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 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