Roosevelt Capital Management Llc
- Regulatory AUM
- $1.4B
- Discretionary
- $1.4B
- Clients
- 69
- Avg AUM / client
- $19.8M
- Accounts
- 176
- Employees
- 2
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 19, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 7 | $3.6M | 0.26% |
| High net worth individuals | 45 | $213M | 15.6% |
| Charitable organizations | 3 | $25.9M | 1.89% |
| State or municipal government entities | 1 | $1.0B | 74.6% |
| Other investment advisers | 8 | $97.6M | 7.14% |
| Insurance companies | 1 | $2.4M | 0.18% |
| Corporations and other businesses | 4 | $4.3M | 0.32% |
People (2)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| David Anthony Roosevelt | Managing Member | Feb 2016 (11y) | 50% – 75% | |
| Michael Patrick O'brien | Managing Member/Chief Compliance Officer | Jun 2019 (7y) | 10% – 25% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Roosevelt Investments, Lp | Owner | Jun 2019 | A | 10% – 25% |
| Ri Residual, Lp | Limited Partner | Jun 2019 | B | ≈ 5% – 18.75% via Roosevelt Investments, Lp |
| Roosevelt Investments Management, Llc | General Partner | Jun 2019 | B | GP / trustee / elected manager of Roosevelt Investments, Lp (indirect) |
Undisclosed: 0% – 30% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Ri Residual, Lp: 50% – 75% of Roosevelt Investments, Lp × 10% – 25% direct ≈ 5% – 18.75% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/19/2026 | 957 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- BNY Mellon $1.0B (76% of AUM) Mar 2026
- Charles Schwab & Co. $183M (13% of AUM) Mar 2026
- J.P. Morgan $84.1M (6% of AUM) Mar 2026
- Fidelity Brokerage Services $51.3M (4% of AUM) Mar 2026
- Wells Fargo $3.0M (0% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 19, 2026.
View current Form ADV (SEC/IAPD) ↗