Michael P. O'brien

ROOSEVELT CAPITAL MANAGEMENT LLC

Dallas, TX 75225

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CRD#: 7161716

Professional summary

Michael Patrick O'brien is a registered financial advisor currently at ROOSEVELT CAPITAL MANAGEMENT LLC located in Dallas, Texas.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Michael has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Patrick O'brien's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

September 25, 2019 - Present

ROOSEVELT CAPITAL MANAGEMENT LLC

Office #1: 5956 Sherry Lane Suite 1650, Dallas, TX 75225

RIA

CRD#: 283217

Dallas, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ROOSEVELT CAPITAL MANAGEMENT LLC

ROOSEVELT CAPITAL MANAGEMENT LLC | WHITE LAKE CAPITAL MANAGEMENT LLC

CRD#: 283217 / SEC#: 801-127033

RIA

Registered Investment Advisory firm - (1/19/2023 Approved)

Louisiana

Registered Investment Advisory firm - (2/10/2023 Terminated)

South Carolina

Registered Investment Advisory firm - (2/3/2023 Terminated)

Texas

Registered Investment Advisory firm - (2/3/2023 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(9/25/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/25/2019

Uniform Investment Adviser Law Examination

Current Firm

ROOSEVELT CAPITAL MANAGEMENT LLC

ROOSEVELT CAPITAL MANAGEMENT LLC | WHITE LAKE CAPITAL MANAGEMENT LLC

CRD#: 283217 / SEC#: 801-127033

RIA

Registered Investment Advisory firm - (1/19/2023 Approved)

Louisiana

Registered Investment Advisory firm - (2/10/2023 Terminated)

South Carolina

Registered Investment Advisory firm - (2/3/2023 Terminated)

Texas

Registered Investment Advisory firm - (2/3/2023 Terminated)

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Contact information

Main Address

5956 Sherry Lane Suite 1650, Dallas, TX 75225

Mailing Address

Phone number

(214) 871-2666

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A-ROOSEVELT CAPITAL MANAGEMENT LLC (7/23/2025)

Regulatory assets under management

Total Number of Accounts	64
AUM (Assets Under Management)	$ 1,306,692,561

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Michael P. O'brien

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Patrick O'brien's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROOSEVELT CAPITAL MANAGEMENT LLC

Primary Firm SEC Registration

ROOSEVELT CAPITAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/25/2019

Current Firm

ROOSEVELT CAPITAL MANAGEMENT LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ROOSEVELT CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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