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ROUNDHILL INVESTMENTS
Legal name: ROUNDHILL FINANCIAL INC.
CRD 300799File 801-114971
APPROVED
Filing as of Jul 24, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$9.59B
Top 10% of cohort (national)
Discretionary AUM
$9.59B
Clients
45
45 accounts
Employees
13
Top 25% of cohort in NY
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Apr 8, 2019
- Principal office
- 154 W 14TH ST., 2ND FLOOR, NEW YORK, NY, 10011
- Phone
- 646-661-5441
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $9.59B
- Discretionary AUM
- $9.59B
- Non-discretionary AUM
- $0
- Discretionary accounts
- 45
- Non-discretionary accounts
- 0
- Total accounts
- 45
- AUM per client
- $213.0M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Investment companies | 45 | $9.59B |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Portfolio management for investment companies
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Mar 1, 2026 | Employees | 8 | 13 | increased by5 |
| Mar 1, 2026 | Clients | 15 | 45 | increased by30 |
| Mar 1, 2026 | AUM | $3,789,815,282 | $9,586,795,259 | increased by$5,796,979,977 |
| Mar 1, 2026 | Accounts | 15 | 45 | increased by30 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 6 | 8 | increased by2 |
| May 1, 2025 vs Oct 1, 2022 | Custody | Yes | No | |
| May 1, 2025 vs Oct 1, 2022 | Clients | 8 | 15 | increased by7 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $1,336,350,088 | $3,789,815,282 | increased by$2,453,465,194 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 8 | 15 | increased by7 |
| Apr 1, 2022 | Employees | 4 | 6 | increased by2 |
| Apr 1, 2022 | Clients | 3 | 8 | increased by5 |
| Apr 1, 2022 | AUM | $293,107,975 | $1,336,350,088 | increased by$1,043,242,113 |
| Apr 1, 2022 | Accounts | 3 | 8 | increased by5 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “ROUNDHILL INVESTMENTS” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“ROUNDHILL INVESTMENTS” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.