Round Hill Securities, Inc. (Alamo)

Name: Round Hill Securities, Inc.
Address: 3191 Danville Blvd., Alamo, CA, 94507
Telephone: 925-820-3980

Round Hill Securities, Inc. is a large advisory firm based in Alamo. It manages $81.71 million of regulatory assets for 315 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of California, Minnesota, Nevada, North Carolina, and Ohio.

Round Hill Securities provides portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, and pension consulting services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Round Hill Securities: assets under management

The assets under management (AUM) of Round Hill Securities, Inc. is $81.71 million. The firm's AUM has grown by 197% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $31.49 million in discretionary accounts and $50.23 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $388.72 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $214.64 thousand.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Round Hill Securities, Inc. for their services and products based on a percentage of assets under management, hourly charges, fixed fees, and commissions. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Round Hill Securities, Inc.

Robert Jay Holub has been acting as President since 1 Oct 1993. Adam Nicholas Antoniades joined the executive team most recently as the President/Ceo/Director.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Inc. Round Hill Holdings	Round hill securities, inc.	1 Sep 1993	75% - 100%	68-0362660
Robert Jay Holub	Chairman/director	1 Oct 1993	Other	1321893
Thomas Joseph Sboto	Executive vice president/director	1 Jul 1994	Other	1497190
Keith Wayne Campbell	Senior vice president/srop/crop	1 Feb 1995	Other	1832122
Robert Stephen Minka	Executive vice president/coo/cco/director	1 Apr 1995	Other	1242065
Terry Lewis Emfinger	Executive vice president/secretary/treasurer/director	1 Sep 1995	Other	2206745
John Mark Overholtzer	Executive vice president/cfo	1 Sep 1998	Other	2353144
Jeffrey Schubert	President/director	1 Mar 2000	Other	415424
Gerald Hart Jr Burchard	Executive vice president/national sales mgr/director	1 Jun 2000	Other	1098929
Jean Maria Pagnotta	Chief compliance officer	1 Jan 2002	Other	2544154
Gerald Hart Jr Burchard	President/director	1 Apr 2002	Other	1098929
Nils Alexander Ericson	Senior vice president/crop/srop	1 Aug 2002	Other	1022814
Diana Gayle Dorn	Sr. vice president, chief compliance officer	1 Aug 2003	Other	1088981
Arthur William Lenhardt	Senior vice president, srop	1 Nov 2003	Other	306553
Adam Nicholas Antoniades	President/ceo/director	1 Nov 2004	Other	2261744

Indirect Owners

The SEC currently registers 4 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Robert Jay Holub	Chairman/director	1 Sep 1995	25% - 50%	1321893
Keith Gregory Daubenspeck	Owner	1 Nov 1998	25% - 50%	1463372
Dwight Oliver Badger	Owner	1 Nov 1998	25% - 50%	1965315
Aei Holding Corporation	Owner	1 Jun 2003	50% - 75%	36-4260171

Based in Alamo

The principal office where Round Hill Securities, Inc. performs its advisory services is located at 3191 Danville Blvd., Alamo, CA 94507, which is also the mailing address of the firm. An additional office of the firm is in Las Vegas, NV. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 925-820-3980 or by fax 925-855-4466. The normal business hours are 7:00 a.m. - 3:00 p.m. on Monday - Friday. You can find more information about the New York firm at www.roundhill.com.