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ROOSEVELT MANAGEMENT COMPANY LLC

NEW YORK, NY · CRD 161605 · IAPD ↗ · rooseveltmc.com · 212-938-4800

$52.4MRegulatory AUM
30Advisory reps
30Employees
0Clients
n/aPlanning clients
0Private funds
0States
0Disclosures
institutionalSegment
ApprovedSEC status

Filing changes

35
April 2026 — ROOSEVELT MANAGEMENT COMPANY LLC reported RAUM down 88% ($451.7M -> $52.4M).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions
40
April 2026 — ROOSEVELT MANAGEMENT COMPANY LLC shrank from 48 to 30 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
40
April 2026 — ROOSEVELT MANAGEMENT COMPANY LLC added office(s): 7 -> 8 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
38
April 2025 — ROOSEVELT MANAGEMENT COMPANY LLC reported RAUM down 44% ($803.1M -> $451.7M).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions
43
April 2025 — ROOSEVELT MANAGEMENT COMPANY LLC shrank from 60 to 48 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
43
April 2024 — ROOSEVELT MANAGEMENT COMPANY LLC added office(s): 1 -> 8 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
73
April 2024 — ROOSEVELT MANAGEMENT COMPANY LLC grew from 24 to 60 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software

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