0001020617-19-000005.txt : 20190509 0001020617-19-000005.hdr.sgml : 20190509 20190509115552 ACCESSION NUMBER: 0001020617-19-000005 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190331 FILED AS OF DATE: 20190509 DATE AS OF CHANGE: 20190509 EFFECTIVENESS DATE: 20190509 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: 19809542 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 03-31-2019 03-31-2019 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 05-09-2019 0 150 802968 INFORMATION TABLE 2 infotable.xml 3M COMPANY COMMON STOCK 88579Y101 406 1952 SH SOLE 586 0 1366 ABBOTT LABORATORIES COMMON STOCK 002824100 229 2865 SH SOLE 860 0 2006 ABBVIE INC COMMON STOCK 00287Y109 355 4403 SH SOLE 1321 0 3082 ADIENT PLC COMMON STOCK G0084W101 208 16078 SH SOLE 4823 0 11255 ALIBABA GROUP HOLDINGS LTD AMERICAN DEPOSITORY 01609W102 865 4742 SH SOLE 1423 0 3319 ALLEGHANY CORP. COMMON STOCK 017175100 2504 4089 SH SOLE 1227 0 2862 ALLERGAN PLC COMMON STOCK G0177J108 1286 8784 SH SOLE 2635 0 6149 ALLIANCE WORLD DLR II COM COMMON STOCK 01879R106 116 10051 SH SOLE 3015 0 7036 ALPHABET INC - CLASS A COMMON STOCK 02079K305 28694 24381 SH SOLE 6278 0 16043 ALPHABET INC - CLASS C COMMON STOCK 02079K107 1572 1340 SH SOLE 402 0 938 ALTRIA GROUP INC COMMON STOCK 02209S103 312 5426 SH SOLE 1628 0 3798 AMAZON COM INC COMMON STOCK 023135106 32228 18098 SH SOLE 4646 0 11895 AMC ENTERTAINMENT HOLDINGS INC COMMON STOCK 00165C104 198 13308 SH SOLE 3992 0 9316 AMERICAN EXPRESS COMPANY COMMON STOCK 025816109 655 5990 SH SOLE 1794 0 4186 AMERIS BANCORP COMMON STOCK 03076K108 701 20422 SH SOLE 6127 0 14295 AMGEN INC COMMON STOCK 031162100 302 1588 SH SOLE 476 0 1112 ANWORTH MORTGAGE ASSET CORPORATION COMMON STOCK 037347101 303 74909 SH SOLE 22473 0 52436 APOLLO COMMERCIAL REAL ESTSTE FINANCE, INC REAL ESTATE INVESTMENT TRUST (REIT) 03762U105 759 41690 SH SOLE 12507 0 29183 APOLLO INVT CORP COM COMMON STOCK 03761U502 170 11252 SH SOLE 3376 0 7876 APPLE INC COMMON STOCK 037833100 30522 160684 SH SOLE 42445 0 106684 APTIV PLC ORDINARY COMMON STOCK G6095L109 12315 154930 SH SOLE 40175 0 102637 ARES CAP CORP COM COMMON STOCK 04010L103 591 34474 SH SOLE 10342 0 24132 AURORA CANNABIS INC COMMON STOCK 05156X108 115 12710 SH SOLE 3813 0 8897 BERKSHIRE HATHAWAY CL A COMMON STOCK 084670108 1506 5 SH SOLE 2 0 4 BERKSHIRE HATHAWAY CL B COMMON STOCK 084670702 29653 147610 SH SOLE 38692 0 97835 BLACKROCK CORE BOND TRUST CLOSED END FUNDS-FIXED INCOME 09249E101 171 12726 SH SOLE 3818 35 8908 BLACKROCK TCP