ROOSEVELT MANAGEMENT COMPANY LLC
Adviser information for ROOSEVELT MANAGEMENT COMPANY LLC last updated from Form ADV on March 29th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 62 |
|---|---|
| Investment Advisory/Research | 60 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 3 | $803.1M |
| Total | 3 | $803.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 3 | $803.1M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMFixed feesPerformance-based feesASSET ACQUISITION FEE |
Identifiers
| SEC RIA File Number | 801-73754 |
|---|---|
| SEC ERA File Number | 801-73754 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 161605 |
| Legal Entity Identifier | None |
Principal Office
1540 BROADWAY, SUITE 1500NEW YORK
NY
United States
Monday - Friday, 9 AM - 6 PM EST
Tel: 212-938-4800, Fax: None
Chief Compliance Officer
JONATHAN GREBINAR
CHIEF LEGAL OFFICER
1540 BROADWAY, SUITE 1500
NEW YORK
NY
United States
Tel:
212 938-4847
J********@**************M
(Full email address available in API data)
Regulatory Contact
MARIBEL DELGADO
COMPLIANCE OFFICER/VP
1540 BROADWAY
SUITE 1500
NEW YORK
NY
United States
Tel:
212 938-4849
M*******@**************M
(Full email address available in API data)
Industry Affiliates
| DAKOTA ASSET SERVICES LLC | Real estate broker or dealer |
| XOME CT LLC | Real estate broker or dealer |
| XOME INC. | Real estate broker or dealer |
| XOME OH LLC | Real estate broker or dealer |
| XOME PR LLC | Real estate broker or dealer |
| XOME REALTY SERVICES LLC | Real estate broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| XIE, JEFFREY, YIQUN | Individual | – | CHIEF FINANCIAL OFFICER | 06/2008 | < 5% |
| RICKERT, ANDREW, PAUL | Individual | – | ENTERPRISE RISK OFFICER/TREASURER | 04/2018 | < 5% |
| Grebinar, Jonathan, S | Individual | – | CHIEF LEGAL OFFICER/CHIEF COMPLIANCE OFFICER | 01/2023 | < 5% |
| RIOPEL, GABRIEL, JUSTIN | Individual | – | CHIEF INVESTMENT OFFICER | 03/2022 | < 5% |
| GENNEKEN, KAREN, DENISE | Individual | – | INTERIM CHIEF EXECUTIVE OFFICER | 10/2022 | < 5% |
| MR. COOPER GROUP INC. | Domestic Entity | – | MEMBER | 08/2023 | > 75% |
| Bray, Jesse, K | Individual | – | CEO OF PARENT | 07/2023 | < 5% |
| Marshall, Christopher, G | Individual | – | VICE CHAIRMAN OF PARENT | 07/2023 | < 5% |
| Johnson, Kurt, G | Individual | – | CFO OF PARENT | 07/2023 | < 5% |