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Rooted in a culture of compliance.

We are committed to delivering quality results with the highest level of transparency.

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, please view our ADV Part 2A, Privacy Policy, Proxy Voting Policy, and ERISA 408(b) Disclosure.

For more information on our legal and compliance, please contact:
Steven Weiss, Esq.
General Counsel, Chief Operating Officer
and Chief Compliance Officer

The Roosevelt Investment Group, LLC is an investment management firm that manages equity, fixed income, and balanced assets for primarily U.S. clients. The Roosevelt Investment Group, LLC is an investment adviser registered with the U.S. Securities and Exchange Commission and notice filed in all 50 states.

Please remember that in order to invest you must first read and understand our Form CRS, Form ADV Part 2A and our Privacy Policy.

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