Legal & Compliance

The Roosevelt Investment Group, Inc. is an investment adviser registered with the U.S. Securities and Exchange Commission and notice filed in all 50 states.

ADV Part 2

Privacy Policy

Proxy Voting Policy


Pursuant to SEC Rule 204A-1 of the Advisers Act, The Roosevelt Investment Group, Inc. maintains a Code of Ethics.
A copy of this document is available upon request.

 


For More Information

For more information on our legal and compliance, please contact:

Steven Weiss, Esq.
General Counsel, Chief Administrative Officer
and Chief Compliance Officer

sweiss@rooseveltinvestments.com

James Cullen
Compliance Manager

The Roosevelt Investment Group, Inc. is an independent investment management firm that is not affiliated with any parent organization. The Roosevelt Investment Group, Inc. manages a variety of equity, global fixed income, and balanced assets for primarily U.S. clients. The Roosevelt Investment Group, Inc. is an investment adviser registered with the U.S. Securities and Exchange Commission and notice filed in all 50 states.

Please remember that in order to invest you must first read and understand the Form ADV Part 2 and our Privacy Policy.

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