9AT: ROUNDHILL INVESTMENTS

ROUNDHILL INVESTMENTS

other names

ROUNDHILL INVESTMENTS
ROUNDHILL FINANCIAL INC.
ROUNDHILL FINANCIAL LLC

Adviser Profile

As of Date	02/27/2026
Registration	SEC, Approved, 04/08/2019
ADV Location	NEW YORK, NY, United States
Contact Info	646 xxxxxxx
Websites

AUM^*	9,586,795,259 1237%
of that, discretionary	9,586,795,259 1237%
Private Fund GAV^*	0
Avg Account Size	213,039,895 197%
SMA’s	No
Private Funds	0 1

Adviser Type

- Large advisory firm
- An investment adviser (or subadviser) to an investment company

Number of Employees 13 160%

of those in investment advisory functions 5 25%

Client Types

- Investment companies

Advisory Activities

- Portfolio management for investment companies

Compensation Arrangments

- A percentage of assets under your management

Reported AUM

10B 8B 7B 5B 4B 3B 1B

2019 2020 2021 2022 2023 2024 2025 2026

Discretionary

Non-discretionary

Private Funds

GAV Count

Employees

Form ADV-E Surprise Examination Reports

Accounting Firm Name	Filing Date	Form ADV-E
Accounting Firm Name COHEN & COMPANY	Filing Date05/08/2024	Form ADV-E View Report
Accounting Firm Name COHEN & COMPANY	Filing Date12/20/2023	Form ADV-E View Report
Accounting Firm Name COHEN & COMPANY, LTD	Filing Date04/27/2023	Form ADV-E View Report

Brochure Summary

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.