# Roosevelt Capital Management LLC

> Roosevelt Capital Management LLC is an SEC-registered investment advisory firm in Dallas, TX, registered since 2023, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 19, 2026.

- CRD: 283217
- Filed as: ROOSEVELT CAPITAL MANAGEMENT LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Dallas, TX
- Filing period: October 2026
- Form ADV filing dated: March 19, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/283217
- AdvisorCensus page: https://advisorcensus.com/firm/roosevelt-capital-management-llc-dallas-tx-283217

## Quick answers

**How is Roosevelt Capital Management LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Roosevelt Capital Management LLC reports these compensation arrangements: a percentage of assets under its management.

**Where is Roosevelt Capital Management LLC located?**
Roosevelt Capital Management LLC's principal office is in Dallas, TX, according to its Form ADV.

**Is Roosevelt Capital Management LLC registered with the SEC or a state?**
Roosevelt Capital Management LLC is an SEC-registered investment advisory firm, registered since 2023. Status as filed: Approved. CRD 283217.

**How much does Roosevelt Capital Management LLC manage?**
Roosevelt Capital Management LLC reports $1,366,575,505 in regulatory assets under management in its Form ADV filing dated March 19, 2026 (100% discretionary).

**How have Roosevelt Capital Management LLC's assets and staff changed since 2023?**
In the Form ADV data for Roosevelt Capital Management LLC: Regulatory assets under management: $198,663,696 in the October 2023 data and $1,366,575,505 in the October 2026 data, up 588%. Total employees: 2 in October 2023 and 2 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Roosevelt Capital Management LLC serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (45); other investment advisers (8); individuals (other than high net worth individuals) (7).

**Which custodians does Roosevelt Capital Management LLC use?**
Roosevelt Capital Management LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists BNY Mellon Securities Corporation, Charles Schwab & Co., Inc., Fidelity Brokerage Services LLC, J.P. Morgan Securities LLC and Wells Fargo Clearing Services, LLC as custodians holding 10% or more of its separately managed account assets.

**Does Roosevelt Capital Management LLC report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/283217

**Does Roosevelt Capital Management LLC state an account minimum?**
Its Form ADV Part 2A brochure dated March 19, 2026 says: "There is an account minimum of $1,000,000.00 for any of RCM’s services."

**What changed in Roosevelt Capital Management LLC's recent Form ADV filings?**
In the April 2026 filing data: Registered or notice-filed in CA.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Fees and minimums (Form ADV Part 2A brochure dated March 19, 2026)

- Account minimum: $1,000,000

> There is an account minimum of $1,000,000.00 for any of RCM’s services.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- BNY Mellon Securities Corporation
- Charles Schwab & Co., Inc.
- Fidelity Brokerage Services LLC
- J.P. Morgan Securities LLC
- Wells Fargo Clearing Services, LLC

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $1,366,575,505
- Discretionary: $1,366,575,505
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 7 | $3,615,241 |
| High net worth individuals | 45 | $213,162,725 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | $0 |
| Charitable organizations | 3 | $25,892,309 |
| State or municipal government entities (including government pension plans) | 1 | $1,019,546,943 |
| Other investment advisers | 8 | $97,637,936 |
| Insurance companies | 1 | $2,407,651 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 4 | $4,312,700 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients

### Firm details
- Registered since: 2023 (3 years)
- Employees: 2 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA, LA, SC, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- rooseveltcapitalmanagement.com
- LinkedIn @79121695
- LinkedIn @david-roosevelt-18844115
- LinkedIn @michael-o-brien-8b87071

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2023 | $198,663,696 | 2 | March 20, 2023 |
| October 2024 | $202,294,987 | 2 | February 23, 2024 |
| October 2025 | $1,306,692,561 | 2 | July 23, 2025 |
| October 2026 | $1,366,575,505 | 2 | March 19, 2026 |

Regulatory assets under management: $198,663,696 in the October 2023 data and $1,366,575,505 in the October 2026 data, up 588%.
Total employees: 2 in October 2023 and 2 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Registered or notice-filed in CA.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Roosevelt Capital Management LLC (CRD 283217): Form ADV filing data as of October 2026.