{ "crd_number": 300799, "slug": "roundhill-investments-new-york-ny-300799", "primary_business_name": "ROUNDHILL INVESTMENTS", "legal_name": "ROUNDHILL FINANCIAL INC.", "dbas": [ "ROUNDHILL INVESTMENTS" ], "city": "New York", "state": "NY", "country": "United States", "cbsa_code": "35620", "metro": { "cbsa_code": "35620", "common_name": "New York", "msa_name": "New York-Newark-Jersey City, NY-NJ", "path": "/advisors/ny/new-york" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2019-04-08", "years_registered": 7, "period": "2026-10-01", "filing_date": "2026-07-24", "carried_forward": false, "raum_total": 9586795259.0, "raum_discretionary": 9586795259.0, "raum_non_discretionary": 0.0, "raum_band": "over_5b", "raum_band_label": "Over $5 billion", "total_employees": 13, "advisory_employees": 5, "client_count_bucket": null, "clients_by_type": { "investment_companies": { "raum": 9586795259.0, "count": 45 } }, "compensation_types": [ "percentage_of_aum" ], "advisory_activities": [ "portfolio_management_investment_companies" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "NY" ], "websites": [ "https://blog.roundhillinvestments.com", "https://facebook.com/roundhill", "https://instagram.com/roundhillinvestments", "https://linkedin.com/company/roundhill", "https://roundhillinvestments.com", "https://x.com/roundhill" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/300799", "city_as_filed": "NEW YORK", "url": "https://advisorcensus.com/firm/roundhill-investments-new-york-ny-300799", "display_name": "Roundhill Investments", "summary": "Roundhill Investments is an SEC-registered investment advisory firm in New York, NY, registered since 2019, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated July 24, 2026.", "citation": "AdvisorCensus. Roundhill Investments (CRD 300799): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management" ], "advisory_activity_labels": [ "Portfolio management for investment companies (and business development companies)" ], "quick_answers": [ { "q": "How is Roundhill Investments compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Roundhill Investments reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Roundhill Investments located?", "a": "Roundhill Investments' principal office is in New York, NY, according to its Form ADV." }, { "q": "Is Roundhill Investments registered with the SEC or a state?", "a": "Roundhill Investments is an SEC-registered investment advisory firm, registered since 2019. Status as filed: Approved. CRD 300799." }, { "q": "How much does Roundhill Investments manage?", "a": "Roundhill Investments reports $9,586,795,259 in regulatory assets under management in its Form ADV filing dated July 24, 2026 (100% discretionary)." }, { "q": "How have Roundhill Investments' assets and staff changed since 2021?", "a": "In the Form ADV data for Roundhill Investments: Regulatory assets under management: $293,107,975 in the October 2021 data and $9,586,795,259 in the October 2026 data, up 3171%. Total employees: 4 in October 2021 and 13 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Roundhill Investments serve?", "a": "By number of clients on Form ADV Item 5.D: investment companies (45)." }, { "q": "Does Roundhill Investments report any disciplinary disclosures?", "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/300799" }, { "q": "What changed in Roundhill Investments' recent Form ADV filings?", "a": "In the March 2026 filing data: Employees performing advisory functions went from 6 to 5. Regulatory assets under management went from $3,789,815,282 to $9,586,795,259 (+153%). Updated its list of owners and control persons (Schedule A)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 293107975.0, "total_employees": 4, "filing_date": "2021-06-02" }, { "period": "2022-10-01", "regulatory_assets_under_management": 1336350088.0, "total_employees": 6, "filing_date": "2022-06-15" }, { "period": "2023-10-01", "regulatory_assets_under_management": 547074405.0, "total_employees": 8, "filing_date": "2023-03-30" }, { "period": "2024-10-01", "regulatory_assets_under_management": 716786124.0, "total_employees": 5, "filing_date": "2024-04-29" }, { "period": "2025-10-01", "regulatory_assets_under_management": 3789815282.0, "total_employees": 8, "filing_date": "2025-03-25" }, { "period": "2026-10-01", "regulatory_assets_under_management": 9586795259.0, "total_employees": 13, "filing_date": "2026-07-24" } ], "recent_changes": [ { "period": "2026-03-01", "period_label": "March 2026", "notes": [ "Employees performing advisory functions went from 6 to 5.", "Regulatory assets under management went from $3,789,815,282 to $9,586,795,259 (+153%).", "Updated its list of owners and control persons (Schedule A)." ] } ], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/roundhill-investments-new-york-ny-300799.md", "clients": [ { "type": "investment_companies", "label": "Investment companies", "count": 45, "fewer_than_5": false, "raum": 9586795259.0 } ], "disclosure_line": "Reports no disclosure items on Form ADV Item 11.", "disclosure_items": [], "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/300799", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }