Fox, Roger Bennett
- Regulatory AUM
- $106M
- Discretionary
- $106M
- Clients
- 172
- Avg AUM / client
- $618K
- Accounts
- 263
- Employees
- 2
AUM over time
Annual snapshots from Form ADV filings · as of May 29, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 110 | $45.2M | 42.5% |
| High net worth individuals | 4 | $5.9M | 5.54% |
| Pooled investment vehicles (non-investment companies) | 4 | $3.1M | 2.93% |
| Pension and profit sharing plans | 54 | $52.2M | 49.1% |
People (2)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Roger B Fox | Sole Proprietor/Cco | Nov 1984 (42y) | 75% or more | |
| Amy Theresa Marshall | Compliance Officer/Operations Manager | Feb 2013 (14y) | Less than 5% |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 05/29/2026 | 1.15 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
- • Performance-based fees
Services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Fidelity Brokerage Services $106M (100% of AUM) May 2026
- TD Ameritrade $34.8M (34% of AUM) Jun 2020
- E*TRADE (Morgan Stanley) $12.7M (17% of AUM) Aug 2021
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: May 29, 2026.
View current Form ADV (SEC/IAPD) ↗