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Intelligent Investing Across Core Investment StrategiesRoosevelt
Investments646.452.6700 | www.rooseveltinvestments.com
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A Legacy of Success. A Tradition of Excellence. Roosevelt Investments is a privately held asset management
firm. It dates back to 1971 when P. James Roosevelt, a cousin
of President Theodore Roosevelt, founded the investment
advisory firm P. James Roosevelt, Inc.
In 2002, The Roosevelt Investment Group, Inc. merged into
Sheer Asset Management, Inc., an investment advisory firm
founded by Arthur Sheer in 1990, retaining The Roosevelt
Investment Group, Inc. as the name of the combined firm.
To this day, The Roosevelt Investment Group, Inc. manages
investment assets of the Theodore Roosevelt Association in
addition to several members of the Roosevelt family.*
*Does not represent client endorsement or reference.
Roosevelt Investments offers a range of proprietary domestic equity, international equity, fixed income
and balanced investment strategies, and equity research.
Fixed Income
PRESERVING CAPITAL, GENERATING INCOME.
Current Income Portfolio
Intermediate Fixed Income
Core Fixed Income
Global Enhanced Fixed Income
Managed Solutions
Customizable Portfolio
No-load mutual fund based on
Global Enhanced Fixed Income
International Equity
COUNTRY ALLOCATION DRIVES PERFORMANCE.
EAFE Plus Equity
International Equity
Emerging Markets Tactical
Allocation (EMTAC) Equity
Emerging Markets Equity
Global Equity
Socially Responsible Investing
Equity Research
SPECIALISTS IN COUNTRY ALLOCATION.
Heckman Global Advisors
Publications
Heckman Global Advisors
Interactive Models
Domestic Equity
MANAGE FOR RISK, RETURNS CAN FOLLOW.
All Cap Core Equity
Large Cap Core Equity
Small/Mid Cap Core Equity
Select Equity
No-load mutual fund based
on All Cap Core Equity
Balanced Portfolio
A BLEND OF OUR IDEAS.
60% Equity and
40% Fixed Income
of Proprietary
Strategies
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EXECUTIVE MANAGEMENT TEAM
ARTHUR H. SHEER Chairman, CEO, CIO
ADAM J. SHEER President
DAVID SHEER Chief Financial Officer
JAMES C. ROGERS, CIMA® Managing Director
STEVEN WEISS, ESQ. General Counsel, CAO, CCO
DAVID A. CHALFIN Managing Director
We are an independent boutique investment manager and our clients’ interests come first.
ROOSEVELT INVESTMENTS AT A GLANCE
COMPLETE FOCUS ON LONG-ONLY ASSET MANAGEMENT
INDEPENDENTLY-OWNED AND UNAFFILIATED
ENTREPRENEURIAL SPIRIT THAT FOSTERS GROWTH
ASSET MANAGER WITH FINANCIAL STABILITY
ESTABLISHED 40-YEAR FIRM HISTORY
OFFICE LOCATION IN NEW YORK AND OPERATIONS CENTER IN PROVIDENCE, RI
EXPERIENCED SALES TEAM
EXTENSIVE CLIENT SERVICE SUPPORT
CULTURE OF COMPLIANCE AND OPERATIONAL EXPERTISE
Honesty. Integrity. Professionalism.People are our greatest asset.
Roosevelt Investments is rooted in the principles of honesty, integrity, and professionalism. Over the past four decades, our exceptional client service, experienced personnel, and operational excellence have contributed to our growth and success. We constantly strive to provide unparalleled client service and innovative products.
Our approach to investing is predicated on proprietary research performed
by our teams of investment professionals. Using fundamental analysis, due
diligence, third-party research, and data services, our portfolio managers
seek to uncover hidden investment opportunities. These are reflected
across our domestic equity, international equity, and fixed income strategies,
which are available through separately managed accounts and mutual fund
products. Ultimately, our strategies and products seek to provide a balance of
protection and growth.
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We focus on risk management during every step of the investment process. At Roosevelt Investments, our actively-managed domestic equity strategies embrace a
flexible approach. We search domestically and overseas for companies that are undervalued,
out-of-favor, or undiscovered with exceptional growth potential. Flexibility gives us the ability to
react to changing market conditions and to employ a global economic perspective.
We begin our investment process by identifying transformational change, which are translated into
investment themes that capitalize on the undercurrents of:
Capital preservation is a top priority. Over a full market cycle we aim to participate in upswings
while providing protection in downturns. We seek to accomplish this goal by actively utilizing a
variety of risk management tools.
Our All Cap Core Equity and Select Equity strategies are not restricted to companies of a certain
market capitalization. And our Select Equity portfolio allows for a degree of customization based
on a client’s particular financial circumstances or objectives, providing for equity exposure with the
potential for capital appreciation and risk management.
Domestic Equity. Manage for risk, returns can follow.
