Wealth manager, independent · Princeton, NJ
Roundview Capital, LLC
SEC-registered investment adviser · CRD 148083 · SEC 801-69519
At a glance
Roundview Capital, LLC is an SEC-registered investment adviser based in Princeton, New Jersey, with $2.1B in regulatory assets under management as of its Form ADV filed May 19, 2026. It reports 544 individual clients, 352 of them high-net-worth, holding an average of about $3.6 million each, and 13 employees. That ranks it 525th among the nation’s 5,657 independent wealth management RIAs and 17th of 157 in New Jersey. It reports 2 custodians for its clients’ separately managed accounts: Charles Schwab and Fidelity.
Main office 609-688-9500roundviewcapital.comAs filed on Form ADV
- Regulatory AUM
- $2.1B
- Rank among independent wealth managers
- #525 of 5,657
- Rank among all SEC RIAs
- #3,503 of 17,210
- Rank in New Jersey
- #17 of 157
- Individual clients
- 544
- High-net-worth clients
- 352
- Accounts
- 1,911
- Discretionary
- 94% of AUM
- Employees
- 13
- Advisory staff
- 5
- Offices
- 1
Owners and executives on its Form ADV
- Christina S. KeddieChief Compliance Officer
- Howard T. AlterManaging Partner
- Stephen K. ShuehManaging Partner
- Janet G. ChenChief Financial Officer
- Matthew D. WallackChief Investment Officer
- Andrew S. LieuPartner
Custody and brokerage
Broker-dealer
No broker-dealer ties
Roundview Capital, LLC reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 352 | $1.9B | 88% |
| Charitable organizations | 12 | $133M | 6% |
| Corporations or other businesses | 3 | $54M | 3% |
| Individuals | 192 | $52M | 2% |
| Pension and profit sharing plans | 6 | $7M | <1% |
Disciplinary disclