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Chief Compliance Officer · Roundhill Investments

Aaron C. Norris

CRD 8085202 · Named on Form ADV at one SEC-registered adviser

At a glance

Roundhill Investments, an SEC-registered asset manager based in New York, NY with $9.6 billion in regulatory assets, lists Aaron C. Norris on its Form ADV as Chief Compliance Officer, a control person.

Firms and roles

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Aaron’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
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Control-person status
1 firmLocked
When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Aaron’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.