0001020617-20-000007.txt : 20200811
0001020617-20-000007.hdr.sgml : 20200811
20200811120407
ACCESSION NUMBER: 0001020617-20-000007
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20200630
FILED AS OF DATE: 20200811
DATE AS OF CHANGE: 20200811
EFFECTIVENESS DATE: 20200811
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: 201091661
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
06-30-2020
06-30-2020
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
08-11-2020
0
170
1012581
INFORMATION TABLE
2
infotable.xml
3M COMPANY
COMMON STOCK
88579Y101
232
1489
SH
SOLE
447
0
1042
ABBOTT LABORATORIES
COMMON STOCK
002824100
219
2398
SH
SOLE
719
0
1679
ABBVIE INC
COMMON STOCK
00287Y109
345
3514
SH
SOLE
1045
0
2438
ALLEGHANY CORP.
COMMON STOCK
017175100
2219
4536
SH
SOLE
1361
0
3175
ALPHABET INC - CLASS A
COMMON STOCK
02079K305
25510
17990
SH
SOLE
4516
0
11553
ALPHABET INC - CLASS C
COMMON STOCK
02079K107
1757
1243
SH
SOLE
373
0
870
AMAZON COM INC
COMMON STOCK
023135106
48595
17614
SH
SOLE
4501
0
11401
AMERICAN EXPRESS COMPANY
COMMON STOCK
025816109
643
6757
SH
SOLE
2024
0
4723
AMERIS BANCORP
COMMON STOCK
03076K108
246
10422
SH
SOLE
3127
0
7295
AMGEN INC
COMMON STOCK
031162100
204
866
SH
SOLE
260
0
606
ANWORTH MORTGAGE ASSET CORP
REAL ESTATE INVESTMENT TRUST (REIT)
037347101
133
78265
SH
SOLE
23480
0
54786
APOLLO COMMERCIAL REAL ESTSTE FINANCE, INC
REAL ESTATE INVESTMENT TRUST (REIT)
03762U105
372
37877
SH
SOLE
11363
0
26514
APPLE INC
COMMON STOCK
037833100
53087
145524
SH
SOLE
37018
0
94009
APTIV PLC ORDINARY
COMMON STOCK
G6095L109
15202
195092
SH
SOLE
48653
0
124774
ARES CAP CORP COM
BUSINESS DEVELOPMENT COMPANIES
04010L103
480
33239
SH
SOLE
9972
0
23267
BERKSHIRE HATHAWAY CL A
COMMON STOCK
084670108
1336
5
SH
SOLE
2
0
4
BERKSHIRE HATHAWAY CL B
COMMON STOCK
084670702
19905
111504
SH
SOLE
28522
0
72253
BLACKROCK CORE BOND TRUST
CLOSED END FUNDS-FIXED INCOME
09249E101
193
12551
SH
SOLE
3765
0
8786
BLACKROCK DEBT STRATEGIES FUND, INC.
CLOSED END FUNDS-FIXED INCOME
09255R202
346
37124
SH
SOLE
11137
0
25987
BLACKROCK TCP CAPITAL CORP.
BUSINESS DEVELOPMENT COMPANIES
09259E108
500
54680
SH
SOLE
16404
0
38276
BLACKSTONE GROUP LP
COMMON STOCK
09260D107
514
9064
SH
SOLE
2719
0
6345
BOEING CO COM
COMMON STOCK
097023105
362
1976
SH
SOLE
593
0
1383
BOOKING HOLDINGS INC
COMMON STOCK
09857L108
594
373
SH
SOLE
111
0
260
BRISTOL-MYERS SQUIBB CO
COMMON STOCK
110122108
1490
25335
SH
SOLE
7600
0
17734
BROADCOM INC
COMMON STOCK
11135F101
769
2436
SH
SOLE
731
0
1705
CAPITAL SOUTHWEST CORPORATION
BUSINESS DEVELOPMENT COMPANIES
140501107
367
27244
SH
SOLE
8173
0
19071
CARRIER GLOBAL CORP
COMMON STOCK
14448C104
7493
337203
SH
SOLE
84109
0
216931
CHENIERE ENERGY INC
COMMON STOCK
16411R208
348
7200
SH
SOLE
2160
0
5040
CISCO SYSTEMS INC
COMMON STOCK
17275R102
608
13044
SH
SOLE
3900
0
9101
CME GROUP INC
COMMON STOCK
12572Q105
2118
13032
SH
SOLE
3875
0
9041
COMCAST CORP NEW CL A
COMMON STOCK
20030N101
1639
42046
SH
SOLE
12614
0
29432
CONAGRA FOODS INC
COMMON STOCK
205887102
1344
38206
SH
SOLE
11462
0
26744
CONOCOPHILLIPS
COMMON STOCK
20825C104
385
9162
SH
SOLE
2528
0
5899
CONSTELLATION BRANDS
COMMON STOCK
21036P108
15990
91398
SH
SOLE
22775
0
58645
COSTCO WHSL CORP
COMMON STOCK
22160K105
735
2425
SH
SOLE
728
0
1698
CRITEO SA-SPON ADR
AMERICAN DEPOSITORY
226718104
243
21346
SH
SOLE
6404
0
14942
CROWN CASTLE INTERNATIONAL CORP.
COMMON STOCK
22822V101
18771
112166
SH
SOLE
27658
0
71305
CUMMINS INC COM
COMMON STOCK
231021106
236
1361
SH
SOLE
408
0
953
CVS HEALTH CORP
COMMON STOCK
126650100
1192
18346
SH
SOLE
5504
0
12843
DISCOVER FINANCIAL SVCS
COMMON STOCK
254709108
9518
190017
SH
SOLE
46933
0
121819
DISCOVERY COMMUN SER A SERIES A
COMMON STOCK
25470F104
1027
48657
SH
SOLE
14597
0
34060
DISNEY WALT CO
COMMON STOCK
254687106
737
6605
SH
SOLE
1981
0
4623
DOMINION RESOURCES INC VA
COMMON STOCK
25746U109
274
3379
SH
SOLE
1009
0
2354
DYNEX CAPITAL, INC.
REAL ESTATE INVESTMENT TRUST (REIT)
26817Q886
609
42562
SH
SOLE
12769
0
29793
ECHOSTAR CORPORATION A
COMMON STOCK
278768106
288
10307
SH
SOLE
3092
0
7215
ELI LILLY & CO
COMMON STOCK
532457108
456
2778
SH
SOLE
833
0
1945
ENPLOYERS HOLDINGS INC
COMMON STOCK
292218104
384
12730
SH
SOLE
3819
0
8911
ENTERPRISE PRD PRTNRS LP
COMMON STOCK
293792107
323
17764
SH
SOLE
5329
0
12435
EQUINOR ASA-SPON ADR
AMERICAN DEPOSITORY
29446M102
710
49035
SH
SOLE
14710
0
34324
ERICSSON LM TEL CO ADR
AMERICAN DEPOSITORY
294821608
1325
142493
SH
SOLE
42748
0
99745
EXXON MOBIL CORPORATION
COMMON STOCK
30231G102
494
11058
SH
SOLE
3312
0
7728
FACEBOOK INC
COMMON STOCK
30303M102
25643
112929
SH
SOLE
28223
0
72318
FIRST REPUBLIC BANK/ CA
COMMON STOCK
33616C100
10054
94856
SH
SOLE
23371
0
60472
FORD MOTOR COMPANY
COMMON STOCK
345370860
65
10627
SH
SOLE
3188
0
7439
GENERAL ELECTRIC CO (USD)
COMMON STOCK
369604103
143
20906
SH
SOLE
6272
0
14634
GLOBAL X U.S. PREFERRED ETF
FIXED INCOME ETF
37954Y657
623
26499
SH
SOLE
7950
1
18549
GOLDMAN SACHS ACTIVEBETA US SMALL CAP EQTY
EXCHANGE TRADED FUNDS
381430602
10236
255142
SH
SOLE
76543
0
178599
GOLDMAN SACHS BDC INC
COMMON STOCK
38147U107
421
25957
SH
SOLE
7787
0
18170
GOLDMAN SACHS GROUP INC
COMMON STOCK
38141G104
275
1390
SH
SOLE
385
0
897
GRANITE POINT MORTGAGE TRUST, INC.
REAL ESTATE INVESTMENT TRUST (REIT)
38741L107
97
13508
SH
SOLE
4052
0
9456
GW PHARMACEUTICALS - ADR
AMERICAN DEPOSITORY
36197T103
11311
92169
SH
SOLE
23219
0
59230
HACKETT GROUP
COMMON STOCK
404609109
153
11321
SH
SOLE
3396
0
7925
HOME DEPOT INC
COMMON STOCK
437076102
19021
75927
SH
SOLE
19104
0
48958
HONEYWELL INTERNATIONAL INC COM
COMMON STOCK
438516106
16486
114022
SH
SOLE
28354
0
73005
INTL BUSINESS MACHINES
COMMON STOCK
459200101
574
4753
SH
SOLE
1423
0
3320
INVESCO DYNAMIC CREDIT OPP
FIXED INCOME ETF
46132R104
398
44697
SH
SOLE
9840
2
22961
INVESCO HIGH INCOME 2024 TARGET TERM FUND
CLOSED END FUNDS-FIXED INCOME
46136K105
126
16215
SH
SOLE
4864
0
11350
INVESCO VARIABLE RATE PREFERRED ETF
FIXED INCOME ETF
46138G870
738
31491
SH
SOLE
9447
3
22044
ISHARES 0-5 YE INV GRADE CORPORATE
FIXED INCOME ETF
46434V100
336
6456
SH
SOLE
1937
4
4519
ISHARES CORE MSCI EAFE ETF
EXCHANGE TRADED FUNDS
46432F842
83533
1461388
SH
SOLE
438416
0
1022972
ISHARES CORE S&P TOTAL US STOCK MARKET ETF
EXCHANGE TRADED FUNDS
464287150
822
11841
SH
SOLE
3552
0
8289
ISHARES GOLD TRUST
COMMON STOCK
464285105
256
15082
SH
SOLE
4525
0
10557
ISHARES MSCI EAFE ETF
EXCHANGE TRADED FUNDS
464287465
474
7794
SH
SOLE
2338
0
5456
ISHARES TR RUSSELL MCP VL
EXCHANGE TRADED FUNDS
464287473
3597
46996
SH
SOLE
14099
0
32897
ISHARES U.S. FALLEN ANGELS USD BOND
FIXED INCOME ETF
46435G474
312
11911
SH
SOLE
3573
5
8338
ISHARES US DIVIDEND AND BUYBACK ETF
EXCHANGE TRADED FUNDS
46435U861
17320
635363
SH
SOLE
190609
0
444754
JEFFERIES FINANCIAL GRP INC
COMMON STOCK
47233W109
940
60478
SH
SOLE
18143
0
42335
JOHNSON & JOHNSON
COMMON STOCK
478160104
21119
150173
SH
SOLE
37891
0
96918
JPMORGAN BETABUILDERS CANADA ETF
EXCHANGE TRADED FUNDS
46641Q696
10781
476836
SH
SOLE
143051
0
333785
JPMORGAN CHASE & CO
COMMON STOCK
46625H100
18943
201395
SH
SOLE
50257
0
128955
KEYSIGHT TECHNOLOGIES INC
COMMON STOCK
49338L103
16482
163546
SH
SOLE
40411
0
104318
KINDER MORGAN INC
COMMON STOCK
49456B101
188
12413
SH
SOLE
3724
0
8689
LAM RESEARCH CORPORATION
COMMON STOCK
512807108
323
1000
SH
SOLE
300
0
700
LAMB WESTON HOLDINGS, INC.
