DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

ROOSEVELT INVESTMENTS

THE ROOSEVELT INVESTMENT GROUP, LLC, CRD 107853

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:59e9146a-5f29-5a9d-b5a3-33ce8b02a82d

Data as of Jun 3, 2024 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:28 AM UTC and rebuilt at most every 15 minutes.

Relationships: 29
Dated events: 20
On other graphs: 1
Observed: Jan 31, 2012 to Jun 3, 2024
37 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

Roosevelt Investments

Investment consultant · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $2.7BItem 5.F on the latest filing (2024-06-03); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $2.5B
Private client RAUM: $1.7BderivedItem 5.D individuals plus high net worth individuals
Private client share: 64%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 18
Advisory employees: 6
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 1,125
Individual clients: 3,680
High net worth clients: 122
SEC number: 801-38824
CRD: 107853
Filings on the tape: 37
First filed: Jan 31, 2012
Latest filed: Jun 3, 2024
Organised: Limited Liability Company, Delaware

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
CHALFIN, DAVID, ALLAN	CHIEF FINANCIAL OFFICER	Na	yes	01/2015	May 4, 2012	Jun 3, 2024
CI FINANCIAL CORP.	Owner	E	yes	12/2020	Jan 15, 2021	Jun 3, 2024
CORIENT HOLDINGS INC	Owner	E	yes	02/2023	Mar 29, 2024	Jun 3, 2024
CORIENT MANAGEMENT LLC	Owner	E	yes	12/2023	Mar 29, 2024	Jun 3, 2024
CORIENT PARTNERS LLC	Owner	E	yes	12/2023	Mar 29, 2024	Jun 3, 2024
CORIENT PRIVATE WEALTH LLC	OWNER & MANAGING MEMBER	E	yes	12/2020	Mar 29, 2024	Jun 3, 2024
NAKAMURA, LARRY, TRISTON	CHIEF COMPLIANCE OFFICER	Na	yes	02/2023	Mar 1, 2023	Jun 3, 2024
BAIROS, KAREN, MARIE	CHIEF OPERATING OFFICER	Na	no	04/2021	Jul 20, 2021	Jun 3, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
CORIENT PRIVATE WEALTH LLC	n/a	Independent wealth	$165B	Y	yes	n/a
CABANA LLC	n/a	Asset manager	$472M	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no
Providence	Ri	United States	0	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023	Mar 29, 2024	$2.7B	$2.5B	18	6	2	n/a	n/a
2022	Apr 3, 2023	$3.0B	$2.8B	29	10	2	n/a	n/a
2021	Mar 8, 2022	$3.4B	$3.2B	33	8	2	n/a	n/a
2020	Mar 30, 2021	$2.9B	$2.8B	34	7	2	n/a	n/a
2019	Mar 16, 2020	$2.7B	$2.5B	33	9	1	n/a	n/a
2018	Mar 21, 2019	$2.1B	$2.0B	36	14	1	n/a	n/a
2017	Mar 15, 2018	$2.4B	$2.3B	33	10	1	n/a	n/a
2016	Mar 16, 2017	$2.0B	$1.9B	40	10	n/a	n/a	n/a
2015	Mar 24, 2016	$2.4B	$2.1B	45	10	n/a	n/a	n/a
2014	Mar 20, 2015	$2.5B	$2.3B	45	9	n/a	n/a	n/a
2013	Mar 26, 2014	$2.8B	$2.7B	47	9	n/a	n/a	n/a
2012	Mar 27, 2013	$2.6B	$2.5B	50	11	n/a	n/a	n/a
2011	Jan 31, 2012	$3.0B	$2.9B	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$2.7B	$3.0B	-10.8%	$2.9B	-2.9%	18	29	2	2

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
Corient	2	Jul 19, 2023	Feb 24, 2023	NEW YORK, NY	Team lift out	RIA to ibd	40.0%

Relationships

Affiliated with (4)

← CORIENTRegistered adviserother investment adviser, control, common control
factForm ADV
← SOCIUS FAMILY OFFICE, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ CABANA ASSET MANAGEMENTRegistered adviserother investment adviser, common control
factForm ADV
→ CORIENTRegistered adviserother investment adviser, control, common control
factForm ADV

Controls (7)

← NAKAMURA, LARRY, TRISTONOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 1, 2023 to presentfactForm ADV
← CHALFIN, DAVID, ALLANOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
May 4, 2012 to presentfactForm ADV
← CI FINANCIAL CORP.OwnerOWNER, ownership code E, foreign entity
Jan 15, 2021 to presentfactForm ADV
← CORIENT HOLDINGS INCOwnerOWNER, ownership code E, domestic entity
Mar 29, 2024 to presentfactForm ADV
← CORIENT MANAGEMENT LLCOwnerOWNER, ownership code E, domestic entity
Mar 29, 2024 to presentfactForm ADV
← CORIENT PARTNERS LLCOwnerOWNER, ownership code E, domestic entity
Mar 29, 2024 to presentfactForm ADV
← CORIENT PRIVATE WEALTH LLCOwnerOWNER & MANAGING MEMBER, ownership code E, domestic entity
Mar 29, 2024 to presentfactForm ADV

