Compliance

How We Comply

Roosevelt Investments has been an Investment Adviser registered with the U.S. Securities and Exchange Commission since 1991.1 We act as a fiduciary to our advisory clients, and our fiduciary duty requires that we act in our clients’ best interests, always. Our firm’s practices and interactions with clients are carried out in good faith and as transparently as possible, and we seek to disclose all material facts and conflicts of interest.

Internal controls are maintained and a strict compliance regime is enforced. Pursuant to Rule 204A-1 of the Investment Advisers Act of 1940, Roosevelt maintains a Code of Ethics. Our employees are required to adhere to this Code of Ethics, as well as to additional compliance policies and procedures.

Roosevelt Investments also claims compliance with the Global Investment Performance Standards (GIPS®). The GIPS standards are a set of ethical standards and guidelines used for calculating and presenting investment performance based on the principal of fair representation and full disclosure. To obtain GIPS-compliance performance information for the firm’s strategies and products, please contact us at marketing@ri.324dev.com.

Steven Weiss, Esq.

Steven Weiss, Esq. serves as our Chief Compliance Officer and General Counsel. Steven joined Roosevelt in 2007, and he is responsible for all legal and compliance matters for the firm. Steven has a long history of enforcing rules – prior to joining Roosevelt, he was an attorney with Thelen, Reid, Brown, Raysman and Steiner LLP, and he is also an Adjunct Professor at Benjamin N. Cardozo School of Law.

Additionally, as mentioned above, all of our employees adhere to a Code of Ethics. In a sense, everyone at Roosevelt Investments is part of the compliance team.

We Know That Building Trust Is a Critical Part of Any Long-Term Relationship With a Wealth Advisor.

That’s Why Compliance Is So Important to Us.

For detailed information about our compliance processes and procedures, please view our:

Roosevelt Investments