CAPITAL CORP. BUSINESS DEVELOPMENT COMPANIES 09259E108 831 58608 SH SOLE 17582 0 41026 BOEING CO COM COMMON STOCK 097023105 556 1456 SH SOLE 437 0 1020 BRIGHT HORIZONS FAMILY SOLUTIONS, INC COMMON STOCK 109194100 22633 178059 SH SOLE 45941 0 117656 BRISTOL-MYERS SQUIBB CO COMMON STOCK 110122108 1047 21943 SH SOLE 6583 0 15360 CHENIERE ENERGY INC COMMON STOCK 16411R208 703 10284 SH SOLE 3085 0 7199 CHEVRON CORPORATION COMMON STOCK 166764100 9653 78366 SH SOLE 22809 0 53221 CME GROUP INC COMMON STOCK 12572Q105 19158 116407 SH SOLE 30423 0 77106 COLGATE-PALMOLIVE COMMON STOCK 194162103 871 12710 SH SOLE 3813 0 8897 COMCAST CORP NEW CL A COMMON STOCK 20030N101 1502 37566 SH SOLE 11270 0 26296 CONAGRA FOODS INC COMMON STOCK 205887102 767 27660 SH SOLE 8268 0 19292 CONSTELLATION BRAND CLASS A COMMON STOCK 21036P108 7922 45181 SH SOLE 11989 0 30249 COSTCO WHSL CORP COMMON STOCK 22160K105 709 2927 SH SOLE 878 0 2049 CRITEO SA-SPON ADR AMERICAN DEPOSITORY 226718104 566 28241 SH SOLE 8472 0 19769 CROWN CASTLE INTERNATIONAL CORP. COMMON STOCK 22822V101 18086 141295 SH SOLE 36307 0 92853 CUMMINS INC COM COMMON STOCK 231021106 675 4276 SH SOLE 1283 0 2993 CVS HEALTH CORP COMMON STOCK 126650100 928 17202 SH SOLE 5161 0 12041 DISNEY WALT CO COMMON STOCK 254687106 709 6387 SH SOLE 1914 0 4467 DYNEX CAPITAL, INC. REAL ESTATE INVESTMENT TRUST (REIT) 26817Q506 382 62799 SH SOLE 18840 0 43959 E O G RESOURCES INC COMMON STOCK 26875P101 9324 97959 SH SOLE 24442 0 64171 EATON CORP PLC COMMON STOCK G29183103 210 2606 SH SOLE 782 0 1824 ECHOSTAR HOLDING CORPORATION COMMON STOCK 278768106 386 10592 SH SOLE 3178 0 7414 EDWARDS LIFESCIENCES CORP COMMON STOCK 28176E108 272 1422 SH SOLE 425 0 991 ELI LILLY & CO COMMON STOCK 532457108 339 2615 SH SOLE 784 0 1830 ENTERPRISE PRD PRTNRS LP COMMON STOCK 293792107 692 23788 SH SOLE 7136 0 16652 ENVIVA PARTNERS LP COMMON STOCK 29414J107 257 7980 SH SOLE 2394 0 5586 EQUINOR ASA-SPON ADR AMERICAN DEPOSITORY 29446M102 225 10229 SH SOLE 3069 0 7160 ERICSSON LM TEL CO ADR AMERICAN DEPOSITORY 294821608 1021 111255 SH SOLE 33376 0 77878 EXXON MOBIL CORPORATION COMMON STOCK 30231G102 1223 15133 SH SOLE 4540 0 10593 FACEBOOK INC COMMON STOCK 30303M102 22485 134889 SH SOLE 34904 0 89048 FS INVESTMENT CORPORATION BUSINESS DEVELOPMENT COMPANIES 302635107 122 20204 SH SOLE 6061 0 14143 GENERAL ELECTRIC CO (USD) COMMON STOCK 369604103 391 39148 SH SOLE 11744 0 27403 GILEAD SCIENCES INC. COMMON STOCK 375558103 377 5799 SH SOLE 1740 0 4059 GRANITE POINT MORTGAGE