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0001020617-19-000009.txt : 20191112 0001020617-19-000009.hdr.sgml : 20191112 20191112125137 ACCESSION NUMBER: 0001020617-19-000009 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191112 DATE AS OF CHANGE: 20191112 EFFECTIVENESS DATE: 20191112 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: 191208048 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 09-30-2019 09-30-2019 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 11-12-2019 0 154 875294 INFORMATION TABLE 2 infotable.xml 3M COMPANY COMMON STOCK 88579Y101 255 1551 SH SOLE 465 0 1086 A T & T INC NEW COMMON STOCK 00206R102 221 5833 SH SOLE 1750 0 4083 ABBOTT LABORATORIES COMMON STOCK 002824100 279 3338 SH SOLE 1001 0 2337 ABBVIE INC COMMON STOCK 00287Y109 310 4091 SH SOLE 1227 0 2864 ADIENT PLC COMMON STOCK G0084W101 352 15345 SH SOLE 4604 0 10742 ALIBABA GROUP HOLDINGS LTD AMERICAN DEPOSITORY 01609W102 793 4742 SH SOLE 1423 0 3319 ALLEGHANY CORP. COMMON STOCK 017175100 3090 3873 SH SOLE 1162 0 2711 ALPHABET INC - CLASS A COMMON STOCK 02079K305 23663 19378 SH SOLE 4999 0 12735 ALPHABET INC - CLASS C COMMON STOCK 02079K107 1607 1318 SH SOLE 395 0 923 ALTRIA GROUP INC COMMON STOCK 02209S103 223 5460 SH SOLE 1638 0 3822 AMAZON COM INC COMMON STOCK 023135106 30983 17848 SH SOLE 4622 0 11713 AMERICAN EXPRESS COMPANY COMMON STOCK 025816109 966 8166 SH SOLE 2447 0 5709 AMERIS BANCORP COMMON STOCK 03076K108 822 20422 SH SOLE 6127 0 14295 AMGEN INC COMMON STOCK 031162100 300 1548 SH SOLE 464 0 1084 ANWORTH MORTGAGE ASSET CORP REAL ESTATE INVESTMENT TRUST (REIT) 037347101 264 79945 SH SOLE 23984 0 55962 APOLLO COMMERCIAL REAL ESTSTE FINANCE, INC REAL ESTATE INVESTMENT TRUST (REIT) 03762U105 788 41120 SH SOLE 12336 0 28784 APOLLO INVT CORP COM BUSINESS DEVELOPMENT COMPANIES 03761U502 510 31682 SH SOLE 9505 0 22177 APPLE INC COMMON STOCK 037833100 36962 165029 SH SOLE 43535 0 109183 APTIV PLC ORDINARY COMMON STOCK G6095L109 13699 156702 SH SOLE 40598 0 102875 ARES CAP CORP COM BUSINESS DEVELOPMENT COMPANIES 04010L103 645 34602 SH SOLE 10381 0 24221 AURORA CANNABIS INC COMMON STOCK 05156X108 57 13010 SH SOLE 3903 0 9107 BERKSHIRE HATHAWAY CL A COMMON STOCK 084670108 1559 5 SH SOLE 2 0 4 BERKSHIRE HATHAWAY CL B COMMON STOCK 084670702 24679 118637 SH SOLE 31132 0 78404 BLACKROCK CORE BOND TRUST CLOSED END FUNDS-FIXED INCOME 09249E101 181 12551 SH SOLE 3765 0 8786 BLACKROCK DEBT STRATEGIES FUND, INC. CLOSED END FUNDS-FIXED INCOME 09255R202 398 36985 SH SOLE 11096 0 25890 BLACKROCK TCP CAPITAL CORP. BUSINESS DEVELOPMENT COMPANIES 09259E108 801 