OUR DOMESTIC EQUITY PORTFOLIO MANAGEMENT TEAM
ARTHUR H. SHEER Chairman, CEO, CIO • Over 40 years of experience
ROBERT L. MEYER, CFA Managing Director, Portfolio Manager • Over 40 years of experence
JOHN ROSCOE, CFA Portfolio Manager • Nearly 20 years of experience
JASON SHEER, CFA Portfolio Manager • 7 years of experience
NAINESH SHAH, CFA Senior Securities Analyst, Portfolio Specialist • Nearly 20 years of experience
JASON BENOWITZ, CFA Portfolio Manager • 10 years of experience
GONGWEN PENG, PH.D. Director of Quantitative Research • Over 10 years of experience
Economic developments
Political change
Social transformations
Demographic shifts
Industry-specific change
ALL CAP CORE EQUITY
LARGE CAP CORE EQUITY
SMALL/MID CAP CORE EQUITY
SELECT EQUITY
NO-LOAD MUTUAL FUND BASED ON AROUND ALL CAP CORE EQUITY
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Roosevelt Investments’ goal is to help clients preserve capital
and generate income in all types of market environments.
Our team of fixed income professionals identifies compelling
opportunities in the government and corporate markets
using macroeconomic forecasting, proprietary research, and
fundamental credit analysis. The team also conducts rigorous
risk management for all of our fixed income products.
Our fixed income solutions span sectors, quality and
geographic regions to provide an offering spectrum diversified
in terms of risk and reward. Our thematic equity approach
complements global fixed income strategies, while domestic
offerings reflect our understanding of various fixed income
markets.
Fixed Income. Preserving capital, generating income.
OUR FIXED INCOME PORTFOLIO MANAGEMENT TEAM
ARTHUR H. SHEER Chairman, CEO, CIO • Over 40 years of experience
HOWARD S. POTTER Managing Director, Senior Portfolio Manager • Over 30 years of experence
ROBERT L. MEYER, CFA Managing Director, Portfolio Manager • Over 40 years of experence
JOHN ROSCOE, CFA Portfolio Manager • Nearly 20 years of experience
GONGWEN PENG, PH.D. Director of Quantitative Research • Over 10 years of experience
Howard Potter, a Senior Fixed Income Portfolio Manager with over 30 years of experience, joined Roosevelt Investments in October 2011 to lead Roosevelt’s domestic investment-grade fixed income team. Howard manages three fixed income styles at Roosevelt that he has managed for the past 15 years, and his decision making process for the portfolios remains intact and independent. Roosevelt’s domestic investment-grade fixed income team was subsequently formed in March 2012 under Howard’s leadership, and also includes Robert Meyer, CFA and John Roscoe, CFA, who have a combined 24 years of fixed income portfolio management experience, as well as Dr. Gongwen Peng, Roosevelt’s Director of Quantitative Research. This combination of personnel demonstrates Roosevelt Investments’ commitment, depth and succession planning for our domestic investment-grade fixed income clients.
At Roosevelt Investments,
managing risk isn’t limited
to equity investing.
CURRENT INCOME PORTFOLIO
INTERMEDIATE FIXED INCOME
CORE FIXED INCOME
GLOBAL ENHANCED FIXED INCOME
MANAGED SOLUTIONS CUSTOMIZABLE PORTFOLIOS
NO-LOAD MUTUAL FUND BASED ON GLOBAL ENHANCED FIXED INCOME
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We conduct extensive global country allocation research. For the past 18 years, we have
been generating research upon which all of our international equity portfolios are based.
Our proprietary country-allocation models assess investment prospects in developed and emerging
market countries. Ultimately, we select investments based on our philosophy that:
Country allocation drives excess returns in international/global equity portfolios
Alpha can be captured through a disciplined approach to country allocation and enhanced
portfolio construction
Quantitative methodologies exploit human emotions and market segmentation which can
create valuation anomalies and macro-economic inefficiencies in global equity markets
Risk controls are applied to ensure proper diversification
We focus on top-down country allocation.Proprietary research states that country allocation can be a significant driver of performance.
Our team of international equity experts employs a time-tested investment process that focuses
on four fundamental investment factors: valuation, growth, risk, and sentiment/momentum.
Through careful analysis of these factors they determine whether to underweight or overallocate a
particular country market. Weightings are generally implemented through either optimized baskets
of local shares, American Depository Receipts (ADRs), or country Exchange Traded Funds (ETFs).
International Equity. Award-winning research drives country allocations.
EAFE PLUS EQUITY
INTERNATIONAL EQUITY
EMERGING MARKETS TACTICAL ALLOCATION (EMTAC)
EMERGING MARKETS EQUITY
GLOBAL EQUITY
SOCIALLY RESPONSIBLE INVESTING
OUR INTERNATIONAL EQUITY PORTFOLIO MANAGEMENT TEAM
LEILA B. HECKMAN, PH.D. Managing Director, Senior Portfolio Manager • Over 20 years of experience
JOHN J. MULLIN, PH.D. Managing Director, Senior Portfolio Manager • Over 20 years of experence
VIJAY K. CHOPRA, PH.D., CFA Portfolio Manager • 20 years of experience
American Depository Receipts (ADRs): Receipts for shares of a foreign-based corporation held in the vault of a U.S. bank.
