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
COO
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