Kevin M. Fox

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CRD#: 5828281

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Kevin M Fox, who also goes by Kevin Michael Fox, Kevin Fox, was a registered financial professional .

Kevin is a previously registered financial professional and started their career in finance in 2010. Kevin had worked at 3 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kevin Michael Fox | Kevin Fox

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

February 26, 2015 - April 5, 2018

IRONVIEW CAPITAL MANAGEMENT, LLC

RIA

CRD#: 150250

KING OF PRUSSIA, PA

Past

January 10, 2011 - June 11, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

BALA CYNWYD, PA

Past

January 10, 2011 - June 11, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

BALA CYNWYD, PA

Past

November 19, 2010 - November 23, 2010

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

PHILADELPHIA, PA

Past

November 18, 2010 - November 23, 2010

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

PHILADELPHIA, PA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

IRONVIEW CAPITAL MANAGEMENT, LLC

BERGIN & CO., LLC | MULLEN, BERGIN, ROBERTS & CO | IRONVIEW CAPITAL MANAGEMENT, LLC | IRONVIEW CAPITAL MANAGEMENT | BERGIN, ROBERTS & CO. LLC

CRD#: 150250 / SEC#: 801-78950

RIA

Registered Investment Advisory firm - (1/2/2014 Approved)

Florida

Registered Investment Advisory firm - (1/2/2014 Terminated)

New Jersey

Registered Investment Advisory firm - (1/13/2014 Terminated)

Pennsylvania

Registered Investment Advisory firm - (1/8/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/10/2010

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 10/19/2010

General Securities Representative Examination

Current Firm

IRONVIEW CAPITAL MANAGEMENT, LLC

BERGIN & CO., LLC | MULLEN, BERGIN, ROBERTS & CO | IRONVIEW CAPITAL MANAGEMENT, LLC | IRONVIEW CAPITAL MANAGEMENT | BERGIN, ROBERTS & CO. LLC

CRD#: 150250 / SEC#: 801-78950

RIA

Registered Investment Advisory firm - (1/2/2014 Approved)

Florida

Registered Investment Advisory firm - (1/2/2014 Terminated)

New Jersey

Registered Investment Advisory firm - (1/13/2014 Terminated)

Pennsylvania

Registered Investment Advisory firm - (1/8/2014 Terminated)

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Contact information

Main Address

200 Barr Harbor Drive, Suite 400, Conshohocken, PA 19428

Mailing Address

Phone number

(215) 793-0111

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	413
AUM (Assets Under Management)	$ 1,146,358,881

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Kevin M. Fox

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

IRONVIEW CAPITAL MANAGEMENT, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

Primary Firm SEC Registration

IRONVIEW CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/10/2010

Series 7

Date: 10/19/2010

Current Firm

IRONVIEW CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

IRONVIEW CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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