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Heckman Global Advisors.Specialists in country allocation.
Heckman Global Advisors, a division of The Roosevelt
Investment Group, Inc., is a provider of award-winning
global equity research utilized worldwide by premier money
managers, institutional investors, hedge funds and private
equity investors. Established in 1994, the team is led by
Founder, Dr. Leila Heckman.
Monthly research publications and interactive models are
available by subscription. Customized research is also
available. Research is presented from either a country
allocation or sector/industry allocation perspective.
Recommendations are based on qualitative analysis that
incorporates a multi-factor approach using valuation, growth,
risk and sentiment/momentum indicators.
Learn more about our equity research capabilities at
www.heckmanglobal.com.
RESEARCH PUBLICATIONS
INTERACTIVE MODELS
DYNAMIC MODELS CUSTOMIZED TO MEET CLIENTS NEEDS
Leila Heckman, Ph.D., Founder of Heckman Global Advisors, was ranked either #1 or #2 for asset allocation in Institutional Investor’s Global Teams Survey for 4 years in a row.*
*While Dr. Leila Heckman was the head of a Salomon Smith Barney research team, the team was ranked by Institutional Investors’ Global Research Team Surveys for Asset Allocation as 2nd in 1999, 2nd in 2000, 1st in 2001, and 2nd in 2002, and was ranked 1st for Quantitative Analysis in 2000.
Manager is solely responsible for the content of its website. The sponsor/broker dealer firm has not reviewed or verified the accuracy or completeness of its content and is not responsible for any statements included therein.
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We work closely with individual clients, institutions,
and financial advisors to help achieve greater financial
success.
Roosevelt’s team of regional directors establish strong
advisor and institutional relationships by offering a
consultative approach to helping them meet their
clients’ needs. This team has an average of sixteen
years of experience and is supported by a sophisticated
internal sales force. They are always available to
provide updates on Roosevelt’s extensive selection of
investment strategies.
In addition, the Roosevelt Private Client Group has
a team of professionals dedicated to managing
relationships with the firm’s individual investor base.
This team is committed to providing a personalized
service experience and is responsible for advising on
various aspects of their clients’ investments. They strive
to educate through a variety of communication means
including in-person meetings, frequent telephone calls,
written market commentary, website blog postings, and
quarterly conference calls.
Decades of experience in managing investments across
multiple market cycles have taught us the importance
of quality client service. We take great pride in our
firm’s intellectual capital and seek to communicate the
insight of our investment professionals with our clients.
Client Service Comes First. We work together to achieve success.
We believe we are stewards to our clients’ wealth.
We understand this position
cannot be taken lightly and stand
committed to provide client service that is
based on integrity and built on trust.
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We are committed to delivering quality results to our clients with the highest level of transparency.The Roosevelt Investment Group, Inc. is a privately held, unaffiliated boutique investment
management firm. As a registered investment adviser with the U.S. Securities and Exchange
Commission since 1991, we provide full disclosure on our business practices and fee arrangements.
We have a dedicated team of compliance professionals that enforces an internal control environment
and compliance regime. Pursuant to SEC Rules 204A-1 of the Advisers Act of 1940 and 17(j)-1
of the Investment Company Act of 1940, Roosevelt maintains a Code of Ethics. Our employees
adhere to this Code of Ethics, as well as additional compliance policies and procedures.
The Roosevelt Investment Group, Inc. claims compliance with the Global Investment Performance
Standards (GIPS®). Our firm has been verified by an independent third party who reviews our
processes and procedures concerning these standards. The verification reports are available
upon request. To receive a list of composite descriptions, a GIPS® compliant presentation,
or a copy of our Code of Ethics, please contact our Internal Sales Team at 646-452-6742, or
A Boutique Investment Manager.Rooted in a culture of compliance.
OUR COMPLIANCE TEAM
STEVEN WEISS, ESQ. General Counsel, Chief Administrative Officer, Chief Compliance Officer
JAMES CULLEN Compliance Manager
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For More Information.Contact us today to learn more.
Individual Investors
Please contact:
Corie Gabriel, Investment Counselor
Tel: (646) 452-6741
Institutional Investors
Please contact:
James C. Rogers, CIMA®
Managing Director, National Sales Manager
Tel: (646) 452-6714
Financial Advisors
Please contact our Sales Desk:
Tel: (646) 452-6742
www.rooseveltinvestments.com
Manager is solely responsible for the content of its website. The sponsor/broker dealer firm has not reviewed or verified the accuracy or completeness of its content and is not responsible for any statements included therein.
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