59125 SH SOLE 17738 0 41388 BOEING CO COM COMMON STOCK 097023105 761 1999 SH SOLE 600 0 1400 BOOKING HOLDINGS INC COMMON STOCK 09857L108 16427 8370 SH SOLE 2148 0 5462 BRIGHT HORIZONS FAMILY SOLUTIONS, INC COMMON STOCK 109194100 20128 131989 SH SOLE 34529 0 87136 BRISTOL-MYERS SQUIBB CO COMMON STOCK 110122108 1310 25825 SH SOLE 7747 0 18077 CHENIERE ENERGY INC COMMON STOCK 16411R208 626 9934 SH SOLE 2980 0 6954 CHEVRON CORPORATION COMMON STOCK 166764100 301 2538 SH SOLE 761 0 1777 CME GROUP INC COMMON STOCK 12572Q105 24047 113783 SH SOLE 29863 0 75170 COLGATE-PALMOLIVE COMMON STOCK 194162103 814 11075 SH SOLE 3323 0 7753 COMCAST CORP NEW CL A COMMON STOCK 20030N101 1740 38587 SH SOLE 11576 0 27011 CONAGRA FOODS INC COMMON STOCK 205887102 1023 33357 SH SOLE 10007 0 23350 CONSTELLATION BRANDS COMMON STOCK 21036P108 14725 71039 SH SOLE 18513 0 46706 COSTCO WHSL CORP COMMON STOCK 22160K105 864 3000 SH SOLE 900 0 2100 CRITEO SA-SPON ADR AMERICAN DEPOSITORY 226718104 505 27001 SH SOLE 8100 0 18901 CROWN CASTLE INTERNATIONAL CORP. COMMON STOCK 22822V101 19174 137935 SH SOLE 35685 0 90435 CUMMINS INC COM COMMON STOCK 231021106 685 4211 SH SOLE 1263 0 2948 CVS HEALTH CORP COMMON STOCK 126650100 1041 16508 SH SOLE 4953 0 11556 DISCOVERY COMMUN SER A SERIES A COMMON STOCK 25470F104 651 24441 SH SOLE 7332 0 17109 DISNEY WALT CO COMMON STOCK 254687106 853 6548 SH SOLE 1964 0 4584 DYNEX CAPITAL, INC. REAL ESTATE INVESTMENT TRUST (REIT) 26817Q886 629 42562 SH SOLE 12769 0 29793 E O G RESOURCES INC COMMON STOCK 26875P101 614 8278 SH SOLE 2483 0 5795 EATON CORP PLC COMMON STOCK G29183103 212 2546 SH SOLE 764 0 1782 ECHOSTAR CORPORATION A COMMON STOCK 278768106 420 10592 SH SOLE 3178 0 7414 ELI LILLY & CO COMMON STOCK 532457108 286 2553 SH SOLE 766 0 1787 ENPLOYERS HOLDINGS INC COMMON STOCK 292218104 556 12762 SH SOLE 3829 0 8934 ENTERPRISE PRD PRTNRS LP COMMON STOCK 293792107 379 13244 SH SOLE 3973 0 9271 EQUINOR ASA-SPON ADR AMERICAN DEPOSITORY 29446M102 871 45945 SH SOLE 13784 0 32162 ERICSSON LM TEL CO ADR AMERICAN DEPOSITORY 294821608 1107 138735 SH SOLE 41620 0 97114 EXXON MOBIL CORPORATION COMMON STOCK 30231G102 1054 14931 SH SOLE 4479 0 10451 FACEBOOK INC COMMON STOCK 30303M102 24321 136571 SH SOLE 35729 0 90083 FORD MOTOR COMPANY COMMON STOCK 345370860 97 10634 SH SOLE 3190 0 7444 FS KKR CAPITAL CORP BUSINESS DEVELOPMENT COMPANIES 302635107 111 18977 SH SOLE 5693 0 13284 GENERAL ELECTRIC CO (USD) COMMON STOCK 369604103 208 23308 SH SOLE 6992 0 16315 GILEAD SCIENCES INC. COMMON STOCK 375558103 380 5989 SH SOLE 1797 0 4192 GRANITE POINT MORTGAGE TRUST, INC. REAL