THE ROOSEVELT INVESTMENT GROUP, LLC
Legal name: ROOSEVELT INVESTMENTS
CRD #107853 SEC #801-38824 NEW YORK, NY 646-452-6700
SEC Registered
Total AUM
$2.7B
Discretionary
$2.5B
Employees
18
Clients
0
Accounts
1,125
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jun 3, 2024
- Branch Offices
- 2
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BAIROS, KAREN, MARIE | I | CHIEF OPERATING OFFICER | NA | |
| BAIROS, KAREN, MARIE | I | CHIEF OPERATING OFFICER | NA | |
| BAIROS, KAREN, MARIE | I | CHIEF OPERATING OFFICER | NA | |
| BAIROS, KAREN, MARIE | I | CHIEF OPERATING OFFICER | NA | |
| BAIROS, KAREN, MARIE | I | CHIEF OPERATING OFFICER | NA | |
| BAIROS, KAREN, MARIE | I | CHIEF OPERATING OFFICER | NA | |
| BAIROS, KAREN, MARIE | I | CHIEF OPERATING OFFICER | NA | |
| BAIROS, KAREN, MARIE | I | CHIEF OPERATING OFFICER | NA | |
| BAIROS, KAREN, MARIE | I | CHIEF OPERATING OFFICER | NA | |
| BAIROS, KAREN, MARIE | I | CHIEF OPERATING OFFICER | NA | |
| CHALFIN, DAVID | I | MANAGING DIRECTOR | NA | Control |
| CHALFIN, DAVID | I | MANAGING DIRECTOR | NA | Control |
| CHALFIN, DAVID | I | MANAGING DIRECTOR | NA | Control |
| CHALFIN, DAVID | I | MANAGING DIRECTOR | NA | Control |
| CHALFIN, DAVID | I | MANAGING DIRECTOR | NA | Control |
| CHALFIN, DAVID | I | CHIEF FINANCIAL OFFICER, MANAGING DIRECTOR | NA | Control |
| CHALFIN, DAVID, ALLAN | I | CHIEF FINANCIAL OFFICER, MANAGING DIRECTOR | NA | Control |
| CHALFIN, DAVID, ALLAN | I | CHIEF FINANCIAL OFFICER, MANAGING DIRECTOR | NA | Control |
| CHALFIN, DAVID, ALLAN | I | CHIEF FINANCIAL OFFICER, MANAGING DIRECTOR | NA | Control |
| CHALFIN, DAVID, ALLAN | I | CHIEF FINANCIAL OFFICER, MANAGING DIRECTOR | NA | Control |
| CHALFIN, DAVID, ALLAN | I | CHIEF FINANCIAL OFFICER, MANAGING DIRECTOR | NA | Control |
| CHALFIN, DAVID, ALLAN | I | CHIEF FINANCIAL OFFICER, MANAGING DIRECTOR | NA | Control |
| CHALFIN, DAVID, ALLAN | I | CHIEF FINANCIAL OFFICER, MANAGING DIRECTOR | NA | Control |
| CHALFIN, DAVID, ALLAN | I | CHIEF FINANCIAL OFFICER, MANAGING DIRECTOR | NA | Control |
| CHALFIN, DAVID, ALLAN | I | CHIEF FINANCIAL OFFICER, MANAGING DIRECTOR | NA | Control |
| CHALFIN, DAVID, ALLAN | I | CHIEF FINANCIAL OFFICER, MANAGING DIRECTOR | NA | Control |
| CHALFIN, DAVID, ALLAN | I | CHIEF FINANCIAL OFFICER, MANAGING DIRECTOR | NA | Control |
| CHALFIN, DAVID, ALLAN | I | CHIEF FINANCIAL OFFICER, MANAGING DIRECTOR | NA | Control |
| CHALFIN, DAVID, ALLAN | I | CHIEF FINANCIAL OFFICER, MANAGING DIRECTOR | NA | Control |
| CHALFIN, DAVID, ALLAN | I | CHIEF FINANCIAL OFFICER, MANAGING DIRECTOR | NA | Control |
| CHALFIN, DAVID, ALLAN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHALFIN, DAVID, ALLAN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHALFIN, DAVID, ALLAN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHALFIN, DAVID, ALLAN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHALFIN, DAVID, ALLAN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHALFIN, DAVID, ALLAN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHALFIN, DAVID, ALLAN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHALFIN, DAVID, ALLAN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHALFIN, DAVID, ALLAN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHALFIN, DAVID, ALLAN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHALFIN, DAVID, ALLAN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHALFIN, DAVID, ALLAN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHALFIN, DAVID, ALLAN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHALFIN, DAVID, ALLAN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHALFIN, DAVID, ALLAN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHOPRA, VIJAY, KUMAR | I | MANAGING DIRECTOR | NA | |
| CHOPRA, VIJAY, KUMAR | I | MANAGING DIRECTOR | NA | |
| CHOPRA, VIJAY, KUMAR | I | MANAGING DIRECTOR | NA | |
| GUARINO, DONALD, JOHN | I | MANAGING DIRECTOR | NA | Control |
