Overview
Roundhill Financial Inc. (“Roundhill”, “Roundhill Investments”, “Adviser” or the “Firm”) is a
registered investment adviser with Securities and Exchange Commission (“SEC”) that operates as
a privately held corporation and has provided investment advisory services since April 8, 2019.
Roundhill’s principal owners and co-founders William Hershey and Timothy Maloney. As of April
8th, 2024, David Mazze serves as Chief Executive Officer.
Roundhill acts as the Adviser exchange-traded-funds (“ETFs. Roundhill also acts as investment
manager and general partner to Roundhill SPV 1, LLC (the “Private Fund”), a Delaware limited
liability company that operates under exemption from registration under the Securities Exchange
Act of 1933.
Roundhill’s clients include registered investment companies and a private commingled vehicle
exempt
from registration under the Securities Exchange Act of 1933. Roundhill provides advisory
services to its clients in accordance with each client’s investment objectives, guidelines and
restrictions, as set forth in their respective offering documents, registration documents and
operation agreements. As Roundhill currently does not have any individual or natural person
clients, it does not tailor its investment advice to an individual’s particular needs or restrictions.
Roundhill currently does not provide investment advisory services through any wrap fee programs.
As of December 31, 2023, Roundhill provides investment advisory services for $716,786,124 in
client assets on a discretionary basis. Roundhill does not manage any assets to which it provides
advisory services on a non-discretionary basis.