0001020617-20-000002.txt : 20200212 0001020617-20-000002.hdr.sgml : 20200212 20200212165209 ACCESSION NUMBER: 0001020617-20-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20191231 FILED AS OF DATE: 20200212 DATE AS OF CHANGE: 20200212 EFFECTIVENESS DATE: 20200212 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ROOSEVELT INVESTMENT GROUP INC CENTRAL INDEX KEY: 0001020617 IRS NUMBER: 133592307 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-03511 FILM NUMBER: 20604981 BUSINESS ADDRESS: STREET 1: 730 THIRD AVENUE STREET 2: 23RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 6464526700 MAIL ADDRESS: STREET 1: 730 THIRD AVENUE STREET 2: 23RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 FORMER COMPANY: FORMER CONFORMED NAME: SHEER ASSET MANAGEMENT INC DATE OF NAME CHANGE: 19990407 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001020617 XXXXXXXX 12-31-2019 12-31-2019 false ROOSEVELT INVESTMENT GROUP INC

730 Third Avenue 23rd Floor New York NY 10017

13F HOLDINGS REPORT 028-03511 N Steven Weiss 646-452-6712 Steven Weiss New York NY 02-12-2020 0 157 972960 INFORMATION TABLE 2 infotable.xml A T & T INC NEW COMMON STOCK 00206R102 228 5826 SH SOLE 1748 0 4078 ABBOTT LABORATORIES COMMON STOCK 002824100 290 3338 SH SOLE 1001 0 2337 ABBVIE INC COMMON STOCK 00287Y109 372 4201 SH SOLE 1260 0 2941 ALIBABA GROUP HOLDINGS LTD AMERICAN DEPOSITORY 01609W102 1006 4742 SH SOLE 1423 0 3319 ALLEGHANY CORP. COMMON STOCK 017175100 3097 3873 SH SOLE 1162 0 2711 ALPHABET INC - CLASS C COMMON STOCK 02079K107 1745 1305 SH SOLE 392 0 914 ALPHABET INC - CLASS A COMMON STOCK 02079K305 25971 19390 SH SOLE 5031 0 12737 ALTRIA GROUP INC COMMON STOCK 02209S103 259 5190 SH SOLE 1557 0 3633 AMAZON COM INC COMMON STOCK 023135106 33858 18323 SH SOLE 4784 0 12040 AMERICAN EXPRESS COMPANY COMMON STOCK 025816109 892 7166 SH SOLE 2147 0 5009 AMERIS BANCORP COMMON STOCK 03076K108 443 10422 SH SOLE 3127 0 7295 AMGEN INC COMMON STOCK 031162100 354 1468 SH SOLE 440 0 1028 ANWORTH MORTGAGE ASSET CORP REAL ESTATE INVESTMENT TRUST (REIT) 037347101 266 75704 SH SOLE 22711 0 52993 APOLLO COMMERCIAL REAL ESTSTE FINANCE, INC REAL ESTATE INVESTMENT TRUST (REIT) 03762U105 752 41120 SH SOLE 12336 0 28784 APPLE INC COMMON STOCK 037833100 49160 167411 SH SOLE 44210 0 110653 ARES CAP CORP COM BUSINESS DEVELOPMENT COMPANIES 04010L103 645 34602 SH SOLE 10381 0 24221 BERKSHIRE HATHAWAY CL A COMMON STOCK 084670108 1019 3 SH SOLE 1 0 2 BERKSHIRE HATHAWAY CL B COMMON STOCK 084670702 27881 123097 SH SOLE 32587 0 81480 BLACKROCK DEBT STRATEGIES FUND, INC. CLOSED END FUNDS-FIXED INCOME 09255R202 414 36985 SH SOLE 11096 0 25890 BOEING CO COM COMMON STOCK 097023105 760 2334 SH SOLE 700 0 1634 BOOKING HOLDINGS INC COMMON STOCK 09857L108 20640 10050 SH SOLE 