TRUST, INC. REAL ESTATE INVESTMENT TRUST (REIT) 38741L107 496 26702 SH SOLE 8011 0 18691 GW PHARMACEUTICALS - ADR AMERICAN DEPOSITORY 36197T103 10957 64998 SH SOLE 16629 0 42879 HOME DEPOT INC COMMON STOCK 437076102 20830 108553 SH SOLE 28216 0 71828 HONEYWELL INTERNATIONAL INC COM COMMON STOCK 438516106 18618 117153 SH SOLE 30229 0 77293 INTEL CORP COMMON STOCK 458140100 205 3817 SH SOLE 1145 0 2672 INTL BUSINESS MACHINES COMMON STOCK 459200101 501 3554 SH SOLE 1066 0 2488 INVESCO HIGH INCOME 2024 TARGET TERM FUND CLOSED END FUNDS-FIXED INCOME 46136K105 174 17604 SH SOLE 5281 36 12323 ISHARES 0-5 YE INV GRADE CORPORATE FIXED INCOME ETF 46434V100 1406 27860 SH SOLE 8358 48 19502 ISHARES CORE MSCI EAFE ETF EXCHANGE TRADED FUNDS 46432F842 13818 227375 SH SOLE 68212 37 159162 ISHARES CORE MSCI EMERGING MARKETS ETF EXCHANGE TRADED FUNDS 46434G103 3914 75683 SH SOLE 22705 38 52978 ISHARES CORE S&P TOTAL US STOCK MARKET ETF EXCHANGE TRADED FUNDS 464287150 19839 308055 SH SOLE 92416 39 215638 ISHARES EDGE MSCI USA QUALIT ETF EXCHANGE TRADED FUNDS 46432F339 10296 116273 SH SOLE 34882 40 81391 ISHARES GOLD TRUST COMMON STOCK 464285105 193 15616 SH SOLE 4685 0 10931 ISHARES MSCI EAFE ETF EXCHANGE TRADED FUNDS 464287465 591 9114 SH SOLE 2734 41 6380 ISHARES TR MSCI EMERG MKT COMMON STOCK 464287234 357 8315 SH SOLE 2494 0 5820 ISHARES TR S&P MIDCAP 400 EXCHANGE TRADED FUNDS 464287507 4260 22492 SH SOLE 6748 42 15744 ISHARES TR S&P SMALLCAP S&P SMALLCAP 600 I EXCHANGE TRADED FUNDS 464287804 3987 51684 SH SOLE 15505 43 36179 JEFFERIES FINANCIAL GRP INC COMMON STOCK 47233W109 643 34201 SH SOLE 10260 0 23941 JOHNSON & JOHNSON COMMON STOCK 478160104 24011 171763 SH SOLE 44190 0 113351 JPMORGAN CHASE & CO COMMON STOCK 46625H100 16467 162672 SH SOLE 41989 0 107328 JUST ENERGY GROUP INC COMMON STOCK 48213W101 55 16086 SH SOLE 4826 0 11260 KEYSIGHT TECHNOLOGIES INC COMMON STOCK 49338L103 6588 75550 SH SOLE 19053 0 49297 KINDER MORGAN INC COMMON STOCK 49456B101 522 26108 SH SOLE 7832 0 18276 KNOLL INC COM NEW COMMON STOCK 498904200 466 24625 SH SOLE 7388 0 17238 LAMB WESTON HOLDINGS, INC. COMMON STOCK 513272104 19716 263088 SH SOLE 67021 0 173315 LAS VEGAS SANDS CORP COMMON STOCK 517834107 217 3557 SH SOLE 1067 0 2490 LIBERTY BROADBAND-A COMMON STOCK 530307107 561 6124 SH SOLE 1837 0 4287 LOCKHEED MARTIN CORP COMMON STOCK 539830109 12389 41273 SH SOLE 10695 0 27311 MACERICH CO COM REAL ESTATE INVESTMENT TRUST (REIT) 554382101 705 16257 SH SOLE 4877 0 11380 MARATHON PETROLEUM CORPORATION COMMON