| GUARINO, DONALD, JOHN | I | MANAGING DIRECTOR | NA | Control |
| GUARINO, DONALD, JOHN | I | MANAGING DIRECTOR | NA | Control |
| GUARINO, DONALD, JOHN | I | MANAGING DIRECTOR | NA | Control |
| GUARINO, DONALD, JOHN | I | MANAGING DIRECTOR | NA | Control |
| GUARINO, DONALD, JOHN | I | MANAGING DIRECTOR | NA | Control |
| GUARINO, DONALD, JOHN | I | MANAGING DIRECTOR | NA | Control |
| GUARINO, DONALD, JOHN | I | MANAGING DIRECTOR | NA | Control |
| GUARINO, DONALD, JOHN | I | MANAGING DIRECTOR | NA | Control |
| GUARINO, DONALD, JOHN | I | MANAGING DIRECTOR | NA | Control |
| GUARINO, DONALD, JOHN | I | MANAGING DIRECTOR | NA | Control |
| GUARINO, DONALD, JOHN | I | SHAREHOLDER | NA | |
| GUARINO, DONALD, JOHN | I | MANAGING DIRECTOR | NA | |
| GUARINO, DONALD, JOHN | I | MANAGING DIRECTOR | NA | |
| GUARINO, DONALD, JOHN | I | SHAREHOLDER | NA | |
| GUARINO, DONALD, JOHN | I | MANAGING DIRECTOR | NA | Control |
| GUARINO, DONALD, JOHN | I | MANAGING DIRECTOR | NA | |
| GUARINO, DONALD, JOHN | I | MANAGING DIRECTOR | NA | |
| GUARINO, DONALD, JOHN | I | MANAGING DIRECTOR | NA | Control |
| GUARINO, DONALD, JOHN | I | MANAGING DIRECTOR | NA | |
| GUARINO, DONALD, JOHN | I | SHAREHOLDER | NA | |
| GUARINO, DONALD, JOHN | I | SHAREHOLDER | NA | |
| GUARINO, DONALD, JOHN | I | SHAREHOLDER | NA | |
| GUARINO, DONALD, JOHN | I | SHAREHOLDER | NA | |
| GUARINO, DONALD, JOHN | I | SHAREHOLDER | NA | |
| GUARINO, DONALD, JOHN | I | SHAREHOLDER | NA | |
| GUARINO, DONALD, JOHN | I | SHAREHOLDER | NA | |
| GUARINO, DONALD, JOHN | I | SHAREHOLDER | NA | |
| GUARINO, DONALD, JOHN | I | SHAREHOLDER | NA | |
| GUARINO, DONALD, JOHN | I | SHAREHOLDER | NA | |
| GUARINO, DONALD, JOHN | I | SHAREHOLDER | NA | |
| GUARINO, DONALD, JOHN | I | SHAREHOLDER | NA | |
| HECKMAN, LEILA, B | I | MANAGING DIRECTOR | NA | |
| HECKMAN, LEILA, B | I | MANAGING DIRECTOR | NA | |
| HECKMAN, LEILA, B | I | MANAGING DIRECTOR | NA | |
| HSIA 2011 REVOCABLE TRUST | DE | SHAREHOLDER | NA | |
| HSIA 2011 REVOCABLE TRUST | DE | SHAREHOLDER | NA | |
| HSIA 2011 REVOCABLE TRUST | DE | SHAREHOLDER | NA | |
| HSIA 2011 REVOCABLE TRUST | DE | SHAREHOLDER | NA | |
| HSIA 2011 REVOCABLE TRUST | DE | SHAREHOLDER | NA | |
| HSIA 2011 REVOCABLE TRUST | DE | SHAREHOLDER | NA | |
| HSIA 2011 REVOCABLE TRUST | DE | SHAREHOLDER | NA | |
| HSIA 2011 REVOCABLE TRUST | DE | SHAREHOLDER | NA | |
| HSIA, SVEN, ERIK | I | CHIEF COMPLIANCE OFFICER MANAGING DIRECTOR | NA | Control |
| HSIA, SVEN, ERIK | I | CHIEF COMPLIANCE OFFICER MANAGING DIRECTOR | NA | Control |
| HSIA, SVEN, ERIK | I | MANAGING DIRECTOR | NA | Control |
| HSIA, SVEN, ERIK | I | MANAGING DIRECTOR | NA | Control |
| HSIA, SVEN, ERIK | I | MANAGING DIRECTOR | NA | Control |
| HSIA, SVEN, ERIK | I | MANAGING DIRECTOR | NA | Control |
| HSIA, SVEN, ERIK | I | CHIEF COMPLIANCE OFFICER MANAGING DIRECTOR | NA | Control |
| HSIA, SVEN, ERIK | I | MANAGING DIRECTOR | NA | Control |
| HSIA, SVEN, ERIK | I | CHIEF COMPLIANCE OFFICER MANAGING DIRECTOR | NA | Control |
| HSIA, SVEN, ERIK | I | CHIEF COMPLIANCE OFFICER MANAGING DIRECTOR | NA | Control |
| HSIA, SVEN, ERIK | I | CHIEF COMPLIANCE OFFICER MANAGING DIRECTOR | NA | Control |
| HSIA, SVEN, ERIK | I | SHAREHOLDER | NA | |
| HSIA, SVEN, ERIK | I | MANAGING DIRECTOR | NA | |
| HSIA, SVEN, ERIK | I | MANAGING DIRECTOR | NA | |
| HSIA, SVEN, ERIK | I | SHAREHOLDER | NA | |
| HSIA, SVEN, ERIK | I | MANAGING DIRECTOR | NA | Control |
| HSIA, SVEN, ERIK | I | MANAGING DIRECTOR | NA | |
| HSIA, SVEN, ERIK | I | MANAGING DIRECTOR | NA | |
| HSIA, SVEN, ERIK | I | MANAGING DIRECTOR | NA | Control |
| HSIA, SVEN, ERIK | I | MANAGING DIRECTOR | NA | |
| HSIA, SVEN, ERIK | I | SHAREHOLDER | NA | |
| HSIA, SVEN, ERIK | I | SHAREHOLDER | NA | |
| HSIA, SVEN, ERIK | I | SHAREHOLDER | NA | |
| HSIA, SVEN, ERIK | I | SHAREHOLDER | NA | |
| MEYER, ROBERT, LAWRENCE | I | MANAGING DIRECTOR | NA | Control |
