ROOSEVELT INVESTMENT GROUP INC

CIK

1020617

Location

New York, NY

Portfolio Value

Mid $1,349,677,574

Diversification

Diversified

Filing Date

Global Rank

#1,312 / 6,827 ▲ 41 · as of Sep 2022

Top Industry

Consumer Electronics 6.9%

Period ended 4 years ago

Filed Oct 19, 2022 · 4y

11 quarters · since Mar 2020

Regulatory profile

From Form ADV, the SEC filer profile, 13D/13G type codes and N-CEN, never from the name.

Holder type

Unknown

Portfolio style

Measured from the filed 13F common-share book for Sep 30, 2022, never from the firm's own description.

Style

Diversified active

Top 10 weight 35.9%, 45.6 effective positions, active share 64.2% against the S&P 500 as of 2022-09-30; it meets none of the index-like, systematic-like or concentrated tests

Turnover

Low turnover

25.1% over the last four quarters (under 30%)

Horizon

Horizon unknown

The value-weighted holding period is at least 9.5 quarters, but 72.5% of the book was already held when coverage starts

Closest benchmark: the S&P 500 as of 2022-09-30, active share 64.2%; sector active share 10.3% against the combined 13F book's sector weights.

Over time 11 measured quarters

How the bands are measured

Style bands measure the filed 13F common-share book each closed quarter, tested in this order. Unknown: under $10,000,000 of valued equity or 5 stocks. Index-like (100+ stocks): active share of 20% or less against the closest benchmark, which is the S&P 500, S&P MidCap 400, S&P SmallCap 600, Russell 1000, Russell 2000, Nasdaq-100 or Dow Jones Industrial Average (weighted by an index-tracking fund's reported holdings or the index's constituents nearest the quarter end, over the names resolved to companies, and only when those are 90%+ of its weight) or every 13F filer's combined book, or index series holding 80%+ of the registered fund assets it advises (N-CEN) and equal to 50%+ of its book. Systematic-like: 500+ stocks, 100%+ annual turnover and a top 10 weight of 25% or less. Concentrated: a top 10 weight of 60%+ or 12 or fewer effective positions. Diversified active: none of these. Turnover is the smaller of buys and sells over average equity value, summed over four quarters: low under 30%, high 100%+. Horizon is the value-weighted number of quarters each position has been held: short under 4, long 12+.

Clone Performance

Build a hypothetical price-return history from this filer's public 13F holdings.

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Portfolio Concentration

278 tracked positions · as of Sep 30, 2022 · Δ vs Jun 30, 2022

Top Position

6.0%

−0.5 pts

Top 5

24.0%

−1.2 pts

Top 10

35.9%

−1.4 pts

HHI

219

Diversified−11

Portfolio Trend

11 quarters · across all stocks

Sector Breakdown

As of Sep 30, 2022

Sector	% Portfolio	Value	Positions
Unclassified	21.0%	$283,803,922	60
Technology	18.2%	$245,989,212	14
Healthcare	12.0%	$162,157,696	21
Financial Services	11.6%	$156,815,676	40
Industrials	7.2%	$96,805,981	21
Consumer Cyclical	6.6%	$89,263,110	18
Utilities	5.8%	$77,966,514	17
Consumer Defensive	5.0%	$66,954,182	16
Real Estate	4.3%	$57,491,586	20
Communication Services	3.7%	$49,595,212	14
Energy	2.8%	$37,681,100	25
Basic Materials	1.9%	$25,153,383	12

