Roosevelt Management Company LLC (New York)

Name: Roosevelt Management Company LLC
Address: 1540 Broadway, Suite 1500, New York, NY, 10036
Telephone: 212-938-4800

Roosevelt Management Company LLC is a large advisory firm based in New York. It manages $3.49 billion of regulatory assets for 37 client accounts. It has been registered with the SEC as an adviser since 2012.

Roosevelt Management Company provides portfolio management for pooled investment vehicles and portfolio management for real estate related investment entitites (other than investment companies; potential evaluation service. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Roosevelt Management Company: assets under management

The assets under management (AUM) of Roosevelt Management Company LLC is $3.49 billion. $159.13 million of the total AUM is attributable to clients outside of the United States.

Roosevelt Management Company has custody of $36.9 million in cash and securities for 37 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Roosevelt Management Company LLC for their services and products based on a percentage of assets under management, fixed fees, and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Roosevelt Management Company serves?

The only and largest group of clients of Roosevelt Management Company is pooled investment vehicles with 37 clients and $3.49 billion of assets under management. Among the 8 most similar advisory firms, Roosevelt Management Company has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $3.49 billion for 37 clients. 16% of the firm’s clients are foreign persons or businesses.

Roosevelt Management Company also advises several private funds. Namely, two real estate funds.

Careers at Roosevelt Management Company LLC

The company employs 73 people that are either part- or full-time employees. 96 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Brian Fishbein joined the executive team most recently as the Manager.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Jeffrey Brian Toll	Chief executive officer/manager	1 Apr 2008	Other	2253598
James Francis Schneider	Executive vice president	1 Apr 2008	Other	1628617
Peter Joseph Barkey	Executive vice president	1 Apr 2008	Other	2601669
Terry L Smith	Executive vice president	1 May 2008	Other	1491198
Jeffrey Yiqun Xie	Chief financial officer	1 Jun 2008	Other	4253698
Karen Christine Manson	Chief compliance officer & general counsel	1 Sep 2008	Other	2165106
Roosevelt Parent Llc	Member	1 Jul 2010	75% - 100%	27-3114116
Michael John Ohanlon	Manager	1 Dec 2010	Other	1752299
Anthony Michael Muscolino	Manager	1 Dec 2010	Other	4001468
David Eric Stiepleman	Manager	1 Dec 2010	Other	5893476
Lloyd Andrew Pollock	Manager	1 Jun 2012	Other	5259111
Dod Pettibone Fraser	Manager	1 Nov 2013	Other	4698393
Steven Sam Pluss	Manager	1 Jul 2015	Other	1412157
Andrew Edgell	Manager	1 Aug 2015	Other	6557766
Hussain Abbas	Alternate manager	1 Sep 2015	Other	6568923
Jennifer E. Gordon	Manager	1 May 2016	Other	4907532
Michael John Heid	Manager	1 May 2016	Other	6665946
Jessica Lynn Smith	Acting chief compliance officer	1 Apr 2017	Other	6789074
Shari Lyn Kushner	General counsel	1 Jul 2017	Other	4301321
Michelle Gill	Manager	1 Sep 2017	Other	4398755
Brian Fishbein	Manager	1 Apr 2018	Other	6084257

Indirect Owners

The SEC currently registers 4 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Roosevelt Senior Professional Llc	Member	1 Jul 2010	75% - 100%	27-3114091
Clive Denis Bode	Member	1 Jul 2010	50% - 75%	5460495
Alan Samuel Waxman	Member	1 Jul 2010	50% - 75%	3102837
Michael John Ohanlon	Member	1 May 2017	50% - 75%	1752299

Based in New York

The principal office where Roosevelt Management Company LLC performs its advisory services is located at 1540 Broadway, Suite 1500, New York, NY 10036, which is also the mailing address of the firm. An additional office of the firm is in Dallas, TX. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-938-4800 or by fax 212-938-4801. The normal business hours are 9 am - 6 pm est on Monday - Friday. You can find more information about the New York firm at rooseveltmc.com and its LinkedIn profile.