| MEYER, ROBERT, LAWRENCE | I | MANAGING DIRECTOR | NA | Control |
| MEYER, ROBERT, LAWRENCE | I | MANAGING DIRECTOR | NA | Control |
| MEYER, ROBERT, LAWRENCE | I | MANAGING DIRECTOR | NA | Control |
| MEYER, ROBERT, LAWRENCE | I | MANAGING DIRECTOR | NA | Control |
| MEYER, ROBERT, LAWRENCE | I | MANAGING DIRECTOR | NA | Control |
| MEYER, ROBERT, LAWRENCE | I | SHAREHOLDER | NA | |
| MEYER, ROBERT, LAWRENCE | I | MANAGING DIRECTOR | NA | |
| MEYER, ROBERT, LAWRENCE | I | MANAGING DIRECTOR | NA | |
| MEYER, ROBERT, LAWRENCE | I | SHAREHOLDER | NA | |
| MEYER, ROBERT, LAWRENCE | I | MANAGING DIRECTOR | NA | Control |
| MEYER, ROBERT, LAWRENCE | I | MANAGING DIRECTOR | NA | |
| MEYER, ROBERT, LAWRENCE | I | MANAGING DIRECTOR | NA | |
| MEYER, ROBERT, LAWRENCE | I | MANAGING DIRECTOR | NA | Control |
| MEYER, ROBERT, LAWRENCE | I | MANAGING DIRECTOR | NA | |
| MEYER, ROBERT, LAWRENCE | I | SHAREHOLDER | NA | |
| MEYER, ROBERT, LAWRENCE | I | SHAREHOLDER | NA | |
| MEYER, ROBERT, LAWRENCE | I | SHAREHOLDER | NA | |
| MEYER, ROBERT, LAWRENCE | I | SHAREHOLDER | NA | |
| MEYER, ROBERT, LAWRENCE | I | SHAREHOLDER | NA | |
| MEYER, ROBERT, LAWRENCE | I | SHAREHOLDER | NA | |
| MEYER, ROBERT, LAWRENCE | I | SHAREHOLDER | NA | |
| MEYER, ROBERT, LAWRENCE | I | SHAREHOLDER | NA | |
| MEYER, ROBERT, LAWRENCE | I | SHAREHOLDER | NA | |
| MEYER, ROBERT, LAWRENCE | I | SHAREHOLDER | NA | |
| MEYER, ROBERT, LAWRENCE | I | SHAREHOLDER | NA | |
| MEYER, ROBERT, LAWRENCE | I | SHAREHOLDER | NA | |
| MULLIN, JOHN, JAMES | I | MANAGING DIRECTOR | NA | |
| MULLIN, JOHN, JAMES | I | MANAGING DIRECTOR | NA | |
| MULLIN, JOHN, JAMES | I | MANAGING DIRECTOR | NA | |
| NAKAMURA, LARRY, TRISTON | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| NAKAMURA, LARRY, TRISTON | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| NAKAMURA, LARRY, TRISTON | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| NAKAMURA, LARRY, TRISTON | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| NAKAMURA, LARRY, TRISTON | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| POTTER, HOWARD, STEVEN | I | MANAGING DIRECTOR | NA | |
| POTTER, HOWARD, STEVEN | I | MANAGING DIRECTOR | NA | |
| POTTER, HOWARD, STEVEN | I | MANAGING DIRECTOR | NA | |
| POTTER, HOWARD, STEVEN | I | MANAGING DIRECTOR | NA | |
| POTTER, HOWARD, STEVEN | I | MANAGING DIRECTOR | NA | |
| ROGERS, JAMES, CHRISTIAN | I | NATIONAL SALES MANAGER | NA | |
| ROGERS, JAMES, CHRISTIAN | I | NATIONAL SALES MANAGER | NA | |
| ROGERS, JAMES, CHRISTIAN | I | PRESIDENT | NA | Control |
| ROGERS, JAMES, CHRISTIAN | I | PRESIDENT | NA | Control |
| ROGERS, JAMES, CHRISTIAN | I | PRESIDENT | NA | Control |
| ROGERS, JAMES, CHRISTIAN | I | PRESIDENT | NA | Control |
| ROGERS, JAMES, CHRISTIAN | I | NATIONAL SALES MANAGER | NA | |
| ROGERS, JAMES, CHRISTIAN | I | MANAGING DIRECTOR | NA | Control |
| ROGERS, JAMES, CHRISTIAN | I | MANAGING DIRECTOR | NA | Control |
| ROGERS, JAMES, CHRISTIAN | I | NATIONAL SALES MANAGER | NA | |
| ROGERS, JAMES, CHRISTIAN | I | MANAGING DIRECTOR | NA | Control |
| ROGERS, JAMES, CHRISTIAN | I | PRESIDENT | NA | Control |
| ROGERS, JAMES, CHRISTIAN | I | PRESIDENT | NA | Control |
| ROGERS, JAMES, CHRISTIAN | I | PRESIDENT | NA | Control |
| ROGERS, JAMES, CHRISTIAN | I | PRESIDENT | NA | Control |
| ROGERS, JAMES, CHRISTIAN | I | PRESIDENT | NA | Control |
| ROGERS, JAMES, CHRISTIAN | I | PRESIDENT | NA | Control |
| ROGERS, JAMES, CHRISTIAN | I | PRESIDENT | NA | Control |
| ROGERS, JAMES, CHRISTIAN | I | PRESIDENT | NA | Control |
| ROGERS, JAMES, CHRISTIAN | I | PRESIDENT | NA | Control |
| ROGERS, JAMES, CHRISTIAN | I | PRESIDENT | NA | Control |
| ROGERS, JAMES, CHRISTIAN | I | PRESIDENT | NA | Control |
| ROGERS, JAMES, CHRISTIAN | I | PRESIDENT | NA | Control |
| ROGERS, JAMES, CHRISTIAN | I | PRESIDENT | NA | Control |
| ROOSEVELT, TWEED | I | MANAGING DIRECTOR | NA | Control |
