Roundview Capital, LLC

RIASEC RegisteredEst. 2008

Total AUM

$2.1B

Discretionary

$2B

94% of AUM

Avg account

$1.1M

Accounts

1,911

Employees

13

Advisory reps

7

Firm details

Headquarters: Princeton, New Jersey
CRD number: 148083
Registered since: September 2, 2008
Website: roundviewcapital.com
Custodians: CHARLES SCHWAB & CO., INC., NATIONAL FINANCIAL SERVICES LLC
Fee structure: Percentage of AUM, Fixed Fees
Client types: HNWI88.44%
Charitable Organizations6.24%
Corporations / Businesses2.53%
Individuals2.45%
Pension & Profit Sharing Plans0.35%
Services: Financial PlanningPortfolio Management for IndividualsPortfolio Management for Pooled Investment VehiclesPension Consulting

Firm profile

FINTRX

Overview

Roundview Capital, LLC is an independent registered investment adviser organized as an LLC and operating since 2008. The firm is owned by an individual and positions itself as a capital allocator for both private individuals and institutional clients. Its fees are charged as a percentage of assets under management and via fixed-fee arrangements. Core advisory services named by the firm include financial planning, portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, and pension consulting. The firm does not identify as an active ESG investor.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Read the full firm profile in FINTRX →

Investment profile

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

CRM & tech providers

TAMPs used

Clients

Client base

Client personas

Asset composition

Exchange Traded Equities83%
Non-Exchange Traded Equities7%
Cash & Cash Equivalents6%
US Government Bonds4%

Owners & executives

2 of 2

Janet Chen
Chief Financial OfficerCRD 4910742
Matthew Wallack
Chief Investment OfficerCRD 5494023

Contacts

3 of 5

Andrew Lieu
PartnerCRD 5189147
Howard Alter
Managing PartnerCRD 2255826
Nicholas Shelton
PrincipalCRD 7271820

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Wealth teams

Newly hired reps

Recent M&A activity

Recent filings

Awards

ETF holdings

1 of 149

Active vs passive

$860M in ETFs

Passive

97%

$834M

Active

1%

$25.8M

ETF	Provider	Style	Category	Value	Shares	% of portfolio
VANGUARD 500 INDEX FUND (VOO)	Vanguard	Passive	Large Blend	$66.8M	97,191	7.76%

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Primary office

Princeton, NJ

Mercer

Location

Princeton, NJ

Headquartered in Princeton, NJ, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.

Metro area: New York-Newark, NY-NJ-CT-PA
Region: Northeast
County: Mercer
Address: 182 Nassau St
Time zone: ET (UTC-5)
Office locations

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