2596 0 6581 BRIGHT HORIZONS FAMILY SOLUTIONS, INC COMMON STOCK 109194100 19306 128456 SH SOLE 33631 0 84752 BRISTOL-MYERS SQUIBB CO COMMON STOCK 110122108 1821 28368 SH SOLE 8510 0 19858 CME GROUP INC COMMON STOCK 12572Q105 22991 114542 SH SOLE 30195 0 75666 CVS HEALTH CORP COMMON STOCK 126650100 1244 16744 SH SOLE 5023 0 11721 CAPITAL SOUTHWEST CORPORATION BUSINESS DEVELOPMENT COMPANIES 140501107 208 10009 SH SOLE 3003 0 7006 CHENIERE ENERGY INC COMMON STOCK 16411R208 515 8434 SH SOLE 2530 0 5904 CHEVRON CORPORATION COMMON STOCK 166764100 249 2068 SH SOLE 620 0 1448 CISCO SYSTEMS INC COMMON STOCK 17275R102 500 10429 SH SOLE 3129 0 7301 COLGATE-PALMOLIVE COMMON STOCK 194162103 348 5050 SH SOLE 1515 0 3535 COMCAST CORP NEW CL A COMMON STOCK 20030N101 1982 44063 SH SOLE 13219 0 30844 CONAGRA FOODS INC COMMON STOCK 205887102 731 21335 SH SOLE 6400 0 14934 CONSTELLATION BRANDS COMMON STOCK 21036P108 13621 71782 SH SOLE 18792 0 47215 COSTCO WHSL CORP COMMON STOCK 22160K105 788 2680 SH SOLE 804 0 1876 CRITEO SA-SPON ADR AMERICAN DEPOSITORY 226718104 468 27001 SH SOLE 8100 0 18901 CROWN CASTLE INTERNATIONAL CORP. COMMON STOCK 22822V101 19706 138631 SH SOLE 36101 0 90951 CUMMINS INC COM COMMON STOCK 231021106 754 4211 SH SOLE 1263 0 2948 DIREXION DLY 20 Y TR BEAR X3 FIXED INCOME ETF 25459Y678 158 13388 SH SOLE 4016 0 9372 DISNEY WALT CO COMMON STOCK 254687106 976 6751 SH SOLE 2025 0 4726 DISCOVERY COMMUN SER A SERIES A COMMON STOCK 25470F104 800 24441 SH SOLE 7332 0 17109 DOMINION RESOURCES INC VA COMMON STOCK 25746U109 349 4218 SH SOLE 1265 0 2953 DYNEX CAPITAL, INC. REAL ESTATE INVESTMENT TRUST (REIT) 26817Q886 721 42562 SH SOLE 12769 0 29793 ECHOSTAR CORPORATION A COMMON STOCK 278768106 459 10592 SH SOLE 3178 0 7414 ENPLOYERS HOLDINGS INC COMMON STOCK 292218104 533 12762 SH SOLE 3829 0 8934 ENTERPRISE PRD PRTNRS LP COMMON STOCK 293792107 500 17765 SH SOLE 5330 0 12436 EQUINOR ASA-SPON ADR AMERICAN DEPOSITORY 29446M102 915 45945 SH SOLE 13784 0 32162 ERICSSON LM TEL CO ADR AMERICAN DEPOSITORY 294821608 1218 138735 SH SOLE 41620 0 97114 EXXON MOBIL CORPORATION COMMON STOCK 30231G102 862 12347 SH SOLE 3704 0 8643 FS KKR CAPITAL CORP BUSINESS DEVELOPMENT COMPANIES 302635107 116 18977 SH SOLE 5693 0 13284 FACEBOOK INC COMMON STOCK 30303M102 28205 137418 SH SOLE 36142 0 90658 FIRST REPUBLIC BANK/ CA COMMON STOCK 33616C100 7591 64635 SH SOLE 16708 0 42506 FORD MOTOR COMPANY COMMON STOCK 345370860 99 10627 SH SOLE 3188 0 7439 GW PHARMACEUTICALS - ADR AMERICAN DEPOSITORY 36197T103 10961 104834 SH SOLE 27851 0 69565 GENERAL ELECTRIC CO (USD) COMMON STOCK 369604103 263 23601 SH SOLE 7080 0 16520 GRANITE POINT MORTGAGE TRUST, INC. REAL ESTATE INVESTMENT TRUST (REIT) 38741L107 471 25647 SH SOLE 7694 0 17953 HACKETT GROUP COMMON STOCK 