| ROOSEVELT, TWEED | I | MANAGING DIRECTOR | NA | Control |
| ROOSEVELT, TWEED | I | MANAGING DIRECTOR | NA | Control |
| ROOSEVELT, TWEED | I | MANAGING DIRECTOR | NA | Control |
| ROOSEVELT, TWEED | I | MANAGING DIRECTOR | NA | Control |
| ROOSEVELT, TWEED | I | MANAGING DIRECTOR | NA | Control |
| ROOSEVELT, TWEED | I | MANAGING DIRECTOR | NA | Control |
| ROOSEVELT, TWEED | I | MANAGING DIRECTOR | NA | Control |
| ROOSEVELT, TWEED | I | MANAGING DIRECTOR | NA | Control |
| ROOSEVELT, TWEED | I | MANAGING DIRECTOR | NA | Control |
| ROOSEVELT, TWEED | I | MANAGING DIRECTOR | NA | Control |
| ROOSEVELT, TWEED | I | SHAREHOLDER | NA | |
| ROOSEVELT, TWEED | I | MANAGING DIRECTOR | NA | |
| ROOSEVELT, TWEED | I | MANAGING DIRECTOR | NA | |
| ROOSEVELT, TWEED | I | SHAREHOLDER | NA | |
| ROOSEVELT, TWEED | I | MANAGING DIRECTOR | NA | Control |
| ROOSEVELT, TWEED | I | MANAGING DIRECTOR | NA | |
| ROOSEVELT, TWEED | I | MANAGING DIRECTOR | NA | |
| ROOSEVELT, TWEED | I | MANAGING DIRECTOR | NA | Control |
| ROOSEVELT, TWEED | I | MANAGING DIRECTOR | NA | |
| ROOSEVELT, TWEED | I | SHAREHOLDER | NA | |
| ROOSEVELT, TWEED | I | SHAREHOLDER | NA | |
| ROOSEVELT, TWEED | I | SHAREHOLDER | NA | |
| ROOSEVELT, TWEED | I | SHAREHOLDER | NA | |
| ROOSEVELT, TWEED | I | SHAREHOLDER | NA | |
| ROOSEVELT, TWEED | I | SHAREHOLDER | NA | |
| ROOSEVELT, TWEED | I | SHAREHOLDER | NA | |
| ROOSEVELT, TWEED | I | SHAREHOLDER | NA | |
| ROOSEVELT, TWEED | I | SHAREHOLDER | NA | |
| ROOSEVELT, TWEED | I | SHAREHOLDER | NA | |
| ROOSEVELT, TWEED | I | SHAREHOLDER | NA | |
| ROOSEVELT, TWEED | I | SHAREHOLDER | NA | |
| ROSCOE, JOHN, SCOTT | I | CHIEF INVESTMENT OFFICER, SENIOR PORTFOLIO MANAGER | NA | |
| ROSCOE, JOHN, SCOTT | I | CHIEF INVESTMENT OFFICER, SENIOR PORTFOLIO MANAGER | NA | |
| ROSCOE, JOHN, SCOTT | I | CHIEF INVESTMENT OFFICER, SENIOR PORTFOLIO MANAGER | NA | |
| ROSCOE, JOHN, SCOTT | I | CHIEF INVESTMENT OFFICER, SENIOR PORTFOLIO MANAGER | NA | |
| ROSCOE, JOHN, SCOTT | I | CHIEF INVESTMENT OFFICER, SENIOR PORTFOLIO MANAGER | NA | |
| SHEER, ADAM | I | PRESIDENT | NA | Control |
| SHEER, ADAM | I | PRESIDENT | NA | Control |
| SHEER, ADAM | I | PRESIDENT | NA | Control |
| SHEER, ADAM | I | DIRECTOR OF MARKETING | NA | Control |
| SHEER, ADAM | I | PRESIDENT | NA | Control |
| SHEER, ADAM, JONATHAN | I | PRESIDENT | NA | Control |
| SHEER, ADAM, JONATHAN | I | PRESIDENT | NA | Control |
| SHEER, ADAM, JONATHAN | I | PRESIDENT | NA | Control |
| SHEER, ADAM, JONATHAN | I | PRESIDENT | NA | Control |
| SHEER, ADAM, JONATHAN | I | PRESIDENT | NA | Control |
| SHEER, ADAM, JONATHAN | I | PRESIDENT | NA | Control |
| SHEER, ADAM, JONATHAN | I | PRESIDENT | NA | Control |
| SHEER, ADAM, JONATHAN | I | CO-CEO | NA | Control |
| SHEER, ADAM, JONATHAN | I | CO-CEO | NA | Control |
| SHEER, ADAM, JONATHAN | I | CO-CEO | NA | Control |
| SHEER, ADAM, JONATHAN | I | CO-CEO | NA | Control |
| SHEER, ADAM, JONATHAN | I | PRESIDENT | NA | Control |
| SHEER, ADAM, JONATHAN | I | PRESIDENT | NA | Control |
| SHEER, ADAM, JONATHAN | I | PRESIDENT | NA | Control |
| SHEER, ADAM, JONATHAN | I | PRESIDENT | NA | Control |
| SHEER, ADAM, JONATHAN | I | PRESIDENT | NA | Control |
| SHEER, ADAM, JONATHAN | I | CO-CEO | NA | Control |
| SHEER, ADAM, JONATHAN | I | CO-CEO | NA | Control |
| SHEER, ADAM, JONATHAN | I | CO-CEO | NA | Control |
| SHEER, ADAM, JONATHAN | I | CO-CEO | NA | Control |
| SHEER, ADAM, JONATHAN | I | CO-CEO | NA | Control |
| SHEER, ADAM, JONATHAN | I | CO-CEO | NA | Control |
| SHEER, ADAM, JONATHAN | I | CO-CEO | NA | Control |
| SHEER, ADAM, JONATHAN | I | CO-CEO | NA | Control |
| SHEER, ADAM, JONATHAN | I | CO-CEO | NA | Control |
| SHEER, ADAM, JONATHAN | I | CO-CEO | NA | Control |
| SHEER, ADAM, JONATHAN | I | CO-CEO | NA | Control |
| SHEER, ADAM, JONATHAN | I | CO-CEO | NA | Control |
| SHEER, ADAM, JONATHAN | I | CO-CEO | NA | Control |
