ROOSEVELT INVESTMENTS

Latest filing: Jun 03, 2024 (506 days ago)
View on IAPD
Adviser Website

AUM

$2,692,553,479
-11% change vs. 1 year ago
-8% change vs. 3 years ago
27% change vs. 5 years ago
-4% change vs. 10 years ago

Employee Count

18
-38% change vs. 1 year ago
-47% change vs. 3 years ago
-50% change vs. 5 years ago
-62% change vs. 10 years ago

Main Office

NEW YORK, NY
101 PARK AVE, NEW YORK, NY, UNITED STATES, 10178

Client AUM

Discretion AUM
Discretionary $2.5
Non-Discretionary $0.2
Total $2.7
Client AUM
Retail $1.7
Pooled $0.0
Institutional $1.0
Total $2.7
Retail Accounts AUM
Individual 3,680 $1.4
Average Individual AUM $381,324
HNW 122 $0.3
Average HNW AUM $2,559,846
Retail Total 3,802 $1.7
Average Retail AUM $451,229

ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV

SMA Custodians

Custodian Location AUM
CHARLES SCHWAB & CO., INC. WESTLAKE-TX-USA $0.8

ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV

Separately Managed Assets

Breakdown AUM
Total SMA AUM $2.7
Retail SMA AUM $1.7
Institutional SMA AUM $1.0
Asset Class % AUM
Equity Exch 62% $1.7
Equity Non-Exch 0% $0.0
Govt Agency 0% $0.0
Municipal 0% $0.0
Sovereign 0% $0.0
IG Credit 33% $0.9
HY Credit 0% $0.0
Derivatives 0% $0.0
Investment Companies 0% $0.0
Other Pools 0% $0.0
Cash 4% $0.1
Other 0% $0.0
Total 99% $2.7

ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV

Affiliates

Affiliates AUM Business Types CRD Number
CORIENT PRIVATE WEALTH LLC $143.6 319448
CABANA LLC $0.6 151418

ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV

Control Persons

8 active

Name Title
CHALFIN, DAVID, ALLAN CHIEF FINANCIAL OFFICER
BAIROS, KAREN, MARIE CHIEF OPERATING OFFICER
NAKAMURA, LARRY, TRISTON CHIEF COMPLIANCE OFFICER

ADVDB.CO • SOURCE: SEC

Representatives

5 active representatives found

Name City State Exams Designations
JASON BENOWITZ NEW YORK NY S63|2000-08-24 CHARTERED FINANCIAL ANALYST
JAMES ROGERS NEW YORK NY S65|1998-02-23|S63|2024-04-26
ASHLEY RISSOLO NEW YORK NY CHARTERED FINANCIAL ANALYST
ROBERT MEYER NEW YORK NY S65|1992-07-02 CHARTERED FINANCIAL ANALYST
ADAM SHEER NEW YORK NY S65|1995-04-10

ADVDB.CO • SOURCE: SEC

History

Date AUM AUM ∆ AUM % ∆ Empl Empl ∆ Empl % ∆

ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV

Other

STATE REGISTRATIONS
NY, AK-07/14/2008, AL-07/14/2008, AR-07/14/2008, AZ-07/14/2008, CA-04/30/2003, CO-07/14/2008, CT-10/27/2003, DC-07/14/2008, DE-07/22/2008, FL-07/10/2002, GA-10/27/2003, HI-07/14/2008, IA-07/15/2008, ID-07/14/2008, IL-08/28/2008, IN-07/14/2008, KS-07/14/2008, KY-07/14/2008, LA-08/20/2004, MA-04/30/2003, MD-01/03/2005, ME-07/14/2008, MI-07/14/2008, MN-07/14/2008, MO-07/14/2008, MS-07/14/2008, MT-07/14/2008, NC-05/23/2008, ND-07/14/2008, NE-07/14/2008, NH-07/14/2008, NJ-04/30/2003, NM-07/14/2008, NV-07/14/2008, NY-10/27/2003, OH-07/14/2008, OK-07/14/2008, OR-07/14/2008, PA-04/30/2003, PR-07/14/2008, RI-04/30/2003, SC-07/14/2008, SD-07/14/2008, TN-07/15/2008, TX-10/27/2003, UT-07/14/2008, VA-07/14/2008, VI-07/14/2008, VT-07/14/2008, WA-07/14/2008, WI-07/14/2008, WV-07/14/2008, WY-03/21/2019
ADVISER ACTIVITIES
PORTFOLIO MANAGEMENT
PORTFOLIO MANAGEMENT (SMB)
PENSION CONSULTING
OTHER ACTIVITIES

ADVDB.CO • SOURCE: SEC FORM ADV