Roosevelt Capital Management

What Roosevelt Capital Management does

Roosevelt Capital Management (RCM) is a Dallas-based registered investment adviser that constructs and manages fixed income and equity portfolios on a separately managed account (SMA) basis for affluent and high-net-worth investors across the United States. The firm operates as an LLC registered in Texas, South Carolina, and Louisiana, co-founded and led by David Roosevelt and Michael O'Brien as Managing Members. Its flagship offering is the Short Duration High Yield Corporate Bond Strategy, benchmarked against the Markit iBoxx US Liquid High Yield 0-5 Year Index with a stated objective of outperformance of at least 150 basis points per annum net of fees. The strategy is supplemented by Corporate Bond, Municipal Bond, Cash Management, and Equity strategies, all delivered through portfolios of individual securities rather than pooled funds.

RCM's operational backbone is a proprietary web-based Trading and Portfolio Optimization Engine that enables systematic deployment of cash into individual bonds and substitution-based yield optimization across accounts and at the composite level. Investment decisions follow a deterministic, process-driven methodology grounded in probability and expected value, with execution emphasized as repeatable and independent of discretionary judgment. The firm maintains an independently GIPS-verified performance record (verified by ACA Performance Services for October 1, 2019 through December 31, 2021, with a composite inception of May 1, 2010).

RCM earns recurring management fees of 0.75% per annum, billed monthly in arrears, deducted directly from client accounts. Distribution combines direct HNW relationships with platform-mediated channels: since May 2022, RCM has been available as a Money Manager on the Schwab Managed Accounts Marketplace, and since March 2022, as an internal advisor on the SMArtX turnkey asset management platform. Marketing is anchored by monthly investment commentary, podcast features, and earned media, while back-office operations rely on Clearwater Analytics for portfolio reporting, RIA in a Box for compliance technology, and Goodwood Consulting for digital infrastructure.

Name

Roosevelt Capital Management

Legal name

Roosevelt Capital Management, LLC

Website

https://rooseveltcapitalmanagement.com

Company type

Private

Founded year

2010

Operating status

Operating

Headcount range

1–10 employees

Short description

Roosevelt Capital Management is a Dallas-based registered investment adviser that builds and manages fixed-income and equity separately managed accounts, anchored by its Short Duration High Yield Corporate Bond Strategy, for affluent and high-net-worth investors across the United States.

Ownership category

akta.pro rank

Product category

Fixed Income Investment Management

NAICS

Portfolio Management and Investment Advice (523940)

SIC

Finance Services (6199)

akta.pro primary industry

Emerging Markets Debt (Sovereign & Corporate) (FSAAAHAD)

akta.pro secondary industry

Treasury, Cash & Liquidity Management (Custody Cash) (FSAAAOAL)

Keywords

• Fixed income management
• High yield bonds
• Separately managed accounts
• Investment management services
• Portfolio optimization

Headquarters

HQ city

Dallas

HQ country

United States

HQ region

North America

Offices1 record

Markets served

GTM type

B2C

Offering type

Services

Cost components

Personnel, Technology or R&D, Operations, Marketing or Sales, Others

Revenue model

1. Investment Management Fees: RCM charges an investment management fee of 0.75% per annum paid monthly in arrears for the Short Duration High Yield Corporate Bond strategy. Fees are deducted from client accounts on a recurring basis.

Pricing tiers

Go-to-market motion1 record

Distribution channels3 records

Marketing channels4 records

Core offering

Roosevelt Capital Management is an investment management firm that builds fixed income portfolios of individual bonds for clients, primarily affluent and high-net-worth investors, through Separately Managed Accounts (SMAs). The flagship offering is the Short Duration High Yield Corporate Bond Strategy, supported by Corporate Bond, Municipal Bond, Cash Management, and Equity strategies designed to deliver income, liquidity, and balance-sheet-aligned behavior. RCM uses a proprietary Trading and Portfolio Optimization Engine to deploy capital and capture yield opportunities, and charges a 0.75% per annum management fee paid monthly in arrears.

Product overview

Roosevelt Capital Management (RCM) is an investment management firm offering fixed income strategies primarily through separately managed accounts (SMAs). The core product is the Short Duration High Yield Corporate Bond Strategy, complemented by Corporate Bond, Municipal Bond, Cash Management, and Equity strategies. RCM builds portfolios of individual bonds designed around specific client objectives including income, liquidity, and expected behavior relative to other parts of the balance sheet. The firm uses a proprietary trading and portfolio optimization engine to manage client portfolios. RCM is available on third-party platforms including the Schwab Managed Accounts Marketplace and SMArtX Advisory Solutions.