| SHEER, ADAM, JONATHAN | I | CO-CEO | NA | Control |
| SHEER, ADAM, JONATHAN | I | CO-CEO | NA | Control |
| SHEER, ADAM, JONATHAN | I | CO-CEO | NA | Control |
| SHEER, ADAM, JONATHAN | I | CO-CEO | NA | Control |
| SHEER, ADAM, JONATHAN | I | CO-CEO | NA | Control |
| SHEER, ADAM, JONATHAN | I | CO-CEO | NA | Control |
| SHEER, ADAM, JONATHAN | I | CO-CEO | NA | Control |
| SHEER, ADAM, JONATHAN | I | CO-CEO | NA | Control |
| SHEER, ADAM, JONATHAN | I | CO-CEO | NA | Control |
| SHEER, ADAM, JONATHAN | I | CO-CEO | NA | Control |
| SHEER, ADAM, JONATHAN | I | CO-CEO | NA | Control |
| SHEER, ADAM, JONATHAN | I | CO-CEO | NA | Control |
| SHEER, ARTHUR, HOWARD | I | CHAIRMAN | NA | Control |
| SHEER, ARTHUR, HOWARD | I | CHAIRMAN | NA | Control |
| SHEER, ARTHUR, HOWARD | I | CHAIRMAN | NA | Control |
| SHEER, ARTHUR, HOWARD | I | CHAIRMAN | NA | Control |
| SHEER, ARTHUR, HOWARD | I | CHAIRMAN | NA | Control |
| SHEER, ARTHUR, HOWARD | I | CHAIRMAN | NA | Control |
| SHEER, ARTHUR, HOWARD | I | CHAIRMAN | NA | Control |
| SHEER, ARTHUR, HOWARD | I | CHAIRMAN | NA | Control |
| SHEER, ARTHUR, HOWARD | I | CHAIRMAN | NA | Control |
| SHEER, BARBARA, A | I | DIRECTOR | NA | |
| SHEER, BARBARA, ANN | I | DIRECTOR | NA | |
| SHEER, BARBARA, ANN | I | DIRECTOR | NA | |
| SHEER, BARBARA, ANN | I | DIRECTOR | NA | |
| SHEER, BARBARA, ANN | I | DIRECTOR | NA | |
| SHEER, BARBARA, ANN | I | DIRECTOR | NA | |
| SHEER, BARBARA, ANN | I | DIRECTOR | NA | |
| SHEER, BARBARA, ANN | I | DIRECTOR | NA | |
| SHEER, BARBARA, ANN | I | DIRECTOR | NA | |
| SHEER, BARBARA, ANN | I | DIRECTOR | NA | |
| SHEER, BARBARA, ANN | I | DIRECTOR | NA | |
| SHEER, BARBARA, ANN | I | DIRECTOR | NA | |
| SHEER, BARBARA, ANN | I | DIRECTOR | NA | |
| SHEER, BARBARA, ANN | I | DIRECTOR | NA | |
| SHEER, DAVID | I | DIRECTOR | NA | Control |
| SHEER, DAVID | I | DIRECTOR | NA | Control |
| SHEER, DAVID | I | DIRECTOR | NA | Control |
| SHEER, DAVID | I | VICE PRESIDENT | NA | Control |
| SHEER, DAVID | I | DIRECTOR | NA | Control |
| SHEER, JASON, MICAH | I | ANALYST | NA | Control |
| SHEER, JASON, MICAH | I | ANALYST | NA | Control |
| SHEER, JASON, MICAH | I | ANALYST | NA | Control |
| SHEER, JASON, MICAH | I | ANALYST | NA | Control |
| SHEER, JASON, MICAH | I | ANALYST | NA | Control |
| SHEER, JASON, MICAH | I | ANALYST | NA | Control |
| SHEER, JASON, MICAH | I | SHAREHOLDER | NA | |
| SHEER, JASON, MICAH | I | SHAREHOLDER | NA | |
| SHEER, JASON, MICAH | I | ANALYST | NA | Control |
| SHEER, JASON, MICAH | I | ANALYST | NA | Control |
| SHEER, JASON, MICAH | I | SHAREHOLDER | NA | |
| SHEER, JASON, MICAH | I | SHAREHOLDER | NA | |
| SHEER, JASON, MICAH | I | SHAREHOLDER | NA | |
| SHEER, JASON, MICAH | I | SHAREHOLDER | NA | |
| SHEER, JASON, MICAH | I | SHAREHOLDER | NA | |
| SHEER, JASON, MICAH | I | SHAREHOLDER | NA | |
| SHEER, JASON, MICAH | I | SHAREHOLDER | NA | |
| SHEER, JASON, MICAH | I | SHAREHOLDER | NA | |
| SHEER, JASON, MICAH | I | SHAREHOLDER | NA | |
| SHEER, JASON, MICAH | I | SHAREHOLDER | NA | |
| SHEER, JASON, MICAH | I | SHAREHOLDER | NA | |
| SHEER, JASON, MICAH | I | SHAREHOLDER | NA | |
| SHEER, L., DAVID | I | CFO | NA | Control |
| SHEER, L., DAVID | I | CFO | NA | Control |
| SHEER, L., DAVID | I | CFO | NA | Control |
| SHEER, L., DAVID | I | CFO | NA | Control |
| SHEER, L., DAVID | I | CFO | NA | Control |
| SHEER, L., DAVID | I | CFO | NA | Control |
| SHEER, L., DAVID | I | CFO | NA | Control |
| SHEER, L., DAVID | I | CO-CEO | NA | Control |
| SHEER, L., DAVID | I | CHIEF FINANCIAL OFFICER, CO-CEO | NA | Control |
| SHEER, L., DAVID | I | CHIEF FINANCIAL OFFICER, CO-CEO | NA | Control |
| SHEER, L., DAVID | I | CO-CEO | NA | Control |
| SHEER, L., DAVID | I | CFO | NA | Control |
| SHEER, L., DAVID | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SHEER, L., DAVID | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SHEER, L., DAVID | I | CFO | NA | Control |