Last Quarter's Activity

Export CSV

Sep 30, 2022 vs Jun 30, 2022

Added To

Positions the filer increased

25 positions

Ticker	Company	Δ Shares	Shares	Value
GOOGL	Alphabet Inc.	+369,540	388,848	$37,193,311
MDLZ	Mondelez International, Inc.	+264,846	270,548	$14,834,146
MRVL	Marvell Technology, Inc.	+86,577	419,858	$18,016,106
IEFA	iShares Core MSCI EAFE ETF	+41,703	1,457,420	$76,762,311
PLD	Prologis, Inc.	+38,720	214,057	$21,748,191
GOOG	Alphabet Inc.	+33,313	34,814	$3,347,366
TSLA	Tesla, Inc.	+33,062	34,640	$9,188,260
NVDA	Nvidia Corp	+24,411	111,002	$13,474,532
MCK	Mckesson Corp	+23,073	58,014	$19,717,218
XSOE	WisdomTree Emerging Markets ex-State-Owned Enterprises Fund	+16,852	687,972	$16,937,870
DIVB	BlackRock, Inc.	+14,287	769,294	$25,994,444
TMO	Thermo Fisher Scientific Inc.	+12,337	39,442	$20,004,587
BBCA	JPMorgan BetaBuilders Canada ETF	+11,377	347,951	$18,597,980
OWL	Blue Owl Capital Inc.	+9,916	41,033	$378,734
FDLO	Fidelity Low Volatility Factor ETF	+9,747	512,684	$21,527,601
INTC	Intel Corp	+9,230	85,227	$2,196,299
GSSC	Goldman Sachs ActiveBeta(R) U.S. Small Cap Equity ETF	+8,598	354,977	$17,933,438
KR	Kroger Co	+8,370	18,225	$797,343
PPL	PPL Corp	+7,100	15,500	$392,925
CE	Celanese Corp	+6,200	204,401	$18,465,586
VTV	VANGUARD VALUE INDEX FUND	+5,346	350,294	$43,254,303
MCHP	Microchip Technology Inc	+5,219	404,074	$24,660,636
CAH	Cardinal Health Inc	+5,000	11,000	$733,480
CXW	CoreCivic, Inc.	+5,000	15,000	$132,600
CG	Carlyle Group Inc.	+5,000	15,000	$387,600
No positions match the current search.

Trimmed

Positions the filer reduced

25 positions

Ticker	Company	Δ Shares	Shares	Value
—		−655,545	146,845	$10,000,000
DVN	Devon Energy Corp	−212,830	11,477	$690,112
—		−94,861	13,706	$1,494,000
LKQ	Lkq Corp	−22,440	9,371	$441,842
ARI	Apollo Commercial Real Estate Finance, Inc.	−8,749	11,554	$95,898
T	At&T Inc.	−7,123	69,490	$1,065,976
AMZN	Amazon Com Inc	−5,396	55,481	$6,269,353
QRTEA	QVC Group, Inc.	−4,823	39,958	$80,000
GSK	GSK plc	−4,503	10,628	$312,782
DOW	Dow Inc.	−3,942	29,234	$1,284,249
IP	International Paper Co	−3,428	20,603	$653,115
BP	Bp PLC	−2,670	10,783	$307,854
META	Meta Platforms, Inc.	−2,652	5,677	$770,255
AB	Alliancebernstein Holding L.P.	−2,135	14,250	$499,605
MMM	3M Co	−2,023	8,209	$907,094
—		−1,636	17,914	$206,011
OKE	Oneok Inc	−1,459	4,794	$245,644
AAPL	Apple Inc.	−1,409	530,032	$73,250,422
TCPC	BlackRock TCP Capital Corp.	−1,278	33,120	$362,001
DX	Dynex Capital Inc	−1,209	60,725	$707,446
SLQD	iShares 0-5 Year Investment Grade Corporate Bond ETF	−1,117	4,309	$204,246
CME	Cme Group Inc.	−1,097	6,529	$1,156,481
V	Visa Inc.	−1,080	52,196	$9,272,619
NRG	Nrg Energy, Inc.	−1,056	17,850	$683,119
FLRN	State Street(R) SPDR(R) Bloomberg Investment Grade Floating Rate ETF	−995	31,335	$949,450
No positions match the current search.

New Positions

Positions the filer opened this quarter

14 positions

Ticker	Company	Shares	Value
PYPL	PayPal Holdings, Inc.	194,974	$16,781,412
HRMY	Harmony Biosciences Holdings, Inc.	194,084	$8,595,980
BCBP	Bcb Bancorp Inc	40,193	$676,448
MS	Morgan Stanley	4,621	$365,105
PKW	Victory Portfolios II	3,261	$242,031
CCJ	Cameco Corp	8,678	$230,053
MOAT	VanEck Morningstar Wide Moat ETF	3,500	$209,965
HIBS	Direxion Daily S&P 500 High Beta Bear 3X Shares	16,744	$197,746
MAT	Mattel Inc	10,000	$189,400
LUMN	Lumen Technologies, Inc.	15,819	$115,162
HLN	Haleon plc	12,861	$78,323
MITT	TPG Mortgage Investment Trust, Inc.	13,948	$57,326
RSPT	Victory Portfolios II	1,600	$36,225
—		3,000	$0
No positions match the current search.

