The Fox Team at Morgan Stanley Smith Barney

Comprehensive Financial Planning
From One Generation to the Next

There isn’t much Neil A. Fox, CFP® hasn’t seen – and survived – during his 46 years in the financial services industry.

“The volatility we’re experiencing today is not that unusual. I entered the business in April 1966 and there was a period in the early ’70s that was almost as bad as 2008,” says Fox, Senior Vice President – Financial Advisor of The Fox Team at Morgan Stanley Smith Barney.

As challenging as some of Fox’s experiences may have been, they provided insights and perspective that today help The Fox Team take the long view, help reassure clients and, most important, strive to protect clients against some of the pitfalls of investing in the current marketplace. While there’s no way to avoid risk entirely, the team seeks to minimize
fluctuations in clients’ assets and income flow by diversifying portfolios over broad sectors and asset classes.

Knowledge and Experience in All Kinds of Markets
The Fox Team provides comprehensive financial planning, from access to lending services to estate planning to investment management. Neil Fox; his son and longtime colleague, David Fox, CFP®, Senior Vice President – Financial Advisor; and Financial Advisor Brian Lum currently manage nearly $1.1 billion in assets for high-net-worth families and institutional clients as of December 31, 2011. The practice is divided equally between fee-based and transactional business. Clients can benefit from the team’s extensive industry knowledge, experience and access to the wide-ranging resources of one of the world’s leading financial services firms.

With three generations represented on the team, the team takes pride in understanding the unique needs of different generations and in “managing assets from generation to generation,” David Fox states.

The Fox Team believes that a more knowledgeable client is a less anxious client. “We try to keep our clients informed about what’s going on in the markets and to educate them about investing,” Lum says. “This helps keep them from panicking when they turn on their TV set and see that the market is suddenly down 200 points.”

At the end of the day it all comes down to relationships. The Fox Team strives to provide responsive, professional service and frequent communication. The team enjoys helping people reach their goals, whether they’re looking to enjoy a comfortable retirement, transfer wealth to the next generation, plan for a child or grandchild’s college education, or simply create wealth.

“And if a client has a question, there’s always someone here they can reach out to,” Lum adds. “That’s yet another advantage of working with a team like ours.”


The Fox Team at Morgan Stanley Smith Barney
561-393-1513 | Toll-free: 800-327-0146 x1513
595 South Federal Highway, Suite 400 | Boca Raton, FL 33432

* Source: Barron’s “Top 1,000 Advisors,” February 20, 2012 and February 21, 2011, as identified by Barron’s magazine, using quantitative and qualitative criteria and selected from a pool of over 4,000 nominations. Advisors in the Top 1,000 Financial Advisors have a minimum of seven years of financial services experience. Qualitative factors include, but are not limited to, compliance record, interviews with senior management, and philanthropic work. Investment performance is not a criterion. The rating may not be representative of any one client’s experience and is not indicative of the financial advisor’s future performance. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors pay a fee to Barron’s in exchange for the rating. Barron’s is a registered trademark of Dow Jones & Company, L.P. All rights reserved.

The views expressed by the Fox Team, who have engaged Forbes to feature this article, are their own and are not necessarily those of Morgan Stanley Smith Barney LLC (MSSB), Member SIPC.  MSSB does not provide tax or legal advice. Individuals are urged to consult their advisor before implementing any strategies. Diversification does not guarantee a profit or protect against a loss.

The Fox Team, which is based in Boca Raton, Florida, may only transact business in states where they are registered or excluded or exempted from registration,  Transacting business, follow-up and individualized responses involving either effecting or attempting to effect transactions in securities, or the rendering of personalized investment advice for compensation, will not be made to persons in states where they are not registered or excluded or exempt from registration.

Certified Financial Planner Board of Standards Inc. owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER™ and federally registered CFP (with flame design) in the U.S., which it awards to individuals who successfully complete CFP Board’s initial and ongoing certification requirements.

Morgan Stanley Smith Barney offers a wide array of brokerage and advisory services to its clients, each of which may create a different type of relationship with different obligations to you.  Please visit us at or consult with your Financial Advisor to understand these differences.

The individual mentioned as the Portfolio Manager is a Financial Advisor with Morgan Stanley Smith Barney participating in the Morgan Stanley Smith Barney Portfolio Management program. The Portfolio Management program is an investment advisory program in which the client’s Financial Advisor invests the client’s assets on a discretionary basis in a range of securities.  The Portfolio Management program is described in the applicable Morgan Stanley Smith Barney ADV Part 2, available at or from your Financial Advisor.
Morgan Stanley Smith Barney LLC, Member SIPC.