| SHEER, L., DAVID | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SHEER, L., DAVID | I | CO-CEO | NA | Control |
| SHEER, L., DAVID | I | CO-CEO | NA | Control |
| SHEER, L., DAVID | I | CO-CEO | NA | Control |
| SHEER, L., DAVID | I | CO-CEO | NA | Control |
| SHEER, L., DAVID | I | CO-CEO | NA | Control |
| SHEER, L., DAVID | I | CO-CEO | NA | Control |
| SHEER, L., DAVID | I | CO-CEO | NA | Control |
| SHEER, L., DAVID | I | CO-CEO | NA | Control |
| SHEER, L., DAVID | I | CO-CEO | NA | Control |
| SHEER, L., DAVID | I | CO-CEO | NA | Control |
| SHEER, L., DAVID | I | CO-CEO | NA | Control |
| SHEER, L., DAVID | I | CO-CEO | NA | Control |
| SHEER, L., DAVID | I | CO-CEO | NA | Control |
| SHEER, L., DAVID | I | CO-CEO | NA | Control |
| SHEER, L., DAVID | I | CO-CEO | NA | Control |
| SHEER, L., DAVID | I | CO-CEO | NA | Control |
| SHEER, L., DAVID | I | CO-CEO | NA | Control |
| SHEER, L., DAVID | I | CO-CEO | NA | Control |
| SHEER, L., DAVID | I | CO-CEO | NA | Control |
| SHEER, L., DAVID | I | CO-CEO | NA | Control |
| SHEER, L., DAVID | I | CO-CEO | NA | Control |
| SHEER, L., DAVID | I | CO-CEO | NA | Control |
| SHEER, L., DAVID | I | CO-CEO | NA | Control |
| SHEER, L., DAVID | I | CO-CEO | NA | Control |
| SHEER, L., DAVID | I | CO-CEO | NA | Control |
| SPEAR, BERNARD | I | MANAGING DIRECTOR | NA | Control |
| SPEAR, BERNARD | I | MANAGING DIRECTOR | NA | Control |
| SPEAR, BERNARD | I | MANAGING DIRECTOR | NA | Control |
| SPEAR, BERNARD | I | MANAGING DIRECTOR | NA | Control |
| SPEAR, BERNARD | I | MANAGING DIRECTOR | NA | Control |
| SPEAR, BERNARD | I | MANAGING DIRECTOR | NA | Control |
| SPEAR, BERNARD | I | MANAGING DIRECTOR | NA | Control |
| SPEAR, BERNARD | I | MANAGING DIRECTOR | NA | Control |
| SPEAR, BERNARD | I | MANAGING DIRECTOR | NA | Control |
| SPEAR, BERNARD | I | MANAGING DIRECTOR | NA | Control |
| SPEAR, BERNARD | I | MANAGING DIRECTOR | NA | Control |
| SPEAR, BERNARD | I | SHAREHOLDER | NA | |
| SPEAR, BERNARD | I | MANAGING DIRECTOR | NA | |
| SPEAR, BERNARD | I | MANAGING DIRECTOR | NA | |
| SPEAR, BERNARD | I | SHAREHOLDER | NA | |
| SPEAR, BERNARD | I | MANAGING DIRECTOR | NA | Control |
| SPEAR, BERNARD | I | MANAGING DIRECTOR | NA | |
| SPEAR, BERNARD | I | MANAGING DIRECTOR | NA | |
| SPEAR, BERNARD | I | MANAGING DIRECTOR | NA | Control |
| SPEAR, BERNARD | I | MANAGING DIRECTOR | NA | |
| SPEAR, BERNARD | I | SHAREHOLDER | NA | |
| SPEAR, BERNARD | I | SHAREHOLDER | NA | |
| SPEAR, BERNARD | I | SHAREHOLDER | NA | |
| SPEAR, BERNARD | I | SHAREHOLDER | NA | |
| SPEAR, BERNARD | I | SHAREHOLDER | NA | |
| SPEAR, BERNARD | I | SHAREHOLDER | NA | |
| SPEAR, BERNARD | I | SHAREHOLDER | NA | |
| SPEAR, BERNARD | I | SHAREHOLDER | NA | |
| SPEAR, BERNARD | I | SHAREHOLDER | NA | |
| SPEAR, BERNARD | I | SHAREHOLDER | NA | |
| SPEAR, BERNARD | I | SHAREHOLDER | NA | |
| SPEAR, BERNARD | I | SHAREHOLDER | NA | |
| WEISS, STEVEN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WEISS, STEVEN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WEISS, STEVEN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WEISS, STEVEN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WEISS, STEVEN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WEISS, STEVEN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WEISS, STEVEN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WEISS, STEVEN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WEISS, STEVEN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WEISS, STEVEN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WEISS, STEVEN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WEISS, STEVEN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WEISS, STEVEN | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| WEISS, STEVEN, KENNETH | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| WEISS, STEVEN, KENNETH | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| WEISS, STEVEN, KENNETH | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| WEISS, STEVEN, KENNETH | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| WEISS, STEVEN, KENNETH | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| WEISS, STEVEN, KENNETH | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| WEISS, STEVEN, KENNETH | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| WEISS, STEVEN, KENNETH | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| WEISS, STEVEN, KENNETH | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| WEISS, STEVEN, KENNETH | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| WEISS, STEVEN, KENNETH | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| WEISS, STEVEN, KENNETH | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| WEISS, STEVEN, KENNETH | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| WEISS, STEVEN, KENNETH | I | GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| WEISS, STEVEN, KENNETH | I | GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| WEISS, STEVEN, KENNETH | I | GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| WEISS, STEVEN, KENNETH | I | GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| WEISS, STEVEN, KENNETH | I | GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| WEISS, STEVEN, KENNETH | I | GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER | NA | Control |
| WEISS, STEVEN, KENNETH | I | GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| WEISS, STEVEN, KENNETH | I | GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER | NA | Control |
| WEISS, STEVEN, KENNETH | I | GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER | NA | Control |
| WEISS, STEVEN, KENNETH | I | GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER | NA | Control |
| WEISS, STEVEN, KENNETH | I | GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER | NA | Control |
| Weiss, Steven | I | GENERAL COUNSEL | NA | Control |
| Weiss, Steven | I | GENERAL COUNSEL | NA | Control |
| CI PRIVATE WEALTH, LLC | DE | OWNER & MANAGING MEMBER | E | Control |
| CI PRIVATE WEALTH, LLC | DE | OWNER & MANAGING MEMBER | E | Control |
| CI US HOLDINGS INC. | DE | OWNER & MANAGING MEMBER | E | Control |
| CI US HOLDINGS INC. | DE | OWNER & MANAGING MEMBER | E | Control |
| CI US HOLDINGS INC. | DE | OWNER & MANAGING MEMBER | E | Control |
| CI US HOLDINGS INC. | DE | OWNER & MANAGING MEMBER | E | Control |
| CI US HOLDINGS INC. | DE | OWNER & MANAGING MEMBER | E | Control |
| CI US HOLDINGS INC. | DE | OWNER & MANAGING MEMBER | E | Control |
| CI US HOLDINGS INC. | DE | OWNER & MANAGING MEMBER | E | Control |
| CI US HOLDINGS INC. | DE | OWNER & MANAGING MEMBER | E | Control |
| CI US HOLDINGS INC. | DE | OWNER & MANAGING MEMBER | E | Control |
| CI US HOLDINGS INC. | DE | OWNER & MANAGING MEMBER | E | Control |
| CORIENT PRIVATE WEALTH LLC | DE | OWNER & MANAGING MEMBER | E | Control |
| CORIENT PRIVATE WEALTH LLC | DE | OWNER & MANAGING MEMBER | E | Control |
| CORIENT PRIVATE WEALTH LLC | DE | OWNER & MANAGING MEMBER | E | Control |
| RIG HOLDINGS, INC. | DE | SOLE MEMBER | E | Control |
| SHEER, ARTHUR, HOWARD | I | CEO | E | Control |
| SHEER, ARTHUR, HOWARD | I | CEO | E | Control |
| SHEER, ARTHUR, HOWARD | I | CEO | E | Control |
| SHEER, ARTHUR, HOWARD | I | CEO | E | Control |
| SHEER, ARTHUR, HOWARD | I | CEO | E | Control |
| SHEER, ARTHUR, HOWARD | I | CEO | E | Control |
| SHEER, ARTHUR, HOWARD | I | CEO | E | Control |
| SHEER, ARTHUR, HOWARD | I | CEO | E | Control |
| SHEER, ARTHUR, HOWARD | I | CEO | E | Control |
| SHEER, ARTHUR, HOWARD | I | CEO | E | Control |
| SHEER, ARTHUR, HOWARD | I | CEO | E | Control |
| SHEER, ARTHUR, HOWARD | I | CEO | E | Control |
| SHEER, ARTHUR, HOWARD | I | CHAIRMAN AND CIO | E | Control |
| SHEER, ARTHUR, HOWARD | I | CHAIRMAN AND CIO | E | Control |
