Roundhill Financial Inc

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Roundhill Financial Inc
CRD #300799
SEC #801-114971
CIK #0001843658, 0001760054
AUM 9,586.8 M (2026-02-27)
Employees 13 (38% Investors, 31% Brokers)
Fees
Minimum
Phone646-661-5441
Address154 W 14th St
New York, NY 10011
Source [IAPD] [EDGAR] [Website] [Twitter] [LinkedIn] [Facebook] [Instagram]
Total AUM ($B)
10.08.06.04.02.00.02010201520212027
Fees and Compensation — Form ADV Part 2A (7/24/2026) [Brochure]
Item 5 Fees and Compensation

Asset Management Fees

Pursuant to its executed advisory agreements with its registered investment company clients (the
“ETFs”), Roundhill receives a unified management fee per annum that is based on the average
daily net asset value of each ETF, as stated in the ETF’s prospectus. Roundhill’s management fee
is calculated on a daily basis by each ETF’s administrator and paid monthly in arrears to the
Adviser. Roundhill’s management fee for the ETFs are negotiated with each ETF prior to the
execution of the Firm’s advisory agreement with the ETF and are outlined within each ETF’s
respective prospectus and statement of additional information.

Shareholders of, or prospective shareholders of, Roundhill’s ETFs are encouraged to read and
understand all management fees and expenses that may be borne as a result of their investment in
each ETF, as detailed within each ETF’s prospectus and statement of additional information.
Account Minimums and Types of Clients — Form ADV Part 2A (7/24/2026) [Brochure]
Item 7 Types of Clients

Roundhill currently offers its services to registered investment companies.
Sector Form 13F Holdings Value ($B)
Nvidia Corp 4.1
MicroStrategy Inc 2.5
Tesla Motors Inc 2.3
Alphabet Inc 1.5
Microsoft Corp 1.3
Apple Inc 1.2
Palantir Technologies Inc 0.9
Amazon Com Inc 0.9
Coinbase Global Inc 0.8
Facebook Inc 0.7
View All
Holdings by Sector ($B)
705642281402017202020232027
Type Form D Funds Date Sold AUM
PE Roundhill SPV 1 LLC [2020-06-24] 13.5 M 24.6 M
Offered $13,500,000 · Filed 2020-05-20 (D) · Exemption 506(b), 3(c), 3(c)(1) · Duration One year or less · Net Assets Decline to Disclose
AUM Breakdown Accounts AUM ($B)
By Client Type
(a) Individuals (other than high net worth individuals) 0 0.0
(b) Individuals (high net worth individuals) 0 0.0
(c) Banking or thrift institutions 0 0.0
(d) Investment companies 45 9.6
(e) Business development companies 0 0.0
(f) Pooled investment vehicles 0 0.0
(g) Pension and profit sharing plans 0 0.0
(h) Charitable organizations 0 0.0
(i) State or municipal government entities 0 0.0
(j) Other investment advisers 0 0.0
(k) Insurance companies 0 0.0
(l) Sovereign wealth funds and foreign official institutions 0 0.0
(m) Corporations or other businesses not listed above 0 0.0
(n) Other 0 0.0
Total 45 9.6
By Discretionary
Discretionary 45 9.6
Non-Discretionary 0 0.0
Total 45 9.6
By Non-United States Persons
Non-United States Persons 0.0
United States Persons 9.6
Total 45 9.6
Form D Directors Role # Filings # Firms 2011 - 2026
Tim Maloney Executive Officer 2 2
William Hershey Executive Officer 2 2
EDGAR Form CIK 2011 - 2026
13F-NT [0001760054]
D [0001760054]
D [0001843658]
Firm Profile (Form ADV)
ServesInstitutional
Fund TypesPrivate Equity
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