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ROOSEVELT CAPITAL MANAGEMENT LLC

DALLAS, TX · CRD 283217 · IAPD ↗ · 214-871-2666

$1.37BRegulatory AUM
2Advisory reps
2Employees
0Clients
n/aPlanning clients
0Private funds
4States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

47
April 2026 — ROOSEVELT CAPITAL MANAGEMENT LLC notice-filed in CA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
85
August 2025 — ROOSEVELT CAPITAL MANAGEMENT LLC crossed $1B in regulatory AUM ($306.5M -> $1.31B).
Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
68
March 2025 — ROOSEVELT CAPITAL MANAGEMENT LLC reported RAUM up 52% ($202.3M -> $306.5M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

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