Roosevelt Management Company LLC (New York)


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.