SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Roosevelt Capital Management LLC
Dallas, TX
CRD 283217
Firm filing updated March 19, 2026 ·
- $1.4BAssets
- 2Advisory staff
- 176Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Hourly chargesNo
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- High net worth individuals45
- Other investment advisors8
- Individuals7
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 7 | $3.6 million |
| High net worth individuals | 45 | $213.2 million |
| Charitable organizations | Fewer than 5 clients | $25.9 million |
| State or municipal government entities (including government pension plans) | Fewer than 5 clients | $1.0 billion |
| Other investment advisors | 8 | $97.6 million |
| Insurance companies | Fewer than 5 clients | $2.4 million |
| Corporations or other businesses not listed above | Fewer than 5 clients | $4.3 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
Assets and accounts
- Regulatory assets$1.4 billion
- Accounts176
- DiscretionaryAll accounts
People
- Employees2
- Advisory staff2
- Broker-dealer reps0
- Licensed insurance agents0
Advisors
1 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 283217, SEC file 801-127033.
- Registered with the SEC as an investment advisor (status date on record: January 19, 2023).
Is Roosevelt Capital Management LLC a fiduciary?
Short answer: Roosevelt Capital Management LLC is registered with the SEC as an investment advisor.
More detail
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
The firm does not report commissions, a broker-dealer role, a related broker-dealer, or staff who are broker-dealer representatives.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.