404609109 187 11589 SH SOLE 3477 0 8112 HOME DEPOT INC COMMON STOCK 437076102 23631 108209 SH SOLE 28473 0 71474 HONEYWELL INTERNATIONAL INC COM COMMON STOCK 438516106 23608 133377 SH SOLE 34879 0 87887 INTEL CORP COMMON STOCK 458140100 239 3989 SH SOLE 1197 0 2792 INTL BUSINESS MACHINES COMMON STOCK 459200101 403 3003 SH SOLE 901 0 2102 THE INVESCO VARIABLE RATE INV. GRAD FIXED INCOME ETF 46090A879 800 32065 SH SOLE 9620 0 22446 INVESCO HIGH INCOME 2024 TARGET TERM FUND CLOSED END FUNDS-FIXED INCOME 46136K105 184 17604 SH SOLE 5281 0 12323 ISHARES GOLD TRUST COMMON STOCK 464285105 226 15616 SH SOLE 4685 0 10931 ISHARES CORE S&P TOTAL US STOCK MARKET ETF EXCHANGE TRADED FUNDS 464287150 26825 369032 SH SOLE 110710 0 258322 ISHARES TR MSCI EMERG MKT COMMON STOCK 464287234 373 8315 SH SOLE 2494 0 5820 ISHARES MSCI EAFE ETF EXCHANGE TRADED FUNDS 464287465 702 10114 SH SOLE 3034 0 7080 ISHARES TR S&P MIDCAP 400 EXCHANGE TRADED FUNDS 464287507 5425 26356 SH SOLE 7907 0 18449 ISHARES TR S&P SMALLCAP S&P SMALLCAP 600 I EXCHANGE TRADED FUNDS 464287804 5148 61390 SH SOLE 18417 0 42973 ISHARES EDGE MSCI USA QUALIT ETF EXCHANGE TRADED FUNDS 46432F339 12430 123070 SH SOLE 36921 0 86149 ISHARES CORE MSCI EAFE ETF EXCHANGE TRADED FUNDS 46432F842 17163 263077 SH SOLE 78923 0 184154 ISHARES CORE MSCI EMERGING MARKETS ETF EXCHANGE TRADED FUNDS 46434G103 4773 88779 SH SOLE 26634 0 62145 ISHARES 0-5 YE INV GRADE CORPORATE FIXED INCOME ETF 46434V100 1743 34153 SH SOLE 10246 0 23907 JPMORGAN CHASE & CO COMMON STOCK 46625H100 27969 200637 SH SOLE 52026 0 131027 JEFFERIES FINANCIAL GRP INC COMMON STOCK 47233W109 709 33192 SH SOLE 9958 0 23234 JOHNSON & JOHNSON COMMON STOCK 478160104 24037 164785 SH SOLE 43855 0 109462 JUST ENERGY GROUP INC COMMON STOCK 48213W101 18 11000 SH SOLE 3300 0 7700 KEYSIGHT TECHNOLOGIES INC COMMON STOCK 49338L103 18390 179192 SH SOLE 46416 0 117874 KINDER MORGAN INC COMMON STOCK 49456B101 554 26153 SH SOLE 7846 0 18307 LAMB WESTON HOLDINGS, INC. COMMON STOCK 513272104 21762 252956 SH SOLE 66907 0 167586 LIBERTY BROADBAND-A COMMON STOCK 530307107 740 5939 SH SOLE 1782 0 4157 ELI LILLY & CO COMMON STOCK 532457108 336 2553 SH SOLE 766 0 1787 LOCKHEED MARTIN CORP COMMON STOCK 539830109 16055 41231 SH SOLE 10827 0 27226 MFA MORTGAGE INVESTMENT REAL ESTATE INVESTMENT TRUST (REIT) 55272X102 569 74336 SH SOLE 22301 0 52035 MGM RESORTS INTERNATIONAL COMMON STOCK 552953101 245 7379 SH SOLE 2214 0 5165 THE MACERICH COMPANY REAL ESTATE INVESTMENT TRUST (REIT) 554382101 758 28142 SH SOLE 8443 0 19700 MAGNOLIA OIL & GAS CORPORATION COMMON STOCK 559663109 789 62737 SH SOLE 18821 0 43916 MARATHON PETROLEUM CORPORATION COMMON STOCK 56585A102 19915 330546 SH SOLE 85013 0 217065 MARKETAXESS HLDGS INC COM COMMON STOCK 57060D108 12712 33532 SH