ESTATE INVESTMENT TRUST (REIT) 38741L107 494 26358 SH SOLE 7907 0 18451 GW PHARMACEUTICALS - ADR AMERICAN DEPOSITORY 36197T103 7824 68019 SH SOLE 17619 0 44712 HOME DEPOT INC COMMON STOCK 437076102 24732 106596 SH SOLE 27861 0 70350 HONEYWELL INTERNATIONAL INC COM COMMON STOCK 438516106 19876 117468 SH SOLE 30586 0 77375 INTL BUSINESS MACHINES COMMON STOCK 459200101 473 3253 SH SOLE 976 0 2277 INVESCO HIGH INCOME 2024 TARGET TERM FUND CLOSED END FUNDS-FIXED INCOME 46136K105 183 17604 SH SOLE 5281 0 12323 ISHARES 0-5 YE INV GRADE CORPORATE FIXED INCOME ETF 46434V100 1677 32796 SH SOLE 9839 0 22957 ISHARES CORE MSCI EAFE ETF EXCHANGE TRADED FUNDS 46432F842 15801 258729 SH SOLE 77619 0 181110 ISHARES CORE MSCI EMERGING MARKETS ETF EXCHANGE TRADED FUNDS 46434G103 4363 88998 SH SOLE 26699 0 62299 ISHARES CORE S&P TOTAL US STOCK MARKET ETF EXCHANGE TRADED FUNDS 464287150 23515 350600 SH SOLE 105180 0 245420 ISHARES EDGE MSCI USA QUALIT ETF EXCHANGE TRADED FUNDS 46432F339 11271 121976 SH SOLE 36593 0 85383 ISHARES GOLD TRUST COMMON STOCK 464285105 220 15616 SH SOLE 4685 0 10931 ISHARES MSCI EAFE ETF EXCHANGE TRADED FUNDS 464287465 617 9468 SH SOLE 2840 0 6628 ISHARES TR MSCI EMERG MKT COMMON STOCK 464287234 340 8315 SH SOLE 2494 0 5820 ISHARES TR S&P MIDCAP 400 EXCHANGE TRADED FUNDS 464287507 4952 25630 SH SOLE 7689 0 17941 ISHARES TR S&P SMALLCAP S&P SMALLCAP 600 I EXCHANGE TRADED FUNDS 464287804 4642 59638 SH SOLE 17891 0 41747 JEFFERIES FINANCIAL GRP INC COMMON STOCK 47233W109 619 33630 SH SOLE 10089 0 23541 JOHNSON & JOHNSON COMMON STOCK 478160104 23685 183062 SH SOLE 47862 0 120881 JPMORGAN CHASE & CO COMMON STOCK 46625H100 23611 200624 SH SOLE 51755 0 131036 JUST ENERGY GROUP INC COMMON STOCK 48213W101 38 16086 SH SOLE 4826 0 11260 KEYSIGHT TECHNOLOGIES INC COMMON STOCK 49338L103 14811 152300 SH SOLE 39529 0 100547 KINDER MORGAN INC COMMON STOCK 49456B101 539 26153 SH SOLE 7846 0 18307 KNOLL INC COM NEW COMMON STOCK 498904200 292 11529 SH SOLE 3459 0 8070 LAMB WESTON HOLDINGS, INC. COMMON STOCK 513272104 20467 281453 SH SOLE 73134 0 185733 LIBERTY BROADBAND-A COMMON STOCK 530307107 621 5939 SH SOLE 1782 0 4157 LOCKHEED MARTIN CORP COMMON STOCK 539830109 15953 40898 SH SOLE 10675 0 27009 MAGNOLIA OIL & GAS CORPORATION COMMON STOCK 559663109 696 62737 SH SOLE 18821 0 43916 MARATHON PETROLEUM CORPORATION COMMON STOCK 56585A102 20231 333016 SH SOLE 85152 0 218405 MARKETAXESS HLDGS INC COM COMMON STOCK 57060D108 11733 35827 SH SOLE 9380 0 23645 MASTERCARD INC COMMON STOCK 57636Q104 17111 63008 SH SOLE 18385 0 42898 MC DONALDS CORP COMMON STOCK 580135101 