COMMON STOCK
513272104
14025
219375
SH
SOLE
55402
0
141271
LIBERTY BROADBAND-A
COMMON STOCK
530307107
704
5759
SH
SOLE
1728
0
4031
LOCKHEED MARTIN CORP
COMMON STOCK
539830109
14087
38602
SH
SOLE
9846
0
24977
MAGNOLIA OIL & GAS CORPORATION
COMMON STOCK
559663109
412
68058
SH
SOLE
20417
0
47641
MARKETAXESS HLDGS INC COM
COMMON STOCK
57060D108
13888
27725
SH
SOLE
6876
0
17752
MARVELL TECH GROUP LTD ORD
COMMON STOCK
G5876H105
13377
381533
SH
SOLE
94803
0
244995
MASTERCARD INC
COMMON STOCK
57636Q104
14731
49816
SH
SOLE
14491
0
33812
MC DONALDS CORP
COMMON STOCK
580135101
731
3960
SH
SOLE
1184
0
2762
MERCK & CO INC NEW
COMMON STOCK
58933Y105
444
5737
SH
SOLE
1709
0
3988
MERITAGE HOMES CORP COM
COMMON STOCK
59001A102
477
6271
SH
SOLE
1881
0
4390
MFA MORTGAGE INVESTMENT
REAL ESTATE INVESTMENT TRUST (REIT)
55272X102
178
71308
SH
SOLE
21392
0
49916
MICROCHIP TECHNOLOGY INC
COMMON STOCK
595017104
23313
221376
SH
SOLE
55222
0
141619
MICROSOFT CORP
COMMON STOCK
594918104
49620
243821
SH
SOLE
62178
0
157679
MONDELEZ INTERNATIONAL INC
COMMON STOCK
609207105
305
5957
SH
SOLE
1787
0
4170
MSCI INC CLASS A
COMMON STOCK
55354G100
751
2250
SH
SOLE
675
0
1575
NETFLIX INC COM
COMMON STOCK
64110L106
1028
2260
SH
SOLE
678
0
1582
NEW MOUNTAIN FINANCE CORPORATION
BUSINESS DEVELOPMENT COMPANIES
647551100
290
31219
SH
SOLE
9366
0
21853
NEXTERA ENERGY INC
COMMON STOCK
65339F101
22214
92491
SH
SOLE
23252
0
59637
NEXTERA ENERGY PTNRS COM UNIT PART IN
COMMON STOCK
65341B106
1601
31213
SH
SOLE
9364
0
21849
NOVO-NORDISK A-S ADR
AMERICAN DEPOSITORY
670100205
270
4128
SH
SOLE
1238
0
2890
NUVEEN AMT-FREE MUNICIPAL INC FD
FIXED INCOME ETF
670657105
385
27702
SH
SOLE
8311
6
19391
NUVEEN PFD & CV INC FD COM SHS
CLOSED END FUNDS-FIXED INCOME
67073D102
65
11133
SH
SOLE
3340
0
7793
NUVEEN REAL ASSET INCOME AND GROWTH FUND
CLOSED END FUNDS-EQUITY
67074Y105
312
26724
SH
SOLE
8017
0
18707
NVIDIA CORP
COMMON STOCK
67066G104
7231
19033
SH
SOLE
5058
0
12559
OLD DOMINION FREIGHT LNS
COMMON STOCK
679580100
24582
144951
SH
SOLE
35598
0
92230
PAYPAL HOLDINGS INC
COMMON STOCK
70450Y103
235
1350
SH
SOLE
405
0
945
PENNANTPARK FLOATING RATE CAPITAL LTD.
