ROUNDHILL INVESTMENTS

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Adviser Profile
As of Date 04/29/2024
Adviser Type - Large advisory firm
- An investment adviser (or subadviser) to an investment company
Number of Employees 5 -37.50%
of those in investment advisory functions 4 -20.00%
Registration SEC, Approved, 04/08/2019
AUM* 716,786,124 31.02%
of that, discretionary 716,786,124 31.02%
Private Fund GAV* 24,640,442 -0.01%
Avg Account Size 71,678,612 4.82%
SMA’s No
Private Funds 1
Contact Info 646 xxxxxxx
Websites

Client Types

- Investment companies
- Pooled investment vehicles

Advisory Activities

- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles

Compensation Arrangments

- A percentage of assets under your management
- Performance-based fees

Recent News

Reported AUM

Discretionary
Non-discretionary
1B 1B 955M 764M 573M 382M 191M
2019 2020 2021 2022 2023

Private Funds



Employees

Private Funds Structure

Fund Type Count GAV
Fund TypePrivate Equity Fund Count1 GAV$24,640,442

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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.