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ROXBURY FINANCIAL

MOUNT ARLINGTON, NJ · CRD 330547 · IAPD ↗ · roxburyfinancial.com · 973-928-7181

$180.5MRegulatory AUM
2Advisory reps
3Employees
0Clients
1-10Planning clients
0Private funds
7States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

60
March 2026 — ROXBURY FINANCIAL reported RAUM up 28% ($141.5M -> $180.5M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
70
March 2026 — ROXBURY FINANCIAL's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
58
March 2025 — ROXBURY FINANCIAL reports 1-10 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
65
March 2025 — ROXBURY FINANCIAL now reports custody of client assets ($48.6M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
42
December 2024 — ROXBURY FINANCIAL notice-filed in SC.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
95
May 2024 — ROXBURY FINANCIAL (MOUNT ARLINGTON, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.