BUSINESS DEVELOPMENT COMPANIES
70806A106
805
95885
SH
SOLE
28765
0
67119
PEPSICO INC
COMMON STOCK
713448108
223
1685
SH
SOLE
502
0
1171
PFIZER INC
COMMON STOCK
717081103
7867
240588
SH
SOLE
61717
0
156423
PIMCO EXCH TRADED FUND 25 YR ZERO COUPON
EXCHANGE TRADED FUNDS
72201R882
11397
65910
SH
SOLE
18646
0
47264
PNC FINANCIAL SERVICES GROUP
COMMON STOCK
693475105
202
1917
SH
SOLE
575
0
1342
PRINCIPAL FINANCIAL GP COM
COMMON STOCK
74251V102
540
13008
SH
SOLE
3902
0
9106
PROCTER & GAMBLE
COMMON STOCK
742718109
1527
12775
SH
SOLE
3827
0
8929
PROLOGIS INC
COMMON STOCK
74340W103
12398
132842
SH
SOLE
33117
0
84976
PVH CORP
COMMON STOCK
693656100
3667
76311
SH
SOLE
19642
0
49668
QUALCOMM INC
COMMON STOCK
747525103
535
5861
SH
SOLE
1758
0
4103
QURATE RETAIL, INC.
COMMON STOCK
74915M100
544
57236
SH
SOLE
17171
0
40065
RAYTHEON TECHNOLOGIES CORP
COMMON STOCK
75513E101
913
14821
SH
SOLE
4446
0
10375
ROSS STORES INC COM
COMMON STOCK
778296103
14642
171774
SH
SOLE
42152
0
109213
S P D R S&P 500 ETF TR
EXCHANGE TRADED FUNDS
78462F103
2146
6959
SH
SOLE
2088
0
4872
S&P GLOBAL INC
COMMON STOCK
78409V104
14739
44733
SH
SOLE
11252
0
28829
SALESFORCE.COM INC COM STK
COMMON STOCK
79466L302
656
3500
SH
SOLE
1050
0
2450
SEACOR HOLDINGS INC
CONVERTIBLE BONDS
81170YAB5
74
75000
SH
SOLE
22500
13
52500
SELECT SECTOR SPDR TR SBI HEALTHCARE
EXCHANGE TRADED FUNDS
81369Y209
460
4601
SH
SOLE
1380
0
3220
SHOPIFY INC - CLASS A
COMMON STOCK
82509L107
1186
1250
SH
SOLE
375
0
875
SIMPSON MFG CO INC COM
COMMON STOCK
829073105
217
2575
SH
SOLE
772
0
1802
SIXTH STREET SPECIALTY LENDING, INC.
BUSINESS DEVELOPMENT COMPANIES
83012A109
443
26841
SH
SOLE
8052
0
18789
SPDR BBG BARC IG FLOATING RT
FIXED INCOME ETF
78468R200
968
31772
SH
SOLE
9532
7
22240
SPDR PORTFOLIO INTERMED TERM CORP B
FIXED INCOME ETF
78464A375
2571
70390
SH
SOLE
21117
8
49273
SPDR PORTFOLIO LARGE CAP ETF
EXCHANGE TRADED FUNDS
78464A854
13297
366813
SH
SOLE
110044
0
256769
SPDR PORTFOLIO S&P EMERGING MARKETS ETF
EXCHANGE TRADED FUNDS
78463X509
1310
39142
SH
SOLE
11743
0
27399
SPDR PORTFOLIO SHORT TERM CORP BOND
FIXED INCOME ETF
78464A474
384
12258
SH
SOLE
3677
9
8581
STARBUCKS CORP
COMMON STOCK
855244109
383
5204
SH
SOLE
1561
0
3643
STRYKER CORP
COMMON STOCK
863667101
6258
34730
SH
SOLE
8396
0
21964
SYNCHRONY FINANCIAL
COMMON STOCK
87165B103
659
29737
SH
SOLE
8921
0
20816
TANGER FACTORY OUTLET COM
REAL ESTATE INVESTMENT TRUST (REIT)
875465106
313
43926
SH
SOLE
13178
0
30748
TARGET CORP
COMMON STOCK
87612E106
1561
13014
SH
SOLE
3896
0
9090
TCG BDC, INC.