STOCK 56585A102 13040 217885 SH SOLE 54951 0 143248 MARKETAXESS HLDGS INC COM COMMON STOCK 57060D108 16507 67081 SH SOLE 17091 0 43966 MASTERCARD INC COMMON STOCK 57636Q104 15447 65607 SH SOLE 19136 0 44652 MC DONALDS CORP COMMON STOCK 580135101 721 3795 SH SOLE 1138 0 2656 MERCK & CO INC NEW COMMON STOCK 58933Y105 275 3309 SH SOLE 993 0 2316 MFA MORTGAGE INVESTMENT COMMON STOCK 55272X102 540 74336 SH SOLE 22301 0 52035 MICROCHIP TECHNOLOGY INC COMMON STOCK 595017104 20115 242466 SH SOLE 62279 0 159715 MICROSOFT CORP COMMON STOCK 594918104 35571 301599 SH SOLE 78320 0 199647 MONDELEZ INTERNATIONAL INC COMMON STOCK 609207105 432 8660 SH SOLE 2598 0 6062 NEW MOUNTAIN FINANCE CORPORATION BUSINESS DEVELOPMENT COMPANIES 647551100 467 34391 SH SOLE 10317 0 24074 NEXTERA ENERGY INC COMMON STOCK 65339F101 27245 140934 SH SOLE 36104 0 92856 NEXTERA ENERGY PTNRS COM UNIT PART IN COMMON STOCK 65341B106 1207 25875 SH SOLE 7762 0 18112 NORTHROP GRUMMAN CORP COMMON STOCK 666807102 5219 19360 SH SOLE 4326 0 12424 NOVO-NORDISK A-S ADR AMERICAN DEPOSITORY 670100205 369 7060 SH SOLE 2118 0 4942 NUVEEN AMT-FREE MUNICIPAL INC FD FIXED INCOME ETF 670657105 463 34627 SH SOLE 10388 49 24239 NUVEEN PFD & CV INC FD COM SHS COMMON STOCK 67073D102 90 11646 SH SOLE 3494 0 8152 NUVEEN PREFERRED AND CONVERTIBLE INCOME FU COMMON STOCK 67073B106 139 14552 SH SOLE 4366 0 10186 NUVEEN REAL ASSET INCOME AND GROWTH FUND CLOSED END FUNDS-EQUITY 67074Y105 480 29907 SH SOLE 8972 44 20935 NVIDIA CORP COMMON STOCK 67066G104 1329 7399 SH SOLE 2220 0 5179 OLD DOMINION FREIGHT LNS COMMON STOCK 679580100 17526 121381 SH SOLE 30590 0 79123 PENNANTPARK FLOATING RATE CAPITAL LTD. BUSINESS DEVELOPMENT COMPANIES 70806A106 1191 92995 SH SOLE 27898 0 65096 PEPSICO INC COMMON STOCK 713448108 220 1799 SH SOLE 540 0 1259 PFIZER INC COMMON STOCK 717081103 15287 359960 SH SOLE 93622 0 238516 PHILIP MORRIS INTL INC COMMON STOCK 718172109 226 2560 SH SOLE 768 0 1792 PNC FINANCIAL SERVICES GROUP COMMON STOCK 693475105 252 2057 SH SOLE 617 0 1440 PRINCIPAL FINANCIAL GP COM COMMON STOCK 74251V102 676 13473 SH SOLE 4042 0 9431 PROCTER & GAMBLE COMMON STOCK 742718109 775 7445 SH SOLE 2233 0 5211 PROLOGIS INC COMMON STOCK 74340W103 11885 165180 SH SOLE 42737 0 108961 QUALCOMM INC COMMON STOCK 747525103 901 15795 SH SOLE 4738 0 11056 QURATE RETAIL, INC. COMMON STOCK 74915M100 1481 92682 SH SOLE 27805 0 64877 RAYTHEON CO COM NEW COMMON STOCK 755111507 1188 6524 SH SOLE 1957 0 4567 ROSS STORES INC COM COMMON STOCK 778296103 18829 202241 