# THE ROOSEVELT INVESTMENT GROUP, LLC

THE ROOSEVELT INVESTMENT GROUP, LLC of NEW YORK, NY is an SEC-registered investment adviser.

## Registration

- CRD: 107853
- Type: SEC-registered investment adviser
- SEC file number: 801-38824
- Location: 101 PARK AVE, SUITE 3100, NEW YORK, NY, 10178
- Phone: 646-452-6700
- Latest filing: 2024-06-03
- Regulatory AUM: $2.7B
- Discretionary AUM: $2.5B
- Non-discretionary AUM: $199.3M
- Clients: 18
- Accounts: 1,125

## Officers, owners & control persons (25)

| Name | Role | Location |
| --- | --- | --- |
| SHEER ARTHUR HOWARD | CEO; CHAIRMAN; CHAIRMAN AND CEO (+2 more) | — |
| SHEER L DAVID | CFO; CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER, CO-CEO (+3 more) | — |
| SHEER ADAM JONATHAN | CO-CEO; PRESIDENT | — |
| HSIA SVEN ERIK | CHIEF COMPLIANCE OFFICER MANAGING DIRECTOR; MANAGING DIRECTOR; SHAREHOLDER | — |
| GUARINO DONALD JOHN | MANAGING DIRECTOR; SHAREHOLDER | — |
| SPEAR BERNARD | MANAGING DIRECTOR; SHAREHOLDER | — |
| ROOSEVELT TWEED | MANAGING DIRECTOR; SHAREHOLDER | — |
| MEYER STEVEN LAWRENCE | MANAGING DIRECTOR; SHAREHOLDER | — |
| ROGERS RANDOLPH CHRISTIAN | MANAGING DIRECTOR; NATIONAL SALES MANAGER; PRESIDENT | — |
| SHEER JASON MICAH | ANALYST; SHAREHOLDER | — |
| SHEER ADAM | DIRECTOR OF MARKETING; PRESIDENT | — |
| NAKAMURA LARRY TRISTON | CHIEF COMPLIANCE OFFICER | — |
| MULLIN JOHN JAMES | MANAGING DIRECTOR | — |
| HECKMAN LEILA B | MANAGING DIRECTOR | — |
| POTTER HOWARD STEVEN | MANAGING DIRECTOR | — |
| WEISS STEVEN | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER; GENERAL COUNSEL | — |
| CHOPRA VIJAY KUMAR | MANAGING DIRECTOR | — |
| WEISS STEVEN KENNETH | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER; GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER; GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | — |
| CHALFIN DAVID ALLAN | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER, MANAGING DIRECTOR | — |
| SHEER BARBARA ANN | DIRECTOR | — |
| CHALFIN DAVID | CHIEF FINANCIAL OFFICER, MANAGING DIRECTOR; MANAGING DIRECTOR | — |
| SHEER BARBARA A | DIRECTOR | — |
| Hsia Ay-Whang Ong | TRUSTEE | — |
| ROSCOE JOHN SCOTT | CHIEF INVESTMENT OFFICER, SENIOR PORTFOLIO MANAGER | — |
| BAIROS KAREN MARIE | CHIEF OPERATING OFFICER | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/107853/brochure
- Similar advisers: https://search.stillhousedata.com/firm/107853/similar
- Related entities: https://search.stillhousedata.com/firm/107853/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/107853

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.