SOLE 8741 0 22044 MASTERCARD INC COMMON STOCK 57636Q104 17345 58090 SH SOLE 17010 0 39689 MC DONALDS CORP COMMON STOCK 580135101 906 4582 SH SOLE 1375 0 3208 MERCK & CO INC NEW COMMON STOCK 58933Y105 329 3623 SH SOLE 1087 0 2536 MERITAGE HOMES CORP COM COMMON STOCK 59001A102 410 6717 SH SOLE 2015 0 4702 MICROSOFT CORP COMMON STOCK 594918104 46236 293188 SH SOLE 76999 0 193534 MICROCHIP TECHNOLOGY INC COMMON STOCK 595017104 26733 255276 SH SOLE 66861 0 168214 MONDELEZ INTERNATIONAL INC COMMON STOCK 609207105 355 6451 SH SOLE 1935 0 4516 NETFLIX INC COM COMMON STOCK 64110L106 483 1494 SH SOLE 448 0 1046 NEW MOUNTAIN FINANCE CORPORATION BUSINESS DEVELOPMENT COMPANIES 647551100 462 33625 SH SOLE 10088 0 23538 NEXTERA ENERGY INC COMMON STOCK 65339F101 30191 124675 SH SOLE 32610 0 82238 NEXTERA ENERGY PTNRS COM UNIT PART IN COMMON STOCK 65341B106 1641 31175 SH SOLE 9352 0 21822 NOVO-NORDISK A-S ADR AMERICAN DEPOSITORY 670100205 260 4485 SH SOLE 1346 0 3140 NUVEEN AMT-FREE MUNICIPAL INC FD FIXED INCOME ETF 670657105 480 33377 SH SOLE 10013 0 23364 NVIDIA CORP COMMON STOCK 67066G104 1963 8343 SH SOLE 2503 0 5840 NUVEEN PFD & CV INC FD COM SHS CLOSED END FUNDS-FIXED INCOME 67073D102 85 11133 SH SOLE 3340 0 7793 NUVEEN REAL ASSET INCOME AND GROWTH FUND CLOSED END FUNDS-EQUITY 67074Y105 545 29691 SH SOLE 8907 0 20784 OLD DOMINION FREIGHT LNS COMMON STOCK 679580100 22442 118252 SH SOLE 30178 0 76884 PNC FINANCIAL SERVICES GROUP COMMON STOCK 693475105 316 1977 SH SOLE 593 0 1384 PENNANTPARK FLOATING RATE CAPITAL LTD. BUSINESS DEVELOPMENT COMPANIES 70806A106 1235 101373 SH SOLE 30412 0 70961 PEPSICO INC COMMON STOCK 713448108 271 1982 SH SOLE 594 0 1387 PFIZER INC COMMON STOCK 717081103 14872 379589 SH SOLE 100388 0 251509 PHILIP MORRIS INTL INC COMMON STOCK 718172109 221 2595 SH SOLE 778 0 1816 PRINCIPAL FINANCIAL GP COM COMMON STOCK 74251V102 741 13473 SH SOLE 4042 0 9431 PROCTER & GAMBLE COMMON STOCK 742718109 1025 8204 SH SOLE 2461 0 5743 PROLOGIS INC COMMON STOCK 74340W103 13733 154060 SH SOLE 40052 0 101065 PROSHARES ULTRA QQQ COMMON STOCK 74347R206 809 6633 SH SOLE 1990 0 4643 ULTRA FINANCIALS PROSHARES COMMON STOCK 74347X633 415 7731 SH SOLE 2319 0 5412 QUALCOMM INC COMMON STOCK 747525103 557 6314 SH SOLE 1894 0 4420 QURATE RETAIL, INC. COMMON STOCK 74915M100 393 46664 SH SOLE 13999 0 32665 RAYTHEON CO COM NEW COMMON STOCK 755111507 1184 5388 SH SOLE 1616 0 3772 RESIDEO TECHNOLOGIES, INC. COMMON STOCK 76118Y104 127 10622 SH SOLE 3187 0 7435 ROSS STORES INC COM COMMON STOCK 778296103 22739 195322 SH SOLE 51050 0 128282 S&P GLOBAL INC COMMON STOCK 78409V104 16138 59101 SH SOLE 15722 0 39215 S P D R S&P 500 ETF TR COMMON STOCK 78462F103 3107 9654 SH SOLE 2895 0 6760 SPDR WELLS FARGO PREFERRED FIXED INCOME ETF 78464A292 579 13162 