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RIA / WealthRegistered advisermixed wealth managerSEC registeredRAUM 100m 1b

S&F INVESTMENT ADVISORS

FOX, ROGER BENNETT, CRD 129367

ENCINO, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:dcc4606d-1933-3285-2da3-ce3cd30ccb7b

Data as of May 29, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 19, 2012 to May 29, 2026
17 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: mixed wealth managerderivedprivate_client_share=0.48 fund_share=0.03 institutional_share=0.49 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $106MItem 5.F on the latest filing (2026-05-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $106M
Private client RAUM: $51.1MderivedItem 5.D individuals plus high net worth individuals
Private client share: 48%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $53.2Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 2
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 263
Individual clients: 110
High net worth clients: 4
SEC number: 801-135603
CRD: 129367
Filings on the tape: 17
First filed: Mar 19, 2012
Latest filed: May 29, 2026
Organised: Sole Proprietorship, CA

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
AMY Theresa MARSHALL	n/a	Encino, CA	4	38	n/a	no
ROGER B FOX	n/a	Encino, CA	1	41	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
FOX, ROGER, B	SOLE PROPRIETOR/CCO	E	yes	11/1984	Mar 19, 2012	Aug 24, 2021
MARSHALL, AMY	COMPLIANCE OFFICER/OPERATIONS MANAGER	Na	yes	02/2013	Mar 12, 2013	Aug 24, 2021

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020	Mar 16, 2021	$74.2M	$74.2M	2	1	0	n/a	n/a
2019	Mar 26, 2020	$101M	$101M	1	1	0	n/a	n/a
2018	Mar 28, 2019	$96.6M	$96.6M	1	1	0	n/a	n/a
2017	Mar 23, 2018	$97.5M	$97.5M	1	1	0	n/a	n/a
2016	Mar 21, 2017	$123M	$123M	2	1	n/a	n/a	n/a
2015	Mar 28, 2016	$112M	$112M	2	1	n/a	n/a	n/a
2014	Mar 20, 2015	$114M	$114M	2	1	n/a	n/a	n/a
2013	Mar 19, 2014	$103M	$103M	1	1	n/a	n/a	n/a
2012	Mar 12, 2013	$110M	$110M	1	1	n/a	n/a	n/a
2011	Mar 19, 2012	$104M	$104M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$106M	$101M	5.0%	$97.5M	3.0%	2	1	0	0

Relationships

Registered with (2)

← ROGER B FOXAdvisorregistration: current employment
Jan 27, 2025 to presentfactForm ADV
← AMY Theresa MARSHALLAdvisorregistration: current employment
Dec 14, 2021 to presentfactForm ADV

Controls (2)

← FOX, ROGER, BOwnerSOLE PROPRIETOR/CCO, ownership code E, individual
Mar 19, 2012 to Aug 24, 2021factForm ADV
← MARSHALL, AMYOwnerCOMPLIANCE OFFICER/OPERATIONS MANAGER, ownership code NA, individual
Mar 12, 2013 to Aug 24, 2021factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:dcc4606d-1933-3285-2da3-ce3cd30ccb7b
First observed: Mar 19, 2012
Last observed: May 29, 2026 3 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

S&F INVESTMENT ADVISORS

FOX, ROGER BENNETT, CRD 129367

ENCINO, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:dcc4606d-1933-3285-2da3-ce3cd30ccb7b

Data as of May 29, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:26 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

AMY Theresa MARSHALL

n/a

Encino, CA

n/a

ROGER B FOX

n/a

Encino, CA

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FOX, ROGER, B

SOLE PROPRIETOR/CCO

yes

11/1984

Mar 19, 2012

Aug 24, 2021

MARSHALL, AMY

COMPLIANCE OFFICER/OPERATIONS MANAGER

yes

02/2013

Mar 12, 2013

Aug 24, 2021

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2020

Mar 16, 2021

$74.2M

n/a

2019

Mar 26, 2020

$101M

n/a

2018

Mar 28, 2019

$96.6M

n/a

2017

Mar 23, 2018

$97.5M

n/a

2016

Mar 21, 2017

$123M

n/a

2015

Mar 28, 2016

$112M

n/a

2014

Mar 20, 2015

$114M

n/a

2013

Mar 19, 2014

$103M

n/a

2012

Mar 12, 2013

$110M

n/a

2011

Mar 19, 2012

$104M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2020

$106M

$101M

5.0%

$97.5M

3.0%