9AT: ROUND HILL ASSET MANAGEMENT INC

other names

ROUND HILL ASSET MANAGEMENT INC

Adviser Profile

As of Date	03/28/2025
Adviser Type - Large advisory firm
Number of Employees	6 -14%
of those in investment advisory functions	3 -25%
Registration	SEC, Approved, 05/15/1986

AUM^*	273,032,432 -3%
of that, discretionary	273,032,432 -3%
Private Fund GAV^*	53,481,154 0%
Avg Account Size	1,378,952 25%
% High Net Worth	37.88% 31%
SMA’s	Yes
Private Funds	1
Contact Info	626 xxxxxxx
Websites

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Pooled investment vehicles
- Pension and profit sharing plans

Advisory Activities

- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses

Compensation Arrangments

- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Performance-based fees

Fund Type	Count	GAV
Fund TypeHedge Fund	Count1	GAV$53,481,154

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 OPEN DOOR INVESTMENT MANAGEMENT LTD.	Hedge Fund152.1m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV152.1m	AUM152.1m	#Funds3
Adviser ATEGRA CAPITAL MANAGEMENT, LLC	Hedge Fund153.1m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV153.1m	AUM153.1m	#Funds2
Adviser VENATOR MANAGEMENT LLC	Hedge Fund184.3m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV184.3m	AUM428.5m	#Funds1
Adviser ADW CAPITAL MANAGEMENT LLC	Hedge Fund405.5m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV405.5m	AUM405.5m	#Funds2
Adviser LINEAR B PARTNERS LP	Hedge Fund1.2b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV1.2b	AUM1.2b	#Funds2
Adviser REGENTS PARTNERS, LLC	Hedge Fund61.8m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV61.8m	AUM165.5m	#Funds8
Adviser ACUTA CAPITAL PARTNERS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM154.3m	#Funds-
Adviser NANTUCKET MULTI MANAGERS, LLC	Hedge Fund317.2m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV317.2m	AUM244.3m	#Funds3
Adviser DIVISADERO STREET CAPITAL MANAGEMENT, LP	Hedge Fund930.2m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV930.2m	AUM1.1b	#Funds2
Adviser STONE RUN CAPITAL, LLC	Hedge Fund208.6m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV208.6m	AUM335.0m	#Funds2

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker031162100	Stock NameAMGEN INC	$ Position$11,935,085	% Position8.00%	$ Change1.00%	# Change0.00%
Stck Ticker78409V104	Stock NameS&P GLOBAL INC	$ Position$12,282,614	% Position8.00%	$ Change-14.00%	# Change-7.00%
Stck Ticker254687106	Stock NameWALT DISNEY CO	$ Position$9,390,832	% Position6.00%	$ Change-8.00%	# Change0.00%
Stck Ticker631103108	Stock NameNASDAQ INC	$ Position$7,856,748	% Position5.00%	$ Change-2.00%	# Change-1.00%
Stck Ticker20030N101	Stock NameCOMCAST CORP-CLASS A	$ Position$8,033,183	% Position5.00%	$ Change-10.00%	# Change2.00%
Stck Ticker58933Y105	Stock NameMERCK & CO. INC.	$ Position$6,316,991	% Position4.00%	$ Change6.00%	# Change0.00%
Stck Ticker717081103	Stock NamePFIZER INC	$ Position$6,319,524	% Position4.00%	$ Change5.00%	# Change0.00%
Stck Ticker87165B103	Stock NameSYNCHRONY FINANCIAL	$ Position$5,383,245	% Position4.00%	$ Change6.00%	# Change0.00%
Stck Ticker670100205	Stock NameNOVO-NORDISK A/S	$ Position$4,201,980	% Position3.00%	$ Change7.00%	# Change33.00%
Stck Ticker02079K305	Stock NameALPHABET INC	$ Position$4,015,769	% Position3.00%	$ Change38.00%	# Change0.00%

Brochure Summary

Overview

A. Round Hill Asset Management has been in business since 1986. Our principal owner is Channing T. Lushbough. B. We invest for our clients primarily in stocks we consider undervalued, pursuant to our appraisal of the issuing company’s intrinsic value. We define "intrinsic value" as the estimated value a company's shareholders would receive if a company were acquired, merged or liquidated in a friendly, negotiated transaction. "Intrinsic value" and "margin of safety" are concepts popularized by the late Benjamin Graham. The margin of safety in a stock, if any, is the amount by which the issuer’s intrinsic value exceeds its stock price. While adhering closely to our value-oriented investment approach, our principal investment objective is to achieve the highest rate of return which is consistent with preservation of capital. Although our investments are predominantly in stocks we consider undervalued, we also hold some bonds for many clients, and may occasionally invest or trade in other types of securities,

including, but not limited to, options, warrants, rights, and other instruments. We may also occasionally pursue opportunities in arbitrage, junk bonds, short sales, or any situation in which we perceive the potential for an attractive return. C. Although we may occasionally tailor a portfolio in response to a specific request from a client, we generally do not treat our clients differently. We believe an attractive opportunity should be available to all clients, to the extent possible. Clients may impose restrictions on investing in certain securities or types of securities. D. We participate in certain wrap fee programs. We do not manage wrap fee accounts any differently than we manage other accounts. Our wrap fee clients pay us our standard investment advisory fee, and pay an additional fee to their sponsoring broker-dealer. E. As of December 31, 2023, we managed client assets on a discretionary basis totaling about $280,068,000. We do not manage client assets on a non- discretionary basis.

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ROUND HILL ASSET MANAGEMENT INC

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