{"url":"https://nivawealth.com/firms/fox-roger-bennett-129367","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/129367","regulatoryAum":106368400,"crd":"129367","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2265404","suffix":null,"lastName":"FOX","firstName":"ROGER","middleName":"B"},{"crd":"6164288","suffix":null,"lastName":"MARSHALL","firstName":"AMY","middleName":"Theresa"}],"total":2,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-07-22","regulatoryAum":74177244,"clients":312,"employees":2,"offices":1},{"filedOn":"2026-05-29","regulatoryAum":106368400,"clients":172,"employees":2,"offices":1}],"acquisitions":[{"date":"2021-03-31","datePrecision":"day","name":"Obs Financial Services (Obs Financial)","crd":"138615","source":"adv_w","dealType":"acquisition","sellerAum":null,"sellerAumDate":null,"sourceUrl":"https://adviserinfo.sec.gov/firm/summary/138615"}],"secFileNumber":"801-135603","legalName":"Fox, Roger Bennett","displayName":"Fox, Roger Bennett","slug":"fox-roger-bennett-129367","website":null,"classification":{"segment":"institutions","segmentLabel":"Institutional","type":"institutional_wealth_manager","typeLabel":"OCIO / institutional wealth","feeDisclosure":"payment_only"},"founded":null,"organization":"California sole proprietorship","fiscalYearEnd":"December","headquarters":{"street":"16633 Ventura BLVD., 540","city":"Encino","state":"CA","stateName":"California","country":"United States","postalCode":"91436"},"tradeNames":[],"registration":{"secApproved":"1 June 2026","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":448020.6929824561,"staff":{"employees":2,"advisory":1,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":106368400,"discretionary":106368400,"discretionaryAccounts":263,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":110,"regulatoryAum":45179023},{"label":"High-net-worth individuals","clients":4,"regulatoryAum":5895336},{"label":"Pooled investment vehicles","clients":4,"regulatoryAum":3119685},{"label":"Pension and profit-sharing plans","clients":54,"regulatoryAum":52174356}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"Fidelity Brokerage Services LLC","shortName":"Fidelity","location":"Smithfield, RI","smaAssets":106368400}],"custodyNote":"Fox, Roger Bennett does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Roger Fox","title":"President/CCO","crd":"2265404"},{"name":"Amy Marshall","title":"Compliance Officer/Operations Manager","crd":"6164288"}],"ownership":[{"label":"Roger Fox","detail":"President/cco in the 75% or more ownership band and a control person, since November 1984."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"16633 Ventura BLVD., 540","city":"Encino","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"310-481-9320","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)","Performance-based fees"],"activities":["Portfolio management for individuals and/or small businesses"],"financialPlanningClients":null,"assetMix":[{"label":"Non-exchange-traded equity securities","percent":12},{"label":"Investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":66},{"label":"Cash and cash equivalents","percent":20},{"label":"Other","percent":1,"detail":"Uits"}],"privateFunds":0},"sources":{"adv1FilingDate":"29 May 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/129367/PDF/129367.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Fox, Roger Bennett have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Fox, Roger Bennett offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Fox, Roger Bennett use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Fox, Roger Bennett have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Fox, Roger Bennett invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Fox, Roger Bennett?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Fox, Roger Bennett get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Fox, Roger Bennett?","answer":"Fox, Roger Bennett’s main office is at 16633 Ventura BLVD., 540, Encino, CA 91436. Its phone number is 310-481-9320.","source":"Form ADV Part 1A, Item 1.F, filed 29 May 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}