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ROUNDHILL FINANCIAL INC.

dba ROUNDHILL INVESTMENTS · CRD 300799 · Registered Investment Adviser

ROUNDHILL FINANCIAL INC. is a Registered Investment Adviser headquartered in NEW YORK, NY. The firm reports $9,586,795,259 in regulatory assets under management across 45 accounts. It reports no Form ADV Item 11 disciplinary disclosures.

Regulatory assets under management

Discretionary$9,586,795,259
Non-discretionary$0
Total RAUM$9,586,795,259
Accounts45

Disciplinary history (Form ADV Item 11)

This adviser reports no Form ADV Item 11 disciplinary events.

About this data

Form ADV is the uniform registration form every investment adviser files with the U.S. Securities and Exchange Commission (and state regulators). Part 1A captures the firm's identity, assets under management, client base, custody arrangements, and disciplinary disclosures. This page mirrors the SEC's monthly firm-roster export with citations to the Investment Adviser Public Disclosure (IAPD) system, where the full brochure (Part 2) and disciplinary detail are available.

References

  1. U.S. Securities and Exchange Commission. Investment Adviser Public Disclosure — CRD 300799. adviserinfo.sec.gov/firm/summary/300799.
  2. SEC Form ADV firm roster (FOIA monthly export). sec.gov Form ADV data.

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