DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Roosevelt Investments

Former SEC-registered adviserNew York, New YorkCRD 107853SEC 801-38824IAPD
Legal name The Roosevelt Investment Group, LLC
Latest filing Jun 3, 2024
First filing on the tape Jan 31, 2012 · 37 filings
RAUM
$2.7B
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
64%
$1.7B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
18
6 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$2.7B as of Mar 29, 2024
Jan 31, 2012$3.0B then
HNW client RAUM$312M as of Mar 29, 2024
Mar 15, 2018$150M then
State-registered IARs (5.B.3)6 as of Mar 29, 2024
Mar 27, 20137 then
Employees (5.A)18 as of Mar 29, 2024
Mar 27, 201350 then
Private funds: no history
RAUM -11% over the last fiscal year-2.9% a year over threeIARs 10 to 6
Practice profile
derived from the filing of Jun 3, 2024; every figure names its basis
RAUM per advisor
$449MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
634derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.6MderivedHNW RAUM over HNW clients
Average account
$2.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
93%derivedof RAUM
Institutional
9.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
2.0derived3 offices incl. principal (1.F.5)
RAUM growth, one year
-11%derivedbetween the last two annual amendments
Advisor growth, one year
-40%derivedItem 5.B.3 between annual amendments
Client growth, one year
-13%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$1.4B52%
  • Corporations and businesses$726M27%
  • High-net-worth individuals$312M12%
  • Insurance companies$157M5.8%
  • Pension and profit-sharing plans$67.0M2.5%
  • Charitable organizations$26.7M1.0%
Individual clients
3,680reported
HNW clients
122reported
Pension plan clients
44reported
Charitable clients
13reported
Accounts
1,125reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $1.3B managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Allan David Chalfin · Chief Financial Officercontrol
      since 01/2015 · owns less than 5%
    • Triston Larry Nakamura · Chief Compliance Officercontrol
      since 02/2023 · owns less than 5%
    • Marie Karen Bairos · Chief Operating Officer
      since 04/2021 · owns less than 5%
    Entity owners
    • Corient Private Wealth LLC · Owner & Managing Member
      direct · owns 75% or more
    • Ci Financial Corp. · Owner
      indirect · owns 75% or more of Corient Holdings Inc · public reporting company
    • Corient Holdings Inc · Owner
      indirect · owns 75% or more of Corient Management LLC
    • Corient Management LLC · Owner
      indirect · owns 75% or more of Corient Partners LLC
    • Corient Partners LLC · Owner
      indirect · owns 75% or more of Corient Private Wealth LLC
    Related persons
    Schedule D 7.A
    Advisers that list Roosevelt Investments as a related person
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Miami, Fl000
    New York, Ny · principal000
    St Petersburg, Fl000
    Offices
    Schedule D 1.F, the 25 largest
    • , 1 employees
    • Providence, RI
    What changed
    consecutive filings, newest first
    • Accounts · 4,799 to 1,125
      Apr 3, 2023 to Mar 29, 2024
    • Advisory employees · 10 to 6
      Apr 3, 2023 to Mar 29, 2024
    • Corporate clients · 131 to 268
      Apr 3, 2023 to Mar 29, 2024
    • HNW clients · 135 to 122
      Apr 3, 2023 to Mar 29, 2024
    • Individual clients · 4,259 to 3,680
      Apr 3, 2023 to Mar 29, 2024
    • Pension plan clients · 57 to 44
      Apr 3, 2023 to Mar 29, 2024
    • Employees · 29 to 18
      Apr 3, 2023 to Mar 29, 2024
    • Financial planning clients · 251-500 to 0
      Apr 3, 2023 to Mar 29, 2024
    • State-registered IARs · 10 to 6
      Apr 3, 2023 to Mar 29, 2024
    • Discretionary RAUM · $2.8B to $2.5B
      Apr 3, 2023 to Mar 29, 2024
    • HNW RAUM · $389M to $312M
      Apr 3, 2023 to Mar 29, 2024
    • Individual RAUM · $1.6B to $1.4B
      Apr 3, 2023 to Mar 29, 2024
    • Non-discretionary RAUM · $181M to $199M
      Apr 3, 2023 to Mar 29, 2024
    • Pension RAUM · $84.7M to $67.0M
      Apr 3, 2023 to Mar 29, 2024
    • RAUM · $3.0B to $2.7B
      Apr 3, 2023 to Mar 29, 2024
    • Wrap assets (manager) · $1.2B to $1.3B
      Apr 3, 2023 to Mar 29, 2024
    • Accounts · 4,704 to 4,799
      Mar 1, 2023 to Apr 3, 2023
    • Advisory employees · 8 to 10
      Mar 1, 2023 to Apr 3, 2023
    • Corporate clients · 324 to 131
      Mar 1, 2023 to Apr 3, 2023
    • HNW clients · 173 to 135
      Mar 1, 2023 to Apr 3, 2023