SH SOLE 52460 0 133341 S P D R S&P 500 ETF TR COMMON STOCK 78462F103 3186 11279 SH SOLE 3384 0 7896 S&P GLOBAL INC COMMON STOCK 78409V104 16474 78241 SH SOLE 20596 0 51900 SEACOR HOLDINGS INC CONVERTIBLE BONDS 81170YAB5 73 75000 SH SOLE 0 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE EXCHANGE TRADED FUNDS 81369Y209 1538 16761 SH SOLE 5028 45 11732 SIMPSON MFG CO INC COM COMMON STOCK 829073105 305 5150 SH SOLE 1545 0 3605 SPDR S&P MIDCAP 400 ETF TRUST COMMON STOCK 78467Y107 648 1875 SH SOLE 562 0 1312 SPDR WELLS FARGO PREFERRED FIXED INCOME ETF 78464A292 478 11197 SH SOLE 0 0 0 STRYKER CORP COMMON STOCK 863667101 6342 32109 SH SOLE 7798 0 20816 SUNTRUST BANKS INC COMMON STOCK 867914103 1119 18884 SH SOLE 5665 0 13219 SYNCHRONY FINANCIAL COMMON STOCK 87165B103 672 21056 SH SOLE 6317 0 14739 TANGER FACTORY OUTLET COM REAL ESTATE INVESTMENT TRUST (REIT) 875465106 967 46108 SH SOLE 13832 0 32276 TARGET CORP COMMON STOCK 87612E106 2003 24953 SH SOLE 7486 0 17467 TCG BDC, INC. BUSINESS DEVELOPMENT COMPANIES 872280102 373 25792 SH SOLE 7738 0 18054 TELEFLEX INC COM COMMON STOCK 879369106 470 1554 SH SOLE 466 0 1088 TELLURIAN, INC. COMMON STOCK 87968A104 744 66390 SH SOLE 19917 0 46473 THERMO FISHER SCIENTIFIC INC COMMON STOCK 883556102 7132 26055 SH SOLE 6448 0 17036 TPG SPECIALTY LENDING, INC. BUSINESS DEVELOPMENT COMPANIES 87265K102 593 29650 SH SOLE 8895 0 20755 UNION PACIFIC CORP COMMON STOCK 907818108 20807 124443 SH SOLE 31371 0 81354 UNITED TECHNOLOGIES COMMON STOCK 913017109 393 3053 SH SOLE 916 0 2137 UNITEDHEALTH GROUP INC COMMON STOCK 91324P102 19752 79884 SH SOLE 20505 0 52596 VANGUARD EUROPE PACIFIC ETF COMMON STOCK 921943858 440 10756 SH SOLE 3227 0 7529 VANGUARD HEALTH CARE ETF COMMON STOCK 92204A504 1636 9487 SH SOLE 2846 0 6641 VANGUARD INT-TERM CORPORATE FIXED INCOME ETF 92206C870 442 5088 SH SOLE 0 0 0 VANGUARD S&P 500 ETF EXCHANGE TRADED FUNDS 922908363 4702 18118 SH SOLE 5435 46 12683 VANGUARD TOTAL STOCK MKT EXCHANGE TRADED FUNDS 922908769 222 1533 SH SOLE 460 47 1073 VEREIT, INC. REAL ESTATE INVESTMENT TRUST (REIT) 92339V100 974 116318 SH SOLE 34895 0 81423 VERITEX HOLDINGS INC. COMMON STOCK 923451108 279 11540 SH SOLE 3462 0 8078 VERIZON COMMUNICATIONS COMMON STOCK 92343V104 10081 170483 SH SOLE 44130 0 112959 VERTEX PHARMACEUTICALS COMMON STOCK 92532F100 12471 67794 SH SOLE 17155 0 44650 VISA INC CL A COMMON STOCK 92826C839 12868 82390 SH SOLE 16797 0 51124 WESTERN ASSET EMERGING MARKET COMMON STOCK 95766A101 151 11046 SH SOLE 3314 0 7732