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 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 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.
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.
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.
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/.