# ROUNDHILL FINANCIAL INC.

ROUNDHILL FINANCIAL INC. of NEW YORK, NY is an SEC-registered investment adviser.

## Registration

- CRD: 300799
- Type: SEC-registered investment adviser
- SEC file number: 801-114971
- Location: 154 W 14TH ST., 2ND FLOOR, NEW YORK, NY, 10011
- Phone: 646-661-5441
- Latest filing: 2026-07-24
- Regulatory AUM: $9.6B
- Discretionary AUM: $9.6B
- Clients: 13
- Accounts: 45

## Business model

- Compensation: % of AUM

## Officers, owners & control persons (13)

| Name | Role | Location |
| --- | --- | --- |
| William Hershey | CO-FOUNDER | New York, NY |
| Timothy Maloney | CO-FOUNDER | New York, NY |
| Steven Charles Ludwig | CHIEF COMPLIANCE OFFICER | — |
| David Brian Mazza | CEO | — |
| LUDWIG STEVEN CHARLES | CHIEF COMPLIANCE OFFICER | — |
| TYRE DOUGLAS NELSON | CHIEF COMPLIANCE OFFICER | — |
| CLAY LAWRENCE WILLIAM | CHIEF COMPLIANCE OFFICER | — |
| Hershey Will | CHIEF EXECUTIVE OFFICER; CO-FOUNDER | — |
| MALONEY TIMOTHY | CHIEF INVESTMENT OFFICER; CO-FOUNDER | — |
| HERSHEY MARCIA BARON | OWNER | — |
| Kim Jihoon | CHIEF COMPLIANCE OFFICER | — |
| MAZZA DAVID BRIAN | CEO | — |
| Aaron Christopher Norris | CHIEF COMPLIANCE OFFICER | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/300799/brochure
- Similar advisers: https://search.stillhousedata.com/firm/300799/similar
- Related entities: https://search.stillhousedata.com/firm/300799/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/300799

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.