Sold Out

Positions the filer fully exited

10 positions

Ticker	Company	Shares	Value
TXN	Texas Instruments Inc	2,074	$318,670
ARLP	Alliance Resource Partners LP	16,764	$305,607
DEM	WisdomTree Emerging Markets High Dividend Fund	8,133	$301,164
ZUMZ	Zumiez Inc	8,460	$219,960
GS	Goldman Sachs Group Inc	733	$217,715
ED	Consolidated Edison Inc	2,222	$211,312
—		8,875	$208,207
SKT	Tanger Inc.	10,353	$147,219
NLY	Annaly Capital Management Inc	20,749	$122,626
JQC	Nuveen Credit Strategies Income Fund	10,633	$55,291
No positions match the current search.

Portfolio Positions

Compact Export CSV View 13F filing

278 tracked positions · $1,349,677,574 total · filing declares 288 positions · $1,389,688,000 · as of Sep 30, 2022

All sectors Basic Materials Communication Services Consumer Cyclical Consumer Defensive Energy Financial Services Healthcare Industrials Real Estate Technology Utilities

Showing 1–50 of 278 positions by value · page 1 of 6

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	Held (qtrs)	Est. cost/share	% of Portfolio
IEFA	iShares Core MSCI EAFE ETF	Added	1,457,420	+41,703	$76,762,311	−7.9%	11+	before history	5.69%
AAPL	Apple Inc. Technology	Reduced	530,032	-1,409	$73,250,422	+0.8%	11+	before history	5.43%
MSFT	Microsoft Corp Technology	Added	256,189	+195	$59,666,418	−9.2%	11+	before history	4.42%
BRK-B	Berkshire Hathaway Inc Financial Services	Added	177,412	+1,481	$47,372,552	−1.4%	11+	before history	3.51%
VTV	VANGUARD VALUE INDEX FUND	Added	350,294	+5,346	$43,254,303	−4.9%	11+	before history	3.20%
GOOGL	Alphabet Inc. Communication Services	Added	388,848	+369,540	$37,193,311	−11.6%	11+	before history	2.76%
UNH	Unitedhealth Group Inc Healthcare	Added	66,381	+1,036	$33,525,060	−0.1%	11+	before history	2.48%
VRTX	Vertex Pharmaceuticals Inc Healthcare	Added	100,744	+1,500	$29,169,417	+4.3%	11+	before history	2.16%
ODFL	Old Dominion Freight Line, Inc. Industrials	Reduced	117,237	-258	$29,165,048	−3.1%	11+	before history	2.16%
CEG	Constellation Energy Corp Utilities	Added	338,065	+974	$28,123,627	+45.7%	3	$48.86	2.08%
NEE	Nextera Energy Inc Utilities	Added	355,266	+3,744	$27,856,407	+2.3%	11+	before history	2.06%
KEYS	Keysight Technologies, Inc. Technology	Reduced	176,708	-805	$27,806,770	+13.6%	11+	before history	2.06%
STZ	Constellation Brands, Inc. Consumer Defensive	Added	118,692	+868	$27,261,178	−0.7%	11+	before history	2.02%
DIVB	BlackRock, Inc. Financial Services	Added	769,294	+14,287	$25,994,444	−5.1%	11+	before history	1.93%
MCHP	Microchip Technology Inc Technology	Added	404,074	+5,219	$24,660,636	+6.5%	11+	before history	1.83%
AZO	Autozone Inc Consumer Cyclical	Added	10,719	+495	$22,959,346	+4.5%	3	$2,023.28	1.70%
HD	Home Depot, Inc. Consumer Cyclical	Added	80,997	+504	$22,350,312	+1.2%	11+	before history	1.66%
PLD	Prologis, Inc. Real Estate	Added	214,057	+38,720	$21,748,191	+5.4%	11+	before history	1.61%
FDLO	Fidelity Low Volatility Factor ETF	Added	512,684	+9,747	$21,527,601	−4.0%	11+	before history	1.60%
CCI	Crown Castle Inc. Real Estate	Added	142,347	+816	$20,576,258	−13.7%	11+	before history	1.52%
		Reduced	153,441	-29	$20,032,000	−9.5%	11+	before history	1.48%
