The Roosevelt Investment Group, Inc (New York)

Name: The Roosevelt Investment Group, Inc
Address: 730 Third Avenue, New York, NY, 10017
Telephone: 646-452-6700

The Roosevelt Investment Group, Inc is a large advisory firm based in New York. It manages $2.12 billion of regulatory assets for 4,416 client accounts. It has been registered with the SEC as an adviser since 2002 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 49 other states.

The Roosevelt Investment Group provides financial planning services, portfolio management for individuals and small businesses, and portfolio management for businesses and institutional clients. It prepares financial plans for more than 100 clients. On top of advisory services, the firm doesn't engage in other business activities.

The Roosevelt Investment Group: assets under management

The assets under management (AUM) of The Roosevelt Investment Group, Inc is $2.12 billion. The firm's AUM has grown by 347% since the beginning of its operation, and $39.34 million of the total AUM is attributable to clients outside of the United States.

The firm manages $1.99 billion in discretionary accounts and $129.76 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $453.08 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $5.41 million.

Investments

The firm invests in exchange traded securities the most. They account for 50% of the total AUM. The second-largest asset type is investment grade corporate bonds, which make up 35% of the firm’s portfolio. Investments in cash and cash equivalents form 6% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay The Roosevelt Investment Group, Inc for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients James Christian Rogers serves?

The firm provides services to individuals, insurance companies, charitable organizations, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of James Christian Rogers is individuals with 4,015 clients and $1.42 billion of assets under management. Among the 13 most similar advisory firms, The Roosevelt Investment Group has the 2nd highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $2.12 billion for 4,416 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 2% of the firm’s clients are foreign persons or businesses.

The Roosevelt Investment Group doesn't advise any private funds.

Careers at The Roosevelt Investment Group, Inc

The company employs 36 people that are either part- or full-time employees. 39 percent of the employees work as investment advisers or researchers. 5 employees are registered as investment adviser representatives with the state securities authorities.

There are 5 people with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees receive compensation from other entities for client referrals.

James Christian Rogers has been acting as President since 1 Oct 2013. Hsia 2011 Revocable Trust joined the executive team most recently as the Shareholder.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Arthur Howard Sheer	Chairman and cio	1 Nov 1990	75% - 100%	1450672
Jason Micah Sheer	Shareholder	1 Dec 1998	Other	5290753
Barbara A Sheer	Director	1 Jan 2002	Other	6463343
Barbara Ann Sheer	Director	1 Jan 2002	Other	6463343
Sven Erik Hsia	Shareholder	1 Mar 2002	Other	251764
Donald John Guarino	Shareholder	1 Mar 2002	Other	4555619
Bernard Spear	Shareholder	1 Mar 2002	Other	1235117
Tweed Roosevelt	Shareholder	1 Mar 2002	Other	1851278
David Sheer	Director	1 Mar 2002	Other	4373414
Adam Sheer	President	1 Mar 2002	Other	2605605
L. David Sheer	Director	1 Mar 2002	Other	4373414
Adam Jonathan Sheer	President	1 Mar 2002	Other	2605605
Jason Micah Sheer	Analyst	1 Jul 2005	Other	5290753
L. David Sheer	Cfo	1 Jan 2006	Other	4373414
Robert Lawrence Meyer	Shareholder	1 Dec 2006	Other	333229
Steven Weiss	Chief compliance officer	1 Jul 2008	Other	5501942
James Christian Rogers	National sales manager	1 Jan 2009	Other	1624145
David Chalfin	Managing director	1 Feb 2010	Other	6061464
Howard Steven Potter	Managing director	1 Oct 2011	Other	1324316
Vijay Kumar Chopra	Managing director	1 Jan 2012	Other	4603416
Leila B Heckman	Managing director	1 Jan 2012	Other	2030240
John James Mullin	Managing director	1 Jan 2012	Other	2511230
L. David Sheer	Co-ceo	1 Aug 2013	Other	4373414
Adam Jonathan Sheer	Co-ceo	1 Aug 2013	Other	2605605
James Christian Rogers	President	1 Oct 2013	Other	1624145
Steven Weiss	Chief compliance officer, chief operating officer	1 Jan 2015	Other	5501942
David Chalfin	Chief financial officer, managing director	1 Jan 2015	Other	6061464
Steven Kenneth Weiss	Chief compliance officer, chief operating officer	1 Jan 2015	Other	5501942
David Allan Chalfin	Chief financial officer, managing director	1 Jan 2015	Other	6061464
Hsia 2011 Revocable Trust	Shareholder	1 Nov 2016	Other	xxx-xx-xxxx

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Ay Whang Ong Hsia	Trustee	1 Nov 2016	75% - 100%	6824299

Based in New York

The principal office where The Roosevelt Investment Group, Inc performs its advisory services is located at 730 Third Avenue, New York, NY 10017, which is also the mailing address of the firm. An additional office of the firm is in Providence, RI. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 646-452-6700 or by fax 212-599-1916. The normal business hours are 9am - 5pm on Monday - Friday. You can find more information about the New York firm at rooseveltinvestments.com/.