ROUNDHILL INVESTMENTS
ROUNDHILL FINANCIAL INC. Legal Name
Adviser information for ROUNDHILL INVESTMENTS last updated from Form ADV on March 31st, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 10 | $716.8M |
| Non-Discretionary | 0 | $0 |
| Total | 10 | $716.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 9 | $692.1M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1 | $24.6M |
| Pension and profit sharing plans | 0 | $0 |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-114971 |
|---|---|
| SEC ERA File Number | 801-114971 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 300799 |
| Legal Entity Identifier | None |
Principal Office
154 W 14TH ST.2ND FLOOR
NEW YORK
NY
United States
Monday - Friday, 9-5
Tel: 646-661-5441, Fax: None
Chief Compliance Officer
STEVEN LUDWIG
140 E. 45TH STREET
29TH FLOOR
NEW YORK
NY
United States
Tel:
(949) 637-9407
S************@************M
(Full email address available in API data)
Regulatory Contact
TIM MALONEY
CHIEF INVESTMENT OFFICER
306 EDGEWOOD AVE
MILL VALLEY
CA
United States
Tel:
917 536-3505
T*******@***********************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| ROUNDHILL SPV 1, LLC | Private Equity Fund | $24.6M | $0.3M | 39 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| Hershey, Will | Individual | – | CHIEF EXECUTIVE OFFICER | 09/2018 | 25-50% |
| MALONEY, TIMOTHY | Individual | – | CHIEF INVESTMENT OFFICER | 10/2018 | 25-50% |
| BITKRAFT ESPORTS VENTURES FUND I, L.P. | Foreign Entity | – | SHAREHOLDER | 05/2019 | 10-25% |
| HERSHEY, MARCIA, BARON | Individual | – | OWNER | 05/2019 | 5-10% |
| LUDWIG, STEVEN, CHARLES | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2023 | < 5% |