Legal & Compliance
Roosevelt Investments is a privately held, unaffiliated boutique investment management firm. As a Registered Investment Adviser with the U.S. Securities and Exchange Commission since 1991, we act as a fiduciary to our advisory clients. This fiduciary duty requires that we act with the utmost good faith with respect to our clients and/or disclose all material facts and conflicts of interest to them. We have a team of compliance professionals that adopt and apply procedures and policies reasonably designed to prevent and detect violations of the Federal securities laws. Additionally, our employees adhere to a Code Of Ethics which is available upon request.
Roosevelt Investments claims compliance with the Global Investment Performance Standards (GIPS). GIPS was created by the Chartered Financial Analyst Institute and are a set of ethical standards and guidelines used for creating performance presentations that ensure fair representation and full disclosure of investment performance results. We are independently verified for compliance with GIPS on an ongoing basis. The verification reports, along with GIPS compliant performance presentations of our marketed investment strategies, are available upon request.
For more information on our legal and compliance, please contact:
Steven Weiss, Esq.
General Counsel, Chief Operating Officer
and Chief Compliance Officer
News and Recognition
- February 2020 The Director: "How Much Do You Really Need" by Vicki Fillet
- January 2020 The Director: "Decoding Succession and Exit Planning" by Vicki Fillet
- December 16, 2019: Jason Benowitz, CFA was quoted in the Wall Street Transcript's article, “5G Stock is One of Many Top Picks from this Veteran Portfolio Manager”