SH SOLE 3949 0 9213 SPDR PORTFOLIO SHORT TERM CORP BOND FIXED INCOME ETF 78464A474 366 11860 SH SOLE 3558 0 8302 SPDR S&P MIDCAP 400 ETF TRUST COMMON STOCK 78467Y107 704 1875 SH SOLE 562 0 1312 SPDR BBG BARC IG FLOATING RT FIXED INCOME ETF 78468R200 921 29982 SH SOLE 8995 0 20987 SEACOR HOLDINGS INC CONVERTIBLE BONDS 81170YAB5 74 75000 SH SOLE 22500 0 52500 SIMPSON MFG CO INC COM COMMON STOCK 829073105 413 5150 SH SOLE 1545 0 3605 THE SOUTHERN COMPANY COMMON STOCK 842587107 477 7487 SH SOLE 2246 0 5241 STRYKER CORP COMMON STOCK 863667101 8326 39658 SH SOLE 10130 0 25888 SYNCHRONY FINANCIAL COMMON STOCK 87165B103 758 21058 SH SOLE 6317 0 14741 TCG BDC, INC. BUSINESS DEVELOPMENT COMPANIES 872280102 327 24468 SH SOLE 7340 0 17128 TPG SPECIALTY LENDING, INC. BUSINESS DEVELOPMENT COMPANIES 87265K102 633 29473 SH SOLE 8842 0 20631 TANGER FACTORY OUTLET COM REAL ESTATE INVESTMENT TRUST (REIT) 875465106 663 45022 SH SOLE 13507 0 31515 TELEFLEX INC COM COMMON STOCK 879369106 585 1554 SH SOLE 466 0 1088 THERMO FISHER SCIENTIFIC INC COMMON STOCK 883556102 16371 50391 SH SOLE 13053 0 33053 3M COMPANY COMMON STOCK 88579Y101 296 1680 SH SOLE 504 0 1176 UNION PACIFIC CORP COMMON STOCK 907818108 24314 134487 SH SOLE 34863 0 88176 UNITED TECHNOLOGIES COMMON STOCK 913017109 447 2985 SH SOLE 896 0 2090 UNITEDHEALTH GROUP INC COMMON STOCK 91324P102 22598 76868 SH SOLE 19916 0 50555 VANGUARD EUROPE PACIFIC ETF COMMON STOCK 921943858 476 10796 SH SOLE 3239 0 7557 VANGUARD HEALTH CARE ETF COMMON STOCK 92204A504 647 3374 SH SOLE 1012 0 2362 VANGUARD INFO TECH ETF COMMON STOCK 92204A702 398 1624 SH SOLE 487 0 1137 VANGUARD INT-TERM CORPORATE FIXED INCOME ETF 92206C870 578 6326 SH SOLE 1898 0 4428 VANGUARD S&P 500 ETF EXCHANGE TRADED FUNDS 922908363 6204 20973 SH SOLE 6292 0 14681 VANGUARD INDEX FDS REIT ETF COMMON STOCK 922908553 1878 20236 SH SOLE 6071 0 14165 VANGUARD TOTAL STOCK MKT EXCHANGE TRADED FUNDS 922908769 3075 18795 SH SOLE 5638 0 13156 VEREIT, INC. REAL ESTATE INVESTMENT TRUST (REIT) 92339V100 1160 125547 SH SOLE 37664 0 87883 VERIZON COMMUNICATIONS COMMON STOCK 92343V104 14812 241237 SH SOLE 62844 0 159091 VERITEX HOLDINGS INC. COMMON STOCK 923451108 326 11180 SH SOLE 3354 0 7826 VERTEX PHARMACEUTICALS COMMON STOCK 92532F100 17275 78901 SH SOLE 20640 0 52066 VISA INC CL A COMMON STOCK 92826C839 11264 59945 SH SOLE 12645 0 37156 WAL-MART STORES INC COMMON STOCK 931142103 230 1934 SH SOLE 580 0 1354 WESTERN ASSET EMRG MKT DEBT CLOSED FD CLOSED END FUNDS-FIXED INCOME 95766A101 154 10778 SH SOLE 3233 0 7545 EATON CORP PLC COMMON STOCK G29183103 241 2546 SH SOLE 764 0 1782 MARVELL TECH GROUP LTD ORD COMMON STOCK G5876H105 11573 435739 SH SOLE 113855 0 288118 APTIV PLC ORDINARY COMMON STOCK G6095L109 15169 159729 SH SOLE 41679 0 104948