    • Individual clients · 4,142 to 4,259
      Mar 1, 2023 to Apr 3, 2023
    • Pension plan clients · 48 to 57
      Mar 1, 2023 to Apr 3, 2023
    • Employees · 33 to 29
      Mar 1, 2023 to Apr 3, 2023
    • State-registered IARs · 11 to 10
      Mar 1, 2023 to Apr 3, 2023
    • Discretionary RAUM · $3.2B to $2.8B
      Mar 1, 2023 to Apr 3, 2023
    • HNW RAUM · $499M to $389M
      Mar 1, 2023 to Apr 3, 2023
    • Individual RAUM · $1.8B to $1.6B
      Mar 1, 2023 to Apr 3, 2023
    • Non-discretionary RAUM · $201M to $181M
      Mar 1, 2023 to Apr 3, 2023
    • Pension RAUM · $60.5M to $84.7M
      Mar 1, 2023 to Apr 3, 2023
    • RAUM · $3.4B to $3.0B
      Mar 1, 2023 to Apr 3, 2023
    • Wrap assets (manager) · $1.4B to $1.2B
      Mar 1, 2023 to Apr 3, 2023
    • Accounts · 4,544 to 4,704
      Dec 23, 2021 to Mar 8, 2022
    • Advisory employees · 7 to 8
      Dec 23, 2021 to Mar 8, 2022
    • Charity clients · 11 to 13
      Dec 23, 2021 to Mar 8, 2022
    • Corporate clients · 338 to 324
      Dec 23, 2021 to Mar 8, 2022
    • HNW clients · 133 to 173
      Dec 23, 2021 to Mar 8, 2022
    • Individual clients · 4,010 to 4,142
      Dec 23, 2021 to Mar 8, 2022
    • Pension plan clients · 50 to 48
      Dec 23, 2021 to Mar 8, 2022
    • Employees · 34 to 33
      Dec 23, 2021 to Mar 8, 2022
    • Financial planning clients · 101-250 to 251-500
      Dec 23, 2021 to Mar 8, 2022
    Signals
    20 dated events
    • Robert Lawrence Meyer left Roosevelt Investments for Corient (registered 2023-02-17)
      Oct 17, 2024 · Advisor changed firm · fact
    • Adam Jonathan Sheer left Roosevelt Investments for Corient (registered 2023-02-17)
      Oct 17, 2024 · Advisor changed firm · fact
    • Ashley Kristen Rissolo no longer registered at Roosevelt Investments; no later IA registration on IAPD
      Oct 17, 2024 · Advisor departure · fact
    • Nichole Hurst Adams no longer registered at Roosevelt Investments; no later IA registration on IAPD
      Oct 17, 2024 · Advisor departure · fact
    • Jason Todd Benowitz no longer registered at Roosevelt Investments; no later IA registration on IAPD
      Oct 17, 2024 · Advisor departure · fact
    • John Scott Roscoe left Roosevelt Investments for Corient (registered 2023-02-17)
      May 23, 2024 · Advisor changed firm · fact
    • David L. Sheer (Co-Ceo) no longer on Schedule A of Roosevelt Investments (listed 2023-04-03, absent 2024-03-29)
      Mar 29, 2024 · Control person left · inference
    • Jonathan Adam Sheer (Co-Ceo) no longer on Schedule A of Roosevelt Investments (listed 2023-04-03, absent 2024-03-29)
      Mar 29, 2024 · Control person left · inference
    • Steven Weiss (General Counsel) no longer on Schedule A of Roosevelt Investments (listed 2023-04-03, absent 2024-03-29)
      Mar 29, 2024 · Control person left · inference
    • Timothy Eric Hermann left Roosevelt Investments for Corient (registered 2023-02-17)
      Jul 19, 2023 · Advisor changed firm · fact
    • Corie Evan Gabriel left Roosevelt Investments for Corient (registered 2023-02-24)
      Jul 19, 2023 · Advisor changed firm · fact
    • 2 advisors left Roosevelt Investments (New York, NY) for Corient on the same day
      Jul 19, 2023 · Team lift-out · derived
    • Dominick Lombardi left Roosevelt Investments for Corient (registered 2023-02-17)
      Jun 23, 2023 · Advisor changed firm · fact
    • John William Sokolowski left Roosevelt Investments for Corient (registered 2023-02-24)
      Jun 23, 2023 · Advisor changed firm · fact
    • Triston Larry Nakamura (Chief Compliance Officer) appeared on Schedule A of Roosevelt Investments
      Mar 1, 2023 · Control person joined · fact
    • Howard Arthur Sheer (Chairman) no longer on Schedule A of Roosevelt Investments (listed 2021-12-23, absent 2022-03-08)
      Mar 8, 2022 · Control person left · inference
    • Christian James Rogers (President) no longer on Schedule A of Roosevelt Investments (listed 2020-12-23, absent 2021-01-15)
      Jan 15, 2021 · Control person left · inference
    • Roosevelt Investments reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Dec 23, 2020 · Succession (Item 4) · fact
    • Ong Ay-Whang Hsia (Trustee) no longer on Schedule A of Roosevelt Investments (listed 2020-07-13, absent 2020-12-23)
      Dec 23, 2020 · Control person left · inference
    • Roosevelt Investments reported RAUM $2.7B, up 27% from $2.1B (2019-03-21 to 2020-03-16)
      Mar 16, 2020 · RAUM change · derived
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026