Owns (1)

← BAIROS, KAREN, MARIEOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Jul 20, 2021 to presentfactForm ADV

Registered with (15)

← ADAM JONATHAN SHEERAdvisorregistration: previous registration
Jul 18, 2021 to Oct 17, 2024factForm ADV
← ROBERT LAWRENCE MEYERAdvisorregistration: previous registration
Jul 15, 2021 to Oct 17, 2024factForm ADV
← JASON TODD BENOWITZAdvisorregistration: previous registration
Sep 3, 2023 to Oct 17, 2024factForm ADV
← Ashley Kristen RissoloAdvisorregistration: previous registration
Sep 3, 2023 to Oct 17, 2024factForm ADV
← Nichole Hurst AdamsAdvisorregistration: previous registration
Jul 2, 2024 to Oct 17, 2024factForm ADV
← JOHN SCOTT ROSCOEAdvisorregistration: previous registration
Aug 2, 2021 to May 23, 2024factForm ADV
← TIMOTHY ERIC HERMANNAdvisorregistration: previous registration
Nov 3, 2010 to Jul 19, 2023factForm ADV
← CORIE EVAN GABRIELAdvisorregistration: previous registration
Nov 3, 2010 to Jul 19, 2023factForm ADV
← JOHN WILLIAM SOKOLOWSKIAdvisorregistration: previous registration
Jul 7, 2015 to Jun 23, 2023factForm ADV
← Dominick LombardiAdvisorregistration: previous registration
Dec 3, 2021 to Jun 23, 2023factForm ADV
← Izabela HallettAdvisorregistration: previous registration
Nov 3, 2010 to Aug 12, 2016factForm ADV
← MICHAEL EDWARD MAITNERAdvisorregistration: previous registration
May 20, 2015 to Aug 12, 2016factForm ADV
← Stephen Gaylord HalleyAdvisorregistration: previous registration
Apr 1, 2014 to Jul 26, 2016factForm ADV
← Steven KleinerAdvisorregistration: previous registration
Nov 3, 2010 to Jul 26, 2016factForm ADV
← JOSEPH NONE FARAGIAdvisorregistration: previous registration
Jan 28, 2009 to Nov 8, 2011factForm ADV

Moved with (1)

→ CORIENTRegistered adviser2 advisors, team lift out, same day
Jul 19, 2023 to Feb 24, 2023factForm ADV

Dated events

Occurred
Oct 17, 2024
Advisor changed firm
Adam Jonathan Sheer left Roosevelt Investments for Corient (registered 2023-02-17)
Form ADVobserved 5 days ago
Occurred
Oct 17, 2024
Advisor departed, no destination yet
Ashley Kristen Rissolo no longer registered at Roosevelt Investments; no later IA registration on IAPD
Form ADVobserved 5 days ago
Occurred
Oct 17, 2024
Advisor departed, no destination yet
Jason Todd Benowitz no longer registered at Roosevelt Investments; no later IA registration on IAPD
Form ADVobserved 5 days ago
Occurred
Oct 17, 2024
Advisor changed firm
Robert Lawrence Meyer left Roosevelt Investments for Corient (registered 2023-02-17)
Form ADVobserved 5 days ago
Occurred
Oct 17, 2024
Advisor departed, no destination yet
Nichole Hurst Adams no longer registered at Roosevelt Investments; no later IA registration on IAPD
Form ADVobserved 5 days ago
Occurred
May 23, 2024
Advisor changed firm
John Scott Roscoe left Roosevelt Investments for Corient (registered 2023-02-17)
Form ADVobserved 5 days ago
Occurred
Mar 29, 2024
Control person left
David L. Sheer (Co-Ceo) no longer on Schedule A of Roosevelt Investments (listed 2023-04-03, absent 2024-03-29)
Form ADVobserved 5 days ago
Occurred
Mar 29, 2024
Control person left
Jonathan Adam Sheer (Co-Ceo) no longer on Schedule A of Roosevelt Investments (listed 2023-04-03, absent 2024-03-29)
Form ADVobserved 5 days ago
Occurred
Mar 29, 2024
Control person left
Steven Weiss (General Counsel) no longer on Schedule A of Roosevelt Investments (listed 2023-04-03, absent 2024-03-29)
Form ADVobserved 5 days ago
Occurred
Jul 19, 2023
Team lift-out
2 advisors left Roosevelt Investments (New York, NY) for Corient on the same day
Form ADVobserved 5 days ago
2 advisors
Occurred
Jul 19, 2023
Advisor changed firm
Timothy Eric Hermann left Roosevelt Investments for Corient (registered 2023-02-17)
Form ADVobserved 5 days ago
Occurred
Jul 19, 2023
Advisor changed firm
Corie Evan Gabriel left Roosevelt Investments for Corient (registered 2023-02-24)
Form ADVobserved 5 days ago
Occurred
Jun 23, 2023
Advisor changed firm
Dominick Lombardi left Roosevelt Investments for Corient (registered 2023-02-17)
Form ADVobserved 5 days ago
Occurred
Jun 23, 2023
Advisor changed firm
John William Sokolowski left Roosevelt Investments for Corient (registered 2023-02-24)
Form ADVobserved 5 days ago
Occurred
Mar 1, 2023
Control person joined
Triston Larry Nakamura (Chief Compliance Officer) appeared on Schedule A of Roosevelt Investments
Form ADVobserved 5 days ago
Occurred
Mar 8, 2022
Control person left
Howard Arthur Sheer (Chairman) no longer on Schedule A of Roosevelt Investments (listed 2021-12-23, absent 2022-03-08)
Form ADVobserved 5 days ago
Occurred
Jan 15, 2021
Control person left
Christian James Rogers (President) no longer on Schedule A of Roosevelt Investments (listed 2020-12-23, absent 2021-01-15)
Form ADVobserved 5 days ago
Occurred
Dec 23, 2020
Succession filed (Item 4)
Roosevelt Investments reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 5 days ago
Occurred
Dec 23, 2020
Control person left
Ong Ay-Whang Hsia (Trustee) no longer on Schedule A of Roosevelt Investments (listed 2020-07-13, absent 2020-12-23)
Form ADVobserved 5 days ago
Occurred
Mar 16, 2020
Regulatory AUM changed
Roosevelt Investments reported RAUM $2.7B, up 27% from $2.1B (2019-03-21 to 2020-03-16)
Form ADVobserved 5 days ago
$578M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:59e9146a-5f29-5a9d-b5a3-33ce8b02a82d
First observed: Jan 31, 2012
Last observed: Jun 3, 2024 27 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

