ROUNDVIEW CAPITAL, LLC
Adviser information for ROUNDVIEW CAPITAL, LLC last updated from Form ADV on March 22nd, 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 | 12 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| 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 | 1,427 | $1.3B |
| Non-Discretionary | 176 | $108.8M |
| Total | 1,603 | $1.4B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 172 | $44.1M |
| HNW Individuals | 303 | $1.2B |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 9 | $14.7M |
| Charitable organizations | 10 | $64.1M |
| State or municipal gov entities | <5 | $0 |
| Other investment advisers | <5 | $0 |
| Insurance companies | <5 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $0 |
| Corporations or other businesses | <5 | $38.7M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 2 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPension consulting services |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-69519 |
|---|---|
| SEC ERA File Number | 801-69519 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 148083 |
| Legal Entity Identifier | None |
Principal Office
182 NASSAU STREETSUITE 201
PRINCETON
NJ
United States
Monday - Friday, 8:00AM TO 5:00PM
Tel: 609-688-9500, Fax: 609-688-9300
Websites
Chief Compliance Officer
CHRISTINA KEDDIE
CHIEF COMPLIANCE OFFICER
182 NASSAU STREET
SUITE 201
PRINCETON
NJ
United States
Tel:
609 688 9500
Fax:
609 688 9300
C********@*******************M
(Full email address available in API data)
Regulatory Contact
JANET CHEN
CHIEF FINANCIAL OFFICER
182 NASSAU STREET
SUITE 201
PRINCETON
NJ
United States
Tel:
609 688 9500
Fax:
609 688 9300
J****@*******************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| ROUNDVIEW CAPITAL PARTNERS SERIES FUND LLC - SERIES LXR | Real Estate Fund | $0.1M | $0.1M | 21 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ALTER, HOWARD, TODD | Individual | – | MANAGING PARTNER | 04/2008 | 25-50% |
| SHUEH, STEPHEN, KAI-JEN | Individual | – | MANAGING PARTNER | 04/2008 | 25-50% |
| CHEN, JANET, GARFAI | Individual | – | CHIEF FINANCIAL OFFICER | 08/2008 | < 5% |
| WALLACK, MATTHEW, DOUGLAS | Individual | – | CHIEF INVESTMENT OFFICER | 01/2014 | < 5% |
| LIEU, ANDREW, SHI-YI | Individual | – | PARTNER | 01/2020 | 10-25% |
| KEDDIE, CHRISTINA, SIM | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2023 | < 5% |