9AT: ROUNDHILL INVESTMENTS

Adviser Profile

As of Date	07/24/2026
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%
Number of Employees	13 160%
of those in investment advisory functions	5 25%
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

Client Types

- Investment companies

Advisory Activities

- Portfolio management for investment companies

Compensation Arrangments

- A percentage of assets under your management

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

Adviser	Hedge Fund	Liquidity Fund	Private Equity Fund	Real Estate Fund	Securitized Asset Fund	Venture Capital Fund	Other Fund	Total Private Fund GAV	AUM	#Funds
Adviser FLAT ROCK GLOBAL	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.6b	#Funds1
Adviser BLACK BAY PARTNERS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund428.1m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV428.1m	AUM830.1m	#Funds7
Adviser SPEYSIDE FUND ADVISERS LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM77.6m	#Funds-
Adviser VARIANT EQUITY ADVISORS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund338.4m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV338.4m	AUM338.4m	#Funds2
Adviser TRISPAN (USA) LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund1.1b	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV1.1b	AUM1.1b	#Funds24
Adviser LONG ARC CAPITAL LP	Hedge Fund-	Liquidity Fund-	Private Equity Fund850.9m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV850.9m	AUM866.8m	#Funds13
Adviser FINBACK INVESTMENT PARTNERS	Hedge Fund-	Liquidity Fund-	Private Equity Fund860.5m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV860.5m	AUM1.2b	#Funds12
Adviser OFF ROAD CAPITAL MANAGEMENT LLC	Hedge Fund30.8m	Liquidity Fund-	Private Equity Fund376.2m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV407.0m	AUM435.8m	#Funds20
Adviser GROWTH CATALYST PARTNERS, L.P.	Hedge Fund-	Liquidity Fund-	Private Equity Fund1.0b	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV1.0b	AUM1.0b	#Funds16
Adviser SEASIDE EQUITY PARTNERS	Hedge Fund-	Liquidity Fund-	Private Equity Fund1.4b	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV1.4b	AUM1.4b	#Funds9

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.

ROUNDHILL INVESTMENTS

ROUNDHILL INVESTMENTS

ROUNDHILL FINANCIAL INC.

ROUNDHILL FINANCIAL LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Form ADV-E Surprise Examination Reports

Similar advisers

Brochure Summary

Overview

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ROUNDHILL INVESTMENTS ROUNDHILL INVESTMENTS ROUNDHILL FINANCIAL INC. ROUNDHILL FINANCIAL LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Form ADV-E Surprise Examination Reports

Similar advisers

Brochure Summary

Overview

ROUNDHILL INVESTMENTS

ROUNDHILL INVESTMENTS

ROUNDHILL FINANCIAL INC.

ROUNDHILL FINANCIAL LLC