ROOSEVELT INVESTMENTS

THE ROOSEVELT INVESTMENT GROUP, LLC, CRD 107853

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:59e9146a-5f29-5a9d-b5a3-33ce8b02a82d

Data as of Jun 3, 2024 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:28 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CHALFIN, DAVID, ALLAN

CHIEF FINANCIAL OFFICER

yes

01/2015

May 4, 2012

Jun 3, 2024

CI FINANCIAL CORP.

Owner

yes

12/2020

Jan 15, 2021

Jun 3, 2024

CORIENT HOLDINGS INC

Owner

yes

02/2023

Mar 29, 2024

Jun 3, 2024

CORIENT MANAGEMENT LLC

Owner

yes

12/2023

Mar 29, 2024

Jun 3, 2024

CORIENT PARTNERS LLC

Owner

yes

12/2023

Mar 29, 2024

Jun 3, 2024

CORIENT PRIVATE WEALTH LLC

OWNER & MANAGING MEMBER

yes

12/2020

Mar 29, 2024

Jun 3, 2024

NAKAMURA, LARRY, TRISTON

CHIEF COMPLIANCE OFFICER

yes

02/2023

Mar 1, 2023

Jun 3, 2024

BAIROS, KAREN, MARIE

CHIEF OPERATING OFFICER

04/2021

Jul 20, 2021

Jun 3, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CORIENT PRIVATE WEALTH LLC

n/a

Independent wealth

$165B

yes

n/a

CABANA LLC

n/a

Asset manager

$472M

yes

n/a

City

State

Country

Employees

Also broker-dealer

n/a

Providence

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2023

Mar 29, 2024

$2.7B

$2.5B

n/a

2022

Apr 3, 2023

$3.0B

$2.8B

n/a

2021

Mar 8, 2022

$3.4B

$3.2B

n/a

2020

Mar 30, 2021

$2.9B

$2.8B

n/a

2019

Mar 16, 2020

$2.7B

$2.5B

n/a

2018

Mar 21, 2019

$2.1B

$2.0B

n/a

2017

Mar 15, 2018

$2.4B

$2.3B

n/a

2016

Mar 16, 2017

$2.0B

$1.9B

n/a

2015

Mar 24, 2016

$2.4B

$2.1B

n/a

2014

Mar 20, 2015

$2.5B

$2.3B

n/a

2013

Mar 26, 2014

$2.8B

$2.7B

n/a

2012

Mar 27, 2013

$2.6B

$2.5B

n/a

2011

Jan 31, 2012

$3.0B

$2.9B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2023

$2.7B

$3.0B

-10.8%

$2.9B

-2.9%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

Corient

Jul 19, 2023

Feb 24, 2023

NEW YORK, NY

Team lift out

RIA to ibd

40.0%