BUSINESS DEVELOPMENT COMPANIES
872280102
197
23045
SH
SOLE
6914
0
16132
TELEFLEX INC COM
COMMON STOCK
879369106
566
1554
SH
SOLE
466
0
1088
TESLA MOTORS INC
COMMON STOCK
88160R101
540
500
SH
SOLE
150
0
350
THE FIDELITY LOW VOLATILITY FACTOR ETF
EXCHANGE TRADED FUNDS
316092824
18228
498310
SH
SOLE
149493
0
348817
THE INVESCO VARIABLE RATE INV. GRAD
FIXED INCOME ETF
46090A879
841
34159
SH
SOLE
10248
10
23911
THE MACERICH COMPANY
REAL ESTATE INVESTMENT TRUST (REIT)
554382101
228
25377
SH
SOLE
7613
0
17764
THE TRADE DESK, INC. - CLASS A
COMMON STOCK
88339J105
406
1000
SH
SOLE
300
0
700
THERMO FISHER SCIENTIFIC INC
COMMON STOCK
883556102
16190
44682
SH
SOLE
10873
0
28345
TOLL BROTHERS INC
COMMON STOCK
889478103
5813
178364
SH
SOLE
43153
0
113061
ULTA SALON COSMETICS & FRAGRANCES, INC
COMMON STOCK
90384S303
305
1500
SH
SOLE
450
0
1050
ULTRA FINANCIALS PROSHARES
COMMON STOCK
74347X633
225
7731
SH
SOLE
2319
0
5412
UNILEVER N V N Y SHS NEW
COMMON STOCK
904784709
272
5100
SH
SOLE
1530
0
3570
UNION PACIFIC CORP
COMMON STOCK
907818108
18383
108728
SH
SOLE
26436
0
68808
UNITEDHEALTH GROUP INC
COMMON STOCK
91324P102
18300
62043
SH
SOLE
15448
0
39833
UNIVERSAL DISPLAY CORP
COMMON STOCK
91347P105
3739
24988
SH
SOLE
6315
0
16156
Vanguard Dividend Apprec Etf
EXCHANGE TRADED FUNDS
921908844
2396
20447
SH
SOLE
6134
0
14313
VANGUARD EUROPE PACIFIC ETF
EXCHANGE TRADED FUNDS
921943858
4243
109374
SH
SOLE
32812
0
76562
Vanguard High Dvd Yield Etf
EXCHANGE TRADED FUNDS
921946406
1683
21365
SH
SOLE
6410
0
14956
VANGUARD INT-TERM CORPORATE
FIXED INCOME ETF
92206C870
270
2843
SH
SOLE
853
11
1990
VANGUARD S&P 500 ETF
EXCHANGE TRADED FUNDS
922908363
2880
10160
SH
SOLE
3048
0
7112
VANGUARD VALUE ETF
EXCHANGE TRADED FUNDS
922908744
25038
251410
SH
SOLE
75423
0
175987
VEREIT, INC.
REAL ESTATE INVESTMENT TRUST (REIT)
92339V100
772
120005
SH
SOLE
36002
0
84004
VERITEX HOLDINGS INC.
COMMON STOCK
923451108
198
11180
SH
SOLE
3354
0
7826
VERIZON COMMUNICATIONS
COMMON STOCK
92343V104
11498
208569
SH
SOLE
51683
0
133712
VERTEX PHARMACEUTICALS
COMMON STOCK
92532F100
16424
56574
SH
SOLE
14231
0
36567
VERTIV HOLDINGS LLC
COMMON STOCK
92537N108
794
58585
SH
SOLE
17576
0
41010
VISA INC CL A
COMMON STOCK
92826C839
11361
58811
SH
SOLE
11632
0
35001
WISDOMTREE BARCLAYS YIELD EN
FIXED INCOME ETF
97717X511
1742
32366
SH
SOLE
9710
12
22656
WISDOMTREE EMG MKTS HY EQ
EXCHANGE TRADED FUNDS
97717W315
6114
169232
SH
SOLE
50770
0
118462
WISDOMTREE EMRGNG MKTS EX-STATE OWNED ENT
EXCHANGE TRADED FUNDS
97717X578
20137
673252
SH
SOLE
201976
0
471276