DFX Intelligence

RIA Intelligence

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SEC-registered adviser

R•••••••• M••••••••• C•••••• L••

Other adviserNew York, New YorkCRD 161605SEC 801-73754website IAPD

Latest filing Jun 2, 2026

First filing on the tape Feb 14, 2012 · 45 filings

SEC status approved since Mar 30, 2012

RAUM

$52.4M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

30 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

45 filings and snapshots on the tape

RAUM$52.4M as of Jun 2, 2026

Mar 27, 2013$935M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Jun 2, 2026

Mar 27, 20130 then

Employees (5.A)30 as of Jun 2, 2026

Mar 27, 201346 then

Private funds3 as of Mar 28, 2023

Mar 28, 20192 then

RAUM -88% over the last fiscal year-62% a year over threeIARs 0 to 0offices 7 to 8

Practice profile

derived from the filing of Jun 2, 2026; every figure names its basis

RAUM per advisor: unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: unknownderivedHNW RAUM over HNW clients
Average account: $26.2MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 28%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived9 offices incl. principal (1.F.5)
RAUM growth, one year: -88%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assets, performance-basedreportedItem 5.E
Advisory activities: portfolio management for businesses and institutionsreportedItem 5.G
Custody: yesreportedItem 9.A
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)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Corporations and businesses$37.5M72%
Sovereign wealth funds$14.9M28%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 2reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $0 for 0 clientsreported
Compensation: % of AUM, performancereported
Class basis: private_client_share=0.0 fund_share=0.0 institutional_share=0.28 related_bd=false related_bank=false bd_reps=0.0derived

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

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Private funds

3 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
J•••••••• A•••• C•••••• I•• L•••no longer reported	Real Estate Fund	$0	2	Mar 28, 2019
J•••••••• A•••• C•••••• I• L•••no longer reported	Real Estate Fund	$0	2	Mar 28, 2019
J•••••••• A•••• C•••••• I••• L•••no longer reported	Real Estate Fund	$0	2	Mar 25, 2021

Owners and control persons

Schedule A and B, latest filing

B••••••••• R•••••• R• · Cio Of Parentcontrol
since 10/2024 · owns less than 5%
B•••• J••••• K• · Ceo Of Parentcontrol
since 07/2023 · owns less than 5%
G•••••••• J•••••••• S• · Chief Legal Officer/Chief Compliance Officercontrol
since 01/2023 · owns less than 5%
J••••••• K•••• G• · Cfo Of Parentcontrol
since 07/2023 · owns less than 5%
R••••••• A•••••• P••• · Chief Financial Officer/Enterprise Risk Officer/Treasurercontrol
since 04/2018 · owns less than 5%
R•••••• G••••••• J••••• · Chief Investment Officercontrol
since 03/2022 · owns less than 5%

Entity owners

M•• C••••• G•••• I••• · Member
direct · owns 75% or more · public reporting company

Related persons

Schedule D 7.A

D••••• A•••• S••••••• L••
investment companyn
X••• C• L••
investment companyn
X••• I•••
investment companyn
X••• O• L••
investment companyn
X••• P• L••
investment companyn
X••• R••••• S••••••• L••
investment companyn

