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ROOSEVELT INVESTMENTS

NEW YORK, NY · CRD 107853 · IAPD ↗ · rooseveltinvestments.com · 646-452-6700

$2.69BRegulatory AUM
6Advisory reps
18Employees
323Clients
0Planning clients
0Private funds
53States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

65
November 2024 — ROOSEVELT INVESTMENTS (NEW YORK, NY) left the SEC roster (was $2.69B RAUM, 6 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
55
April 2024 — ROOSEVELT INVESTMENTS shrank from 10 to 6 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.