SEC-Registered Investment Adviser
Roundhill Investments
Legal name: Roundhill Financial INC.
Registration facts are from the firm's Form ADV Part 1A as published by the SEC, latest filing dated July 24, 2026. Figures are firm-level: they describe the advisory firm, not any single offering.
Registration
- Status
- Approved
- Registered since
- April 8, 2019
- Principal office
- 154 W 14th St., 2nd Floor, New York, NY 10011
- Organized as
- Corporation, DE
- Fiscal year end
- December
Scale
- Regulatory AUM
- $9.6B
- Accounts
- 45
- Clients
- 0
- Employees
- 13, 5 in advisory roles
- Funds with Form D records
- 1 issuer in AltStreet's ledger, $13.5M reported sold across them
Business, clients and compensation, as filed
- Advisory activities
- portfolio management for investment companies
- Compensated by
- a percentage of assets under management
- Client types
- investment companies (45)
- Also engaged as
- commodity pool operator or commodity trading advisor
Form ADV Item 11 disclosures
No yes answers on Item 11 as of the latest Form ADV (July 24, 2026). Item 11 covers the firm and its advisory affiliates.
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Source: SEC Form ADV via IARD (roster of October 6, 2026), matched to the platform by AltStreet analysts. Item 11 answers are as reported on the firm's Form ADV and cover the firm and its advisory affiliates; consult the firm's IAPD record for the Disclosure Reporting Pages. Brochure statements are the firm's own. Nothing on this page is investment advice.