Offices

Schedule D 1.F, the 25 largest

Coppell, TX39 employees
Farmers Branch, TX3 employees
, 1 employees

ADV anomalies

3 against comparable advisers; where to look, not conclusions

discretionary share shiftChange between filings · filing Mar 30, 2026
discretionary share of RAUM moved from 0.0% to 100.0% between the annual amendments of 2025-04-29 and 2026-03-30
peers: other advisers, under $100M (666)
institutional asset share shiftChange between filings · filing Mar 30, 2026
institutional share of RAUM moved from 0.0% to 100.0% between the annual amendments of 2025-04-29 and 2026-03-30
peers: other advisers, under $100M (666)
employee count dropChange between filings · filing Mar 30, 2026
employees (Item 5.A) moved from 48.0 to 30.0 (-38.0%) between the annual amendments of 2025-04-29 and 2026-03-30; the peer median change was 0.0% (103 comparable advisers, 7.0th percentile of changes)
peers: other advisers, under $100M (103) · 6.9% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 3 to 2
Oct 30, 2025 to Mar 30, 2026
Advisory employees · 48 to 30
Oct 30, 2025 to Mar 30, 2026
Corporate clients · unset to 1.0
Oct 30, 2025 to Mar 30, 2026
Pooled vehicle clients · 3.0 to unset
Oct 30, 2025 to Mar 30, 2026
Assets in custody · $17.3M to $0
Oct 30, 2025 to Mar 30, 2026
Employees · 48 to 30
Oct 30, 2025 to Mar 30, 2026
Other offices · 7 to 8
Oct 30, 2025 to Mar 30, 2026
Discretionary RAUM · $0 to $52.4M
Oct 30, 2025 to Mar 30, 2026
Non-discretionary RAUM · $452M to $0
Oct 30, 2025 to Mar 30, 2026
Pooled vehicle RAUM · 451650572.0 to unset
Oct 30, 2025 to Mar 30, 2026
RAUM · $452M to $52.4M
Oct 30, 2025 to Mar 30, 2026
Financial planning clients · unset to
Apr 29, 2025 to Jun 30, 2025
Advisory employees · 60 to 48
Oct 21, 2024 to Apr 29, 2025
Assets in custody · $22.5M to $17.3M
Oct 21, 2024 to Apr 29, 2025
Employees · 62 to 48
Oct 21, 2024 to Apr 29, 2025
Other offices · 8 to 7
Oct 21, 2024 to Apr 29, 2025
Non-discretionary RAUM · $803M to $452M
Oct 21, 2024 to Apr 29, 2025
Pooled vehicle RAUM · $803M to $452M
Oct 21, 2024 to Apr 29, 2025
RAUM · $803M to $452M
Oct 21, 2024 to Apr 29, 2025
Accounts · 7 to 3
Aug 30, 2023 to Mar 29, 2024
Advisory employees · 24 to 60
Aug 30, 2023 to Mar 29, 2024
Pooled vehicle clients · 7 to 3
Aug 30, 2023 to Mar 29, 2024
Assets in custody · $39.5M to $22.5M
Aug 30, 2023 to Mar 29, 2024
Employees · 26 to 62
Aug 30, 2023 to Mar 29, 2024
Other offices · 1 to 8
Aug 30, 2023 to Mar 29, 2024
Non-discretionary RAUM · $921M to $803M
Aug 30, 2023 to Mar 29, 2024
Pooled vehicle RAUM · $921M to $803M
Aug 30, 2023 to Mar 29, 2024
RAUM · $921M to $803M
Aug 30, 2023 to Mar 29, 2024
Accounts · 16 to 7
Mar 28, 2023 to Aug 30, 2023
Advisory employees · 29 to 24
Mar 28, 2023 to Aug 30, 2023
Advisory activities · 2 to 1
Mar 28, 2023 to Aug 30, 2023
Pooled vehicle clients · 16 to 7
Mar 28, 2023 to Aug 30, 2023
Assets in custody · $49.2M to $39.5M
Mar 28, 2023 to Aug 30, 2023
Employees · 31 to 26
Mar 28, 2023 to Aug 30, 2023
Financial planning clients · 0 to unset
Mar 28, 2023 to Aug 30, 2023
Private funds · 3 to unset
Mar 28, 2023 to Aug 30, 2023
Non-discretionary RAUM · $959M to $921M
Mar 28, 2023 to Aug 30, 2023
Pooled vehicle RAUM · $959M to $921M
Mar 28, 2023 to Aug 30, 2023
RAUM · $959M to $921M
Mar 28, 2023 to Aug 30, 2023
Accounts · 26 to 16
Jan 30, 2023 to Mar 28, 2023

