange Traded Equities3%

Owners & executives

2 of 2
  • DANIEL MOCK

    Partner and Chief Investment OfficerCRD 6343729

  • DAVID HOWERTON

    CCO & COOCRD 4540828

Contacts

3 of 5
  • DEBRA FIELDS

    Co-Founding PartnerCRD 3049831

  • Andrew Miller

    AdvisorCRD 6698753

  • GRANT BLINDBURY

    PartnerCRD 4697717

Unlock 2 more contacts

Wealth teams

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Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

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Location

Primary office

WESTLAKE VILLAGE, CA

VENTURA

Location

WESTLAKE VILLAGE, CA

Headquartered in WESTLAKE VILLAGE, CA, anchoring the Los Angeles-Long Beach, CA metro in the West.

Metro area
Los Angeles-Long Beach, CA
Region
West
County
VENTURA
Address
100 N Westlake Blvd
Time zone
PT (UTC-8)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth