Investment adviser · CRD 300799

ROUNDHILL INVESTMENTS

Investment adviser filing (IA)

ROUNDHILL FINANCIAL INC.

NEW YORK, NY, United States · Form ADV filed Jul 24, 2026

Regulatory AUM
$9.59B
Form ADV · Item 5.F
Client accounts
45
Accounts, not individual clients
Employees
13
Reported in this filing
Advisory professionals
5
Investment advisory functions

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client typeClientsRegulatory assetsShare of AUM
Investment companies45$9,586,795,259100.0%
Filing source

Form ADV 2121453 · Jul 24, 2026 · Item 5.D

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Private funds & service providers

1 Private fund

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

ROUNDHILL SPV 1, LLCPrivate Equity Fund · Last reported Apr 29, 2024$24.6MGross asset value

Form D fundraising filings

Roundhill SPV 1, LLC

Fund administrator ADURO ADVISORS, LLC SAN FRANCISICO, California, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Custodian MILLENNIUM TRUST COMPANY, LLC OAK BROOK, Illinois, United States Related to adviser: No
Provider details
Annual audit
No
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No
Fund details & source
Fund ID
805-8759591518
Reported beneficial owners
39
Minimum commitment
$250K
Form D file number
021-367371

Form ADV 1867717 · Apr 29, 2024 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Jul 24, 2026. View historical filings

Reported services

Investment company portfolio management

Compensation

Percentage of assets

Principal office

154 W 14TH ST., 2ND FLOOR
NEW YORK, NY, 10011, United States

CRD 300799

Filing source

Form ADV 2121453 · Jul 24, 2026 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.