ROUNDANGLE ADVISORS LLC
Adviser information for ROUNDANGLE ADVISORS LLC last updated from Form ADV on March 7th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 2 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 395 | $145.9M |
| Non-Discretionary | 3 | $8.7M |
| Total | 398 | $154.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 114 | $29.6M |
| HNW Individuals | 50 | $82.0M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 5 | $11.6M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 10 | $31.4M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesASSET MONITORING |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesSUBSCRIPTION FEES FOR FINANCIAL PLANNING |
| Other Business Activities | Insurance broker or agent |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 11.4M |
| Portfolio Manager | 11.4M |
| Both for Same | 11.4M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| ROUNDANGLE ADVISORS WRAP PROGRAM | ROUNDANGLE ADVISORS LLC |
Identifiers
| SEC RIA File Number | 801-107449 |
|---|---|
| SEC ERA File Number | 801-107449 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 282178 |
| Legal Entity Identifier | None |
Principal Office
1 HARDING ROADSUITE 206
RED BANK
NJ
United States
Monday - Friday, 8:30 AM TO 5:30 PM
Tel: 732-889-3774, Fax: None
Chief Compliance Officer
DEIRDRE DEROSA
SENIOR FINANCIAL PLANNER
1 HARDING ROAD
SUITE 206
RED BANK
NJ
United States
Tel:
732-889-3774
D******@*************M
(Full email address available in API data)
Regulatory Contact
JONATHAN BERNSTEIN
MANAGING PRINCIPAL
1 HARDING ROAD
SUITE 206
RED BANK
NJ
United States
Tel:
732-889-3774
J*********@*************M
(Full email address available in API data)
Industry Affiliates
| BERNSTEIN & BERNSTEIN CPAS, LLP | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BERNSTEIN, JONATHAN, EVAN | Individual | – | MANAGING MEMBER | 10/2015 | > 75% |
| DIAZ, MANUELA | Individual | – | CHIEF OPERATING OFFICER | 01/2017 | < 5% |
| DeRosa, Deirdre, Ann | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2023 | < 5% |