Signals

31 dated events

R•••••••• M••••••••• C•••••• L•• reported RAUM $52.4M, down 88% from $451.7M (2025-10-30 to 2026-03-30)
Mar 30, 2026 · RAUM change · derived
R•••••••• M••••••••• C•••••• L•• reported RAUM $451.7M, down 44% from $803.1M (2024-10-21 to 2025-04-29)
Apr 29, 2025 · RAUM change · derived
R. Ranjit Bhattacharjee (Cio Of Parent) appeared on Schedule A of R•••••••• M••••••••• C•••••• L••
Oct 21, 2024 · Control person joined · fact
G C••••••••• M••••••• (Vice Chairman Of Parent) no longer on Schedule A of R•••••••• M••••••••• C•••••• L•• (listed 2024-03-29, absent 2024-10-21)
Oct 21, 2024 · Control person left · inference
Yiqun Jeffrey Xie (Chief Financial Officer) no longer on Schedule A of R•••••••• M••••••••• C•••••• L•• (listed 2024-03-29, absent 2024-10-21)
Oct 21, 2024 · Control person left · inference
Denise K•••• G••••••• (Interim Chief Executive Officer) no longer on Schedule A of R•••••••• M••••••••• C•••••• L•• (listed 2024-03-29, absent 2024-10-21)
Oct 21, 2024 · Control person left · inference
R•••••••• M••••••••• C•••••• L•• reported 8 offices beyond its principal office, up from 1 (2023-08-30 to 2024-03-29)
Mar 29, 2024 · Office count change · derived
G K••• J•••••• (Cfo Of Parent) appeared on Schedule A of R•••••••• M••••••••• C•••••• L••
Mar 29, 2024 · Control person joined · fact
K J•••• B••• (Ceo Of Parent) appeared on Schedule A of R•••••••• M••••••••• C•••••• L••
Mar 29, 2024 · Control person joined · fact
G C••••••••• M••••••• (Vice Chairman Of Parent) appeared on Schedule A of R•••••••• M••••••••• C•••••• L••
Mar 29, 2024 · Control person joined · fact
John Michael Ohanlon (Manager) no longer on Schedule A of R•••••••• M••••••••• C•••••• L•• (listed 2023-03-28, absent 2023-08-30)
Aug 30, 2023 · Control person left · inference
L Terry S•••• (Executive Vice President) no longer on Schedule A of R•••••••• M••••••••• C•••••• L•• (listed 2023-03-28, absent 2023-08-30)
Aug 30, 2023 · Control person left · inference
R•••••••• M••••••••• C•••••• L•• reported RAUM $959.1M, down 61% from $2.5B (2023-01-30 to 2023-03-28)
Mar 28, 2023 · RAUM change · derived
Francis James Schneider (Executive Vice President) no longer on Schedule A of R•••••••• M••••••••• C•••••• L•• (listed 2022-11-22, absent 2023-01-30)
Jan 30, 2023 · Control person left · inference
K•••• G••••••• (Interim Chief Executive Officer) appeared on Schedule A of R•••••••• M••••••••• C•••••• L••
Nov 3, 2022 · Control person joined · fact
R•••• S•••• (Enterprise Chief Financial Officer) no longer on Schedule A of R•••••••• M••••••••• C•••••• L•• (listed 2022-06-28, absent 2022-11-03)
Nov 3, 2022 · Control person left · inference
Justin Gabriel Riopel (Interim Chief Investment Officer) appeared on Schedule A of R•••••••• M••••••••• C•••••• L••
Apr 20, 2022 · Control person joined · fact
S J••••••• G••••••• (Enterprise Chief Legal Officer) appeared on Schedule A of R•••••••• M••••••••• C•••••• L••
Mar 24, 2022 · Control person joined · fact
Morton J••••••• Egol (Chief Investment Officer) no longer on Schedule A of R•••••••• M••••••••• C•••••• L•• (listed 2021-08-19, absent 2022-03-24)
Mar 24, 2022 · Control person left · inference
Louis Daniel Wanek (Manager) appeared on Schedule A of R•••••••• M••••••••• C•••••• L••
Aug 19, 2021 · Control person joined · fact
Brian Fishbein (Manager) no longer on Schedule A of R•••••••• M••••••••• C•••••• L•• (listed 2021-07-21, absent 2021-08-19)
Aug 19, 2021 · Control person left · inference
Andrew Edgell (Manager) no longer on Schedule A of R•••••••• M••••••••• C•••••• L•• (listed 2021-03-25, absent 2021-07-21)
Jul 21, 2021 · Control person left · inference
H•••••• A•••• (Manager) appeared on Schedule A of R•••••••• M••••••••• C•••••• L••
Jul 21, 2021 · Control person joined · fact
Samuel Alan Waxman (Member) no longer on Schedule A of R•••••••• M••••••••• C•••••• L•• (listed 2020-10-14, absent 2021-03-25)
Mar 25, 2021 · Control person left · inference
R•••••••• M••••••••• C•••••• L•• reported RAUM $2.4B, down 27% from $3.3B (2020-10-14 to 2021-03-25)
Mar 25, 2021 · RAUM change · derived
Morton J••••••• Egol (Acting Chief Investment Officer) appeared on Schedule A of R•••••••• M••••••••• C•••••• L••
Oct 14, 2020 · Control person joined · fact
Joseph Peter Barkey (Executive Vice President) no longer on Schedule A of R•••••••• M••••••••• C•••••• L•• (listed 2020-06-11, absent 2020-10-14)
Oct 14, 2020 · Control person left · inference
L••• J•••••• S•••• (Acting Chief Compliance Officer) no longer on Schedule A of R•••••••• M••••••••• C•••••• L•• (listed 2020-04-16, absent 2020-06-11)
Jun 11, 2020 · Control person left · inference
R•••• S•••• (Enterprise Chief Financial Officer) appeared on Schedule A of R•••••••• M••••••••• C•••••• L••
Jan 6, 2020 · Control person joined · fact
Paul Andrew Rickert (Treasurer/Svp) appeared on Schedule A of R•••••••• M••••••••• C•••••• L••
Mar 28, 2019 · Control person joined · fact

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

How to reach

public business contact points only, each with its source

Firm profile: linkedin.com/company/roosevelt-management-company/aboutreportedpublic record, Form ADV, Sep 21, 2026
Website: R••••••••MC.COMreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 212-938-4800reportedpublic record, Form ADV, Jun 2, 2026

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: Other 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

Across the graphs

R•••••••• M••••••••• C•••••• L•• is the same institution as 1 record in Real Estate Funds.

Real Estate Funds1

Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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