TMO	Thermo Fisher Scientific Inc. Healthcare	Added	39,442	+12,337	$20,004,587	+35.8%	11+	before history	1.48%
MCK	Mckesson Corp Healthcare	Added	58,014	+23,073	$19,717,218	+73.0%	3	$315.14	1.46%
ENPH	Enphase Energy, Inc. Technology	Added	71,034	+1,929	$19,709,803	+46.1%	3	$160.60	1.46%
ROST	Ross Stores, Inc. Consumer Cyclical	Added	233,202	+13	$19,651,932	+20.0%	11+	before history	1.46%
BBCA	JPMorgan BetaBuilders Canada ETF	Added	347,951	+11,377	$18,597,980	−5.9%	6	unpriced	1.38%
CE	Celanese Corp Basic Materials	Added	204,401	+6,200	$18,465,586	−20.8%	9	$129.91	1.37%
MRVL	Marvell Technology, Inc. Technology	Added	419,858	+86,577	$18,016,106	+24.2%	6	$49.06	1.33%
GSSC	Goldman Sachs ActiveBeta(R) U.S. Small Cap Equity ETF	Added	354,977	+8,598	$17,933,438	−1.4%	11+	before history	1.33%
XSOE	WisdomTree Emerging Markets ex-State-Owned Enterprises Fund	Added	687,972	+16,852	$16,937,870	−12.0%	11+	before history	1.25%
		Added	91,404	+3,040	$16,850,000	+13.9%	3	unpriced	1.25%
PYPL	PayPal Holdings, Inc. Financial Services	NEW	194,974	NEW	$16,781,412	NEW	1	$88.67	1.24%
MA	Mastercard Inc Financial Services	Added	58,907	+839	$16,749,616	−8.6%	11+	before history	1.24%
CARR	CARRIER GLOBAL Corp Industrials	Added	464,756	+1,692	$16,526,723	+0.1%	10	$24.04	1.22%
UNP	Union Pacific Corp Industrials	Reduced	84,377	-162	$16,438,327	−8.8%	11+	before history	1.22%
SPGI	S&P Global Inc. Financial Services	Reduced	48,684	-238	$14,865,657	−9.8%	11+	before history	1.10%
MDLZ	Mondelez International, Inc. Consumer Defensive	Added	270,548	+264,846	$14,834,146	+4090.0%	11+	before history	1.10%
LLY	ELI LILLY & Co Healthcare	Held	42,114	0	$13,617,561	−0.3%	11+	before history	1.01%
NVDA	Nvidia Corp Technology	Added	111,002	+24,411	$13,474,532	+2.7%	11+	before history	1.00%
SYK	Stryker Corp Healthcare	Added	60,389	+425	$12,231,188	+2.5%	11+	before history	0.91%
VOO	VANGUARD 500 INDEX FUND	Added	33,754	+1,343	$11,081,438	−1.4%	11+	before history	0.82%
CVX	Chevron Corp Energy	Added	71,693	+2,935	$10,300,133	+3.5%	9	$138.02	0.76%
		Reduced	146,845	-655,545	$10,000,000	−61.0%	4	unpriced	0.74%
V	Visa Inc. Financial Services	Reduced	52,196	-1,080	$9,272,619	−11.6%	11+	before history	0.69%
TSLA	Tesla, Inc. Consumer Cyclical	Added	34,640	+33,062	$9,188,260	+764.7%	10	unpriced	0.68%
HRMY	Harmony Biosciences Holdings, Inc. Healthcare	NEW	194,084	NEW	$8,595,980	NEW	1	$48.78	0.64%
OXY	Occidental Petroleum Corp Energy	Added	120,500	+2,582	$7,404,725	+6.7%	4	$43.79	0.55%
AMZN	Amazon Com Inc Consumer Cyclical	Reduced	55,481	-5,396	$6,269,353	−3.0%	11+	before history	0.46%
XIFR	XPLR Infrastructure, LP Utilities	Reduced	86,467	-67	$6,252,428	−2.6%	11+	before history	0.46%
VO	VANGUARD MID-CAP INDEX FUND	Added	33,213	+607	$6,243,379	−2.8%	4	unpriced	0.46%

Showing the top 50 of 278 positions. Create a free account to see every position, past quarters, search, filters and CSV export.

Covers the securities this platform tracks: U.S.-listed common stock and the put/call positions reported on it. A 13F can also report security types outside that coverage — preferred shares, bonds, warrants, untracked share classes — so the filing's own declared total can exceed the figures above. The source filing is linked at the top of this table.