Fox, Roger Bennett provides portfolio management for individuals and small businesses.
Fox, Roger Bennett reports 172 clients. They include 110 individual clients, 54 pension and profit-sharing plans, and 4 high-net-worth individuals. Of its assets, 100.0% ($106M across 263 accounts) are managed with discretion.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 64% | 42% |
| High-net-worth individuals | 2% | 6% |
| Pooled investment vehicles | 2% | 3% |
| Pension and profit-sharing plans | 31% | 49% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 110 | $45.2M | 42.5% | $411K |
| High-net-worth individuals | 4 | $5.9M | 5.5% | $1.47M |
| Pooled investment vehicles | 4 | $3.12M | 2.9% | $780K |
| Pension and profit-sharing plans | 54 | $52.2M | 49.1% | $966K |
| Total | 172 | $106M | 100% | $618K |
- Clients
- 110
- Regulatory AUM
- $45.2M
- AUM share
- 42.5%
- Avg. per client
- $411K
- Clients
- 4
- Regulatory AUM
- $5.9M
- AUM share
- 5.5%
- Avg. per client
- $1.47M
- Clients
- 4
- Regulatory AUM
- $3.12M
- AUM share
- 2.9%
- Avg. per client
- $780K
- Clients
- 54
- Regulatory AUM
- $52.2M
- AUM share
- 49.1%
- Avg. per client
- $966K
Total
- Clients
- 172
- Regulatory AUM
- $106M
- AUM share
- 100%
- Avg. per client
- $618K
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
Fox, Roger Bennett is paid through a percentage of assets under management, fixed fees (other than subscription fees) and performance-based fees; its fees and minimums are set out in its brochures on the SEC website.
Roger Fox owns 75% or more of Fox, Roger Bennett. The leadership team of Fox, Roger Bennett includes President Roger Fox. It has 2 employees, 1 of them in advisory roles.
Leadership
- Roger FoxPresident/CCO
- Amy MarshallCompliance Officer/Operations Manager
Investment adviser representatives
2 representatives listed in the SEC register as of 9 October 2026.
- Roger B Fox
- Amy Theresa Marshall
Staff
- 2 employees
- 1 in advisory functions
- 2 state-registered reps
- Owns 75% or more of Fox, Roger Bennett
Roger Fox
Control person · since November 1984
Fox, Roger Bennett’s regulatory assets grew from $74.2M (July 2021) to $106M (May 2026); clients fell from 312 to 172 and employees were 2 in both filings. In 2021, Obs Financial Services (Obs Financial) joined it.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| May 2026 | $106M | 172 | 2 | 1 |
| July 2021 | $74.2M | 312 | 2 | 1 |
Firms that joined
20211 joined
- Obs Financial Services (Obs Financial)No filed AUM
Firms whose SEC withdrawal reports a sale to this firm, and deals reported in the press. Teams that moved without selling a registered firm may not appear.
Besides its headquarters, Fox, Roger Bennett has 0 offices, with 1 listed address in California.
California · 1 listed address
- 16633 Ventura BLVD., 540, EncinoHQ
Contact and registration details
- Legal name
- Fox, Roger Bennett
- Headquarters
- 16633 Ventura BLVD., 540, Encino, CA 91436
- Website
- Not reported
- Phone
- 310-481-9320
- SEC file
- 801-135603
- Structure
- California sole proprietorship
- Fiscal year end
- December
Fox, Roger Bennett uses Fidelity ($106M) as custodian for its separately managed accounts. Fox, Roger Bennett does not have custody of client assets.
- FidelityFidelity Brokerage Services LLC · Smithfield, RI · $106M100%
At year end, Fox, Roger Bennett’s separately managed accounts were mostly in funds (66%) and cash (20%).
What the accounts hold
- Stocks12%
- Funds66%
- Bonds1%
- Cash20%
- Other1%
- Uits1%
How many clients does Fox, Roger Bennett have?
Fox, Roger Bennett has 172 clients and manages $106 million for them, as of May 2026. They include 110 individual clients, 54 pension and profit-sharing plans, and 4 high-net-worth individuals.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 29 May 2026
What services does Fox, Roger Bennett offer?
Fox, Roger Bennett provides portfolio management for individuals and small businesses.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does Fox, Roger Bennett use?
Fox, Roger Bennett’s separately managed account assets are held at Fidelity Brokerage Services LLC (Smithfield, RI), with $106M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 29 May 2026
How many financial advisors does Fox, Roger Bennett have?
Fox, Roger Bennett has 2 investment adviser representatives registered with state securities authorities, out of 2 employees, and 1 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Fox, Roger Bennett invest in?
At the end of its last fiscal year, Fox, Roger Bennett’s separately managed accounts held 66% registered funds (mutual funds, ETFs, BDCs), 20% cash and equivalents, 12% non-exchange-traded equities, 1% investment grade corporate bonds and 1% other. The 1% other category is described as: Uits.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Fox, Roger Bennett?
Fox, Roger Bennett’s direct owner is Roger Fox (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 29 May 2026
How does Fox, Roger Bennett get paid?
Fox, Roger Bennett is paid through a percentage of assets under management, fixed fees and performance-based fees. Its Form ADV lists no commissions among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Fox, Roger Bennett?
Fox, Roger Bennett’s main office is at 16633 Ventura BLVD., 540, Encino, CA 91436. Its phone number is 310-481-9320.