| SHEER, ARTHUR, HOWARD | I | CHAIRMAN AND CIO | E | Control |
| SHEER, ARTHUR, HOWARD | I | CHAIRMAN AND CIO | E | Control |
| SHEER, ARTHUR, HOWARD | I | CEO | E | Control |
| SHEER, ARTHUR, HOWARD | I | CHAIRMAN AND CEO | E | Control |
| SHEER, ARTHUR, HOWARD | I | CHAIRMAN AND CEO | E | Control |
| SHEER, ARTHUR, HOWARD | I | CEO | E | Control |
| SHEER, ARTHUR, HOWARD | I | CHAIRMAN AND CEO | E | Control |
| SHEER, ARTHUR, HOWARD | I | CHAIRMAN AND CIO | E | Control |
| SHEER, ARTHUR, HOWARD | I | CHAIRMAN AND CIO | E | Control |
| SHEER, ARTHUR, HOWARD | I | CHAIRMAN AND CIO | E | Control |
| SHEER, ARTHUR, HOWARD | I | CHAIRMAN AND CIO | E | Control |
| SHEER, ARTHUR, HOWARD | I | CHAIRMAN AND CIO | E | Control |
| SHEER, ARTHUR, HOWARD | I | CHAIRMAN AND CIO | E | Control |
| SHEER, ARTHUR, HOWARD | I | CHAIRMAN AND CIO | E | Control |
| SHEER, ARTHUR, HOWARD | I | CHAIRMAN AND CIO | E | Control |
| SHEER, ARTHUR, HOWARD | I | CHAIRMAN | E | Control |
| SHEER, ARTHUR, HOWARD | I | CHAIRMAN | E | Control |
| SHEER, ARTHUR, HOWARD | I | CHAIRMAN | E | Control |
| SHEER, ARTHUR, HOWARD | I | CHAIRMAN | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| CI FINANCIAL CORP. | FE | CI US HOLDINGS INC. | E | Control |
| CI FINANCIAL CORP. | FE | CI US HOLDINGS INC. | E | Control |
| CI FINANCIAL CORP. | FE | CI US HOLDINGS INC. | E | Control |
| CI FINANCIAL CORP. | FE | CI US HOLDINGS INC. | E | Control |
| CI FINANCIAL CORP. | FE | CI US HOLDINGS INC. | E | Control |
| CI FINANCIAL CORP. | FE | CI US HOLDINGS INC. | E | Control |
| CI FINANCIAL CORP. | FE | CI US HOLDINGS INC. | E | Control |
| CI FINANCIAL CORP. | FE | CI US HOLDINGS INC. | E | Control |
| CI FINANCIAL CORP. | FE | CI US HOLDINGS INC. | E | Control |
| CI FINANCIAL CORP. | FE | CI US HOLDINGS, INC. | E | Control |
| CI FINANCIAL CORP. | FE | CI US HOLDINGS INC. | E | Control |
| CI FINANCIAL CORP. | FE | CI US HOLDINGS, INC. | E | Control |
| CI FINANCIAL CORP. | FE | CORIENT HOLDINGS INC | E | Control |
| CI FINANCIAL CORP. | FE | CORIENT HOLDINGS INC | E | Control |
| CI FINANCIAL CORP. | FE | CORIENT HOLDINGS INC | E | Control |
| CI US HOLDINGS, INC. | DE | CIPW HOLDINGS, LLC | E | Control |
| CI US HOLDINGS, INC. | DE | CIPW HOLDINGS, LLC | E | Control |
| CIPW HOLDINGS, LLC | DE | CI PRIVATE WEALTH, LLC | E | Control |
| CIPW HOLDINGS, LLC | DE | CI PRIVATE WEALTH, LLC | E | Control |
| CORIENT HOLDINGS INC | DE | CORIENT MANAGEMENT LLC | E | Control |
| CORIENT HOLDINGS INC | DE | CORIENT MANAGEMENT LLC | E | Control |
| CORIENT HOLDINGS INC | DE | CORIENT MANAGEMENT LLC | E | Control |
| CORIENT MANAGEMENT LLC | DE | CORIENT PARTNERS LLC | E | Control |
| CORIENT MANAGEMENT LLC | DE | CORIENT PARTNERS LLC | E | Control |
| CORIENT MANAGEMENT LLC | DE | CORIENT PARTNERS LLC | E | Control |
| CORIENT PARTNERS LLC | DE | CORIENT PRIVATE WEALTH LLC | E | Control |
| CORIENT PARTNERS LLC | DE | CORIENT PRIVATE WEALTH LLC | E | Control |
| CORIENT PARTNERS LLC | DE | CORIENT PRIVATE WEALTH LLC | E | Control |
| Hsia, Ay-Whang, Ong | I | HSIA 2011 REVOCABLE TRUST | E | Control |
| Hsia, Ay-Whang, Ong | I | HSIA 2011 REVOCABLE TRUST | E | Control |
| Hsia, Ay-Whang, Ong | I | HSIA 2011 REVOCABLE TRUST | E | Control |
| Hsia, Ay-Whang, Ong | I | HSIA 2011 REVOCABLE TRUST | E | Control |
| Hsia, Ay-Whang, Ong | I | HSIA 2011 REVOCABLE TRUST | E | Control |
| Hsia, Ay-Whang, Ong | I | HSIA 2011 REVOCABLE TRUST | E | Control |
| Hsia, Ay-Whang, Ong | I | HSIA 2011 REVOCABLE TRUST | E | Control |
| SHEER, ARTHUR, HOWARD | I | RIG HOLDINGS, INC. | E | Control |
Registrations
Federal
IA
Jun 3, 2024 REGISTERED
Notice Filings (52)
AK AL AR AZ CA CO CT DC DE FL GA HI IA ID IL IN KS KY LA MA MD ME MI MN MO MS MT NC ND NE NH NJ NM NV NY OH OK OR PA PR RI SC SD TN TX UT VA VI VT WA WI WV
Address
101 PARK AVESUITE 3100
NEW YORK, NY 10178
United States
Phone: 646-452-6700