Differentiator

Problem solved

Functional benefit

Products and services

• Short Duration High Yield Corporate Bond Strategy RCM's primary fixed income strategy investing in short duration high yield corporate bonds with a defined-maturity ladder, targeting outperformance of the Markit iBoxx US Liquid High Yield 0-5 Year Index by at least 150 basis points annually net of fees. Delivered through Separately Managed Accounts for affluent and high-net-worth investors.
• Corporate Bond Strategy Investment strategy focusing on corporate bond portfolios constructed from individual bonds selected around specific client objectives including income and liquidity.
• Municipal Bond Strategy Investment strategy focusing on high-quality municipal bonds for tax-efficient income, often combined with other strategies within client portfolios.
• Cash Management Strategy Active management of US Treasuries for cash positioning, maximizing returns while taking no default risk, limited interest rate risk, and providing exceptional liquidity.
• Equity Strategy Equity investment strategy offered as part of RCM's broader investment approach and discussed in the context of long-term asset allocation.
• Separately Managed Accounts (SMAs) Account structure under which clients own individual bonds directly while RCM provides professional management, offering control, transparency, and individualized portfolio management for high-net-worth and affluent investors.

Segments1 record

Ideal customer profiles2 records

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Integration4 records

Feature1 record

Partnerships

Six partnerships are on record, tiered core and supporting.

• ACA Performance Services, LLCcoreImplementation/ SI/ Consulting Partner · 29 June 2022ACA Performance Services performed independent verification of RCM's claim of compliance with the Global Investment Performance Standards (GIPS) for the period of October 1, 2019 through December 31, 2021.
• Schwab Managed Accounts MarketplacecoreChannel Partner/ Reseller/ Distributor · 25 May 2022RCM became a Money Manager on the Schwab Managed Accounts Marketplace, making the Short Duration High Yield Corporate Bond Strategy available to the broader Schwab Advisor community. This expands distribution to Schwab's network of financial advisors.
• SMArtX Advisory SolutionscoreChannel Partner/ Reseller/ Distributor · 9 March 2022RCM became an internal advisor on the SMArtX turnkey asset management platform (TAMP). RCM is available on SMArtX as an investment manager option for advisors using the platform.
• Clearwater AnalyticssupportingTechnology or IntegrationClearwater Analytics provides best-in-class portfolio reporting and analytics infrastructure for RCM's investment operations.
• RIA in a BoxsupportingTechnology or IntegrationRIA in a Box provides compliance and regulatory technology infrastructure supporting RCM's operational needs.
• Goodwood ConsultingsupportingImplementation/ SI/ Consulting PartnerGoodwood Consulting provided web site development services for Roosevelt Capital Management.

Scale indicators1 record

Recent moves6 records

Expansion highlights5 records

Broad incumbents

• Western Asset Management: Major active fixed-income manager (part of Franklin Templeton) offering high yield, multi-sector, and short-duration strategies — relevant incumbent in the same short-duration HY segment as RCM.
• PIMCO: One of the world's largest active fixed-income managers, with extensive high yield and short-duration capabilities — broad incumbent competitor for advisor and institutional allocation.
• Nuveen (TIAA): Large global asset manager with significant high yield and multi-sector fixed-income product suites, distributed through advisor and institutional channels — incumbent competitor for short-duration HY allocations.
• Loomis Sayles: Established global fixed-income manager (part of Natixis) with significant high yield and multi-sector credit capability serving institutional and intermediary clients — comparable strategy, larger scale.
• DoubleLine Capital: Large, well-known active fixed-income manager (now backed by Apollo) with broad credit capabilities including high yield — relevant incumbent competitor in the same product category as RCM.

Direct peers

• Muzinich & Co. Specialist fixed-income and high yield credit manager serving institutional and intermediary clients globally; closely comparable in active credit philosophy and SMA/intermediary distribution mix.
• Angel Oak Capital Advisors: Independent investment manager focused on high yield and structured credit strategies, with separately managed accounts and pooled vehicles for advisor and institutional channels — directly comparable size and product niche to RCM.
• Tributary Capital Management: Smaller, employee-owned RIA focused on fixed income (including high yield and short-duration credit) for affluent and institutional clients — closely comparable to RCM in size and SMA-led approach.
• Penn Mutual Asset Management: Fixed-income oriented asset manager offering separately managed accounts and pooled strategies for advisors and institutions — comparable SMA-led distribution and fixed-income focus.
• Confluence Investment Management: Mid-sized, employee-owned RIA managing fixed income (including high yield) and equity strategies through SMAs for affluent and institutional clients — comparable in scale, structure, and product breadth.

Market position

Strengths4 records

Weaknesses4 records

Competitive moat4 records

Key risks4 records

Key highlights5 records

Customer concentration

• LinkedInlinkedin.com/company/roosevelt-capital-management

Compliance1 record

Revenue estimate

Valuation estimate

Number of profiles

Profiles2 records

Funding overview

Funding rounds

Investors

Funding detail is available on the Subscription and Enterprise plan.Contact sales →

M&A

Investments

M&A and investment is available on the Subscription and Enterprise plan.Contact sales →

Frequently asked questions about Roosevelt Capital Management