ROUNDVIEW CAPITAL, LLC

CRD

148083

SEC file #

801-69519

EIN

262457538

DBA names

—

Economics

AUM

$2.13B

AUM band

$1B+

AUM trajectory

'20 · $593.1M

'21 · $772.7M

'22 · $1.13B

'23 · $1.21B

'25 · $1.88B

'26 · $2.13B

'20'26

$593.1M → $2.13B▲ +258%

sec adv history

Client mix

Individuals High Net Worth	352
Individuals Other	192
Charitable Organizations	12
Pension Profit Sharing Plans	6
Corporations	3

Operations

Employees (total)

Advisory staff (per ADV)

Advisory staff (5-yr trend)

'20 · 4 advisors

'21 · 4 advisors

'22 · 5 advisors

'23 · 5 advisors

'25 · 5 advisors

'26 · 5 advisors

'20'26

4 advisors → 5 advisors▲ +25%

sec adv history

Primary office

PRINCETON NJ

Branches

—

Custodian & Brokerage

Primary custodian

Charles Schwablow confidence

adv brochure

Services offered

Financial planningPortfolio mgmt — individualsPortfolio mgmt — pooled vehiclesPension consulting

Fee basis

% of AUMFixed fees

Filings

Latest ADV filing

03/16/2026

ADV-W filed at

—

Website

roundviewcapital.com

Compliance

Disclosures (firm)

Trademark

—

Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name

ALTER, HOWARD, TODD

Top Owner Pct

37.5

Top Owner Entity Kind

Owner Count

Control Persons

ALTER, HOWARD, TODD

SHUEH, STEPHEN, KAI-JEN

Solo Advisor Indicator

Succession Risk Solo Owner

Is Parent Owned Subsidiary

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed

sec adv w

Web presence ★

Stale website = winding down

Web Signal Quality

Rdap Domain

ROUNDVIEWCAPITAL.COM

Rdap Domain Creation Date

2008-03-27T22:22:57Z

Rdap Firm Age Years

Rdap Firm Age Band

10-20y

Rdap Registrar

GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book

Form 5500 Plan Count

Form 5500 Total Compensation

30,460

Form 5500 Compensation Trajectory 3y

2025

30,460

Form 5500 Plan Count Trajectory 3y

2025

Schedule C Total Compensation

30,460

Schedule C Service Provider Rows

SEC EDGAR

Edgar Cik

0001476804

Edgar Registered

Yes

Edgar Filing Count

Edgar First Filing Date

2009-11-13

Edgar Last Filing Date

2026-05-08

Edgar 13f Count

Edgar 13f Latest AUM Estimate

Filing Date2026-05-08

Accession0001476804-26-000005

Compliance & brand

Firm Registration Status

active

sec adv w

All other collected signals (17)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed

sec adv w

Bc Firm Active Bc Count

brokercheck firm search

Bc Firm Active IA Count

brokercheck firm search

Bc Firm IAR Count

brokercheck firm search

Custodian Candidates

Full

Charles Schwab	6
E*trade	4
Fidelity	2

adv brochure

Edgar Addresses

Mailing

182 NASSAU STREET SUITE 201PRINCETON, NJ 08542

Business

182 NASSAU STREET SUITE 201PRINCETON, NJ 08542

Edgar EIN

262457538

Edgar Recent Filings

13F-HR2026-05-08 · 0001476804-26-000005

13F-HR2026-02-09 · 0001476804-26-000003

Firm Has Custody

Mailing Office Differs

Rdap Domain Expiration Date

2027-03-27T22:22:57Z

Rdap Domain Last Changed

2025-03-18T16:11:58Z

Rdap Nameservers

Ns35.domaincontrol.comNs36.domaincontrol.com

Rdap Secure Dns Enabled

Rdap Status

Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited

Top Owner CRD

2255826

Trust Company Affiliate