FOX, ROGER BENNETT
Legal name: S&F INVESTMENT ADVISORS
CRD #129367 SEC #801-62743 ENCINO, CA 310-481-9320
SEC Registered
Total AUM
$74.2M
Discretionary
$74.2M
Employees
2
Clients
--
Accounts
316
Firm Details
- Organization Type
- Sole Proprietorship
- State of Formation
- California
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jul 22, 2021
- Branch Offices
- 0
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| MARSHALL, AMY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARSHALL, AMY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARSHALL, AMY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARSHALL, AMY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARSHALL, AMY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARSHALL, AMY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARSHALL, AMY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARSHALL, AMY | I | COMPLIANCE OFFICER/OPERATIONS MANAGER | NA | Control |
| MARSHALL, AMY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARSHALL, AMY | I | COMPLIANCE OFFICER/OPERATIONS MANAGER | NA | Control |
| MARSHALL, AMY | I | COMPLIANCE OFFICER/OPERATIONS MANAGER | NA | Control |
| MARSHALL, AMY | I | COMPLIANCE OFFICER/OPERATIONS MANAGER | NA | Control |
| MARSHALL, AMY | I | COMPLIANCE OFFICER/OPERATIONS MANAGER | NA | Control |
| MARSHALL, AMY | I | COMPLIANCE OFFICER/OPERATIONS MANAGER | NA | Control |
| MARSHALL, AMY | I | COMPLIANCE OFFICER/OPERATIONS MANAGER | NA | Control |
| FOX, ROGER | I | SOLE PROPRIETOR/CHIEF COMPLIANCE OFFICER | E | Control |
| FOX, ROGER | I | SOLE PROPRIETOR/CHIEF COMPLIANCE OFFICER | E | Control |
| FOX, ROGER | I | SOLE PROPRIETOR/CHIEF COMPLIANCE OFFICER | E | Control |
| FOX, ROGER | I | SOLE PROPRIETOR/CHIEF COMPLIANCE OFFICER | E | Control |
| FOX, ROGER | I | SOLE PROPRIETOR/CHIEF COMPLIANCE OFFICER | E | Control |
| FOX, ROGER | I | SOLE PROPRIETOR/CHIEF COMPLIANCE OFFICER | E | Control |
| FOX, ROGER | I | SOLE PROPRIETOR | E | Control |
| FOX, ROGER | I | SOLE PROPRIETOR | E | Control |
| FOX, ROGER | I | SOLE PROPRIETOR/CHIEF COMPLIANCE OFFICER | E | Control |
| FOX, ROGER, B | I | SOLE PROPRIETOR | E | Control |
| FOX, ROGER, B | I | SOLE PROPRIETOR | E | Control |
| FOX, ROGER, B | I | SOLE PROPRIETOR | E | Control |
| FOX, ROGER, B | I | SOLE PROPRIETOR | E | Control |
| FOX, ROGER, B | I | SOLE PROPRIETOR | E | Control |
| FOX, ROGER, B | I | SOLE PROPRIETOR | E | Control |
| FOX, ROGER, B | I | SOLE PROPRIETOR | E | Control |
| FOX, ROGER, B | I | SOLE PROPRIETOR/CHIEF COMPLIANCE OFFICER | E | Control |
| FOX, ROGER, B | I | SOLE PROPRIETOR | E | Control |
| FOX, ROGER, B | I | SOLE PROPRIETOR/CHIEF COMPLIANCE OFFICER | E | Control |
| FOX, ROGER, B | I | SOLE PROPRIETOR/CCO | E | Control |
| FOX, ROGER, B | I | SOLE PROPRIETOR/CCO | E | Control |
| FOX, ROGER, B | I | SOLE PROPRIETOR/CHIEF COMPLIANCE OFFICER | E | Control |
| FOX, ROGER, B | I | SOLE PROPRIETOR/CHIEF COMPLIANCE OFFICER | E | Control |
| FOX, ROGER, B | I | SOLE PROPRIETOR/CCO | E | Control |
Registrations
Federal
IA
Jul 22, 2021 REGISTERED
Notice Filings (1)
CA
Address
16633 VENTURA BLVD.540
ENCINO, CA 91436
United States
Phone: 310-481-9320