1086 5059 SH SOLE 1518 0 3541 MERCK & CO INC NEW COMMON STOCK 58933Y105 313 3723 SH SOLE 1117 0 2606 MFA MORTGAGE INVESTMENT REAL ESTATE INVESTMENT TRUST (REIT) 55272X102 547 74336 SH SOLE 22301 0 52035 MGM RESORTS INTERNATIONAL COMMON STOCK 552953101 205 7379 SH SOLE 2214 0 5165 MICROCHIP TECHNOLOGY INC COMMON STOCK 595017104 23447 252358 SH SOLE 65757 0 166301 MICROSOFT CORP COMMON STOCK 594918104 41021 295055 SH SOLE 77138 0 194912 MONDELEZ INTERNATIONAL INC COMMON STOCK 609207105 376 6805 SH SOLE 2042 0 4764 NETFLIX INC COM COMMON STOCK 64110L106 400 1494 SH SOLE 448 0 1046 NEW MOUNTAIN FINANCE CORPORATION BUSINESS DEVELOPMENT COMPANIES 647551100 458 33625 SH SOLE 10088 0 23538 NEXTERA ENERGY INC COMMON STOCK 65339F101 31518 135275 SH SOLE 34802 0 88807 NEXTERA ENERGY PTNRS COM UNIT PART IN COMMON STOCK 65341B106 1502 28425 SH SOLE 8528 0 19898 NOVO-NORDISK A-S ADR AMERICAN DEPOSITORY 670100205 301 5830 SH SOLE 1749 0 4081 NUVEEN AMT-FREE MUNICIPAL INC FD FIXED INCOME ETF 670657105 478 33377 SH SOLE 10013 0 23364 NUVEEN PFD & CV INC FD COM SHS CLOSED END FUNDS-FIXED INCOME 67073D102 83 11133 SH SOLE 3340 0 7793 NUVEEN PREFERRED AND CONVERTIBLE INCOME FU CLOSED END FUNDS-FIXED INCOME 67073B106 132 13149 SH SOLE 3945 0 9204 NUVEEN REAL ASSET INCOME AND GROWTH FUND CLOSED END FUNDS-EQUITY 67074Y105 520 29691 SH SOLE 8907 0 20784 NVIDIA CORP COMMON STOCK 67066G104 1432 8229 SH SOLE 2469 0 5760 OLD DOMINION FREIGHT LNS COMMON STOCK 679580100 20057 118005 SH SOLE 29883 0 76639 PENNANTPARK FLOATING RATE CAPITAL LTD. BUSINESS DEVELOPMENT COMPANIES 70806A106 1300 112097 SH SOLE 33629 0 78468 PEPSICO INC COMMON STOCK 713448108 264 1929 SH SOLE 579 0 1350 PFIZER INC COMMON STOCK 717081103 13346 371441 SH SOLE 97742 0 245994 PNC FINANCIAL SERVICES GROUP COMMON STOCK 693475105 277 1977 SH SOLE 593 0 1384 PRINCIPAL FINANCIAL GP COM COMMON STOCK 74251V102 770 13473 SH SOLE 4042 0 9431 PROCTER & GAMBLE COMMON STOCK 742718109 1056 8487 SH SOLE 2546 0 5941 PROLOGIS INC COMMON STOCK 74340W103 13611 159718 SH SOLE 41507 0 105014 PROSHARES ULTRA QQQ COMMON STOCK 74347R206 642 6633 SH SOLE 1990 0 4643 QUALCOMM INC COMMON STOCK 747525103 688 9023 SH SOLE 2707 0 6316 QURATE RETAIL, INC. COMMON STOCK 74915M100 1076 104353 SH SOLE 31306 0 73047 RAYTHEON CO COM NEW COMMON STOCK 755111507 1082 5515 SH SOLE 1654 0 3860 RESIDEO TECHNOLOGIES, INC. COMMON STOCK 76118Y104 306 21293 SH SOLE 6388 0 14905 ROSS STORES INC COM COMMON STOCK 778296103 21420 194996 SH SOLE 50711 0 128071 S P D R S&P 500 ETF TR COMMON STOCK 78462F103 2862 9642 SH SOLE 2893 0 6750 S&P GLOBAL INC COMMON STOCK 78409V104 18347 74892 SH SOLE 19749 0 49468 SEACOR HOLDINGS INC CONVERTIBLE BONDS 81170YAB5 74 75000 SH SOLE 22500 0 52500 SIMPSON MFG CO INC COM COMMON STOCK 829073105 357 5150 SH SOLE 1545 0 3605 SPDR BBG BARC IG FLOATING RT FIXED INCOME ETF 78468R200 922 29982 SH SOLE 8995 0 20987 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 661 1875 SH SOLE 562 0 1312 SPDR WELLS FARGO PREFERRED FIXED INCOME ETF 78464A292 544 12312 SH SOLE 3694 0 8618 STRYKER CORP COMMON STOCK 863667101 8482 39212 SH SOLE 9944 0 25567 SYNCHRONY FINANCIAL COMMON STOCK 87165B103 718 21058 SH SOLE 6317 0 14741 TANGER FACTORY OUTLET COM REAL ESTATE INVESTMENT TRUST (REIT) 875465106 706 45628 SH SOLE 13688 0 31940 TARGET CORP COMMON STOCK 87612E106 2836 26523 SH SOLE 7957 0 18566 TCG BDC, INC. BUSINESS DEVELOPMENT COMPANIES 872280102 387 26890 SH SOLE 8067 0 18823 TELEFLEX INC COM COMMON STOCK 879369106 528 1554 SH SOLE 466 0 1088 THE INVESCO VARIABLE RATE INV. GRAD FIXED INCOME ETF 46090A879 798 32065 SH SOLE 9620 0 22446 THE MACERICH COMPANY REAL ESTATE INVESTMENT TRUST (REIT) 554382101 898 28434 SH SOLE 8530 0 19904 THERMO FISHER SCIENTIFIC INC COMMON STOCK 883556102 13994 48044 SH SOLE 12352 0 31576 TPG SPECIALTY LENDING, INC. BUSINESS DEVELOPMENT COMPANIES 87265K102 622 29650 SH SOLE 8895 0 20755 ULTRA FINANCIALS PROSHARES COMMON STOCK 74347X633 363 7731 SH SOLE 2319 0 5412 UNION PACIFIC CORP COMMON STOCK 907818108 20323 125469 SH SOLE 32002 0 81903 UNITED TECHNOLOGIES COMMON STOCK 913017109 408 2985 SH SOLE 896 0 2090 UNITEDHEALTH GROUP INC COMMON STOCK 91324P102 17415 80136 SH SOLE 20732 0 52654 VANGUARD EUROPE PACIFIC ETF COMMON STOCK 921943858 444 10796 SH SOLE 3239 0 7557 VANGUARD INDEX FDS REIT ETF COMMON STOCK 922908553 344 3684 SH SOLE 1105 0 2579 VANGUARD INT-TERM CORPORATE FIXED INCOME ETF 92206C870 585 6409 SH SOLE 1923 0 4486 VANGUARD S&P 500 ETF EXCHANGE TRADED FUNDS 922908363 5375 19717 SH SOLE 5915 0 13802 VANGUARD TOTAL STOCK MKT EXCHANGE TRADED FUNDS 922908769 1225 8114 SH SOLE 2434 0 5680 VEREIT, INC. REAL ESTATE INVESTMENT TRUST (REIT) 92339V100 1138 116318 SH SOLE 34895 0 81423 VERITEX HOLDINGS INC. COMMON STOCK 923451108 280 11540 SH SOLE 3462 0 8078 VERIZON COMMUNICATIONS COMMON STOCK 92343V104 15380 254810 SH SOLE 65768 0 166567 VERTEX PHARMACEUTICALS COMMON STOCK 92532F100 13338 78727 SH SOLE 20505 0 51977 VISA INC CL A COMMON STOCK 92826C839 11790 68541 SH SOLE 14289 0 42473 WAL-MART STORES INC COMMON STOCK 931142103 204 1720 SH SOLE 516 0 1204 WESTERN ASSET EMERGING MARKET CLOSED END FUNDS-FIXED INCOME 95766A101 152 10944 SH SOLE 3283 0 7661