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Wendy Fox

Senior Vice President, Chief Compliance Officer at Ariel Investments

Broker registration; no current adviser registrationSEC record checked 18 October 2026

0
Past adviser firms
8
Licensing exams

IAPD record retrieved 18 October 2026SEC record

Wendy Fox is Senior Vice President, Chief Compliance Officer of Ariel Investments, LLC, a Chicago investment adviser managing $12.8B. Wendy Fox has a current broker registration and no current investment-adviser registration and has passed 8 licensing exams.

Role at Ariel Investments

Title on Schedule A
Senior Vice President, Chief Compliance Officer
Control
Wendy Fox is not a control person of Ariel Investments.
Ownership
An individual ownership band is not available in the source record.
Tenure
Wendy Fox has held the filed role since October 2004.

The firm

Ariel Investments, LLC
Chicago, IL

Form ADV filed 28 July 2026

$12.8B AUM146 clients30 advisers3 offices

Career on record

Firms and exams, newest first
  1. Passed Series 26, Series 14, Series 79TO and Series 99TO · 2023
  2. Passed SIE · 2018
  3. Passed Series 6, Series 63 and Series 24 · 2004

Registrations and exams

Broker registration; no current adviser registration. Wendy Fox has passed 8 qualifying exams.

Examinations

Series 639 December 2004
Name
Uniform Securities Agent State Law Examination
Series 262 January 2023
Name
Investment Company Products/Variable Contracts Principal Examination
Series 142 January 2023
Name
Compliance Officer Examination
Series 2428 December 2004
Name
General Securities Principal Examination
Series 79TO2 January 2023
Name
Investment Banking Registered Representative Examination
Series 99TO2 January 2023
Name
Operations Professional Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 64 December 2004
Name
Investment Company Products/Variable Contracts Representative Examination

Individual record

Full name
Wendy Devorah Fox
CRD
4870574
Firm
Ariel Investments, LLC
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Wendy Fox work?

Wendy Fox has been Senior Vice President, Chief Compliance Officer of Ariel Investments, LLC since October 2004.

Source: Form ADV, Schedule A, filed 28 July 2026

Does Wendy Fox have a current investment-adviser registration?

Wendy Fox has a current broker registration and no current investment-adviser registration, as of 18 October 2026.

Source: IAPD individual record, checked 18 October 2026

What exams has Wendy Fox passed?

Wendy Fox has passed 8 licensing exams: the Series 6, Series 63, Series 24, SIE, Series 26, Series 14, Series 79TO and Series 99TO. The earliest, the Series 6, was passed in December 2004.

Source: IAPD individual record, checked 18 October 2026

Leadership at Ariel Investments

  • Carlos Calderon
    Senior Vice President, Chief Financial Officer
  • Timothy Fidler
    Executive Vice President, Director of Research
  • Mellody Hobson Lucas
    Co-CEO, President and Director
  • Kenneth Kuhrt
    Executive Vice President, Co-Chief Investment Officer, Domestic Equities
  • Henry Mallari-D'Auria
    Executive Vice President, Chief Investment Officer, Global & Emerging Markets Equities
  • Emma Rodriguez-Ayala
    President, General Counsel
  • Charles Bobrinskoy
    Vice Chairman
  • Klaas Cremers
    Director
  • Arne Duncan
    Director
  • Valerie Jarrett
    Director
  • John Rogers
    Chairman, Co-CEO, Chief Investment Officer and Director
  • Anthony Romero
    Director
  • Judy Smith
    Director
  • David Vitale
    Director
  • Paula Wolff
    Director

Sources

  1. IAPD individual record, CRD 4870574. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Ariel Investments, LLC, filed 28 July 2026. Title, control and ownership bands.

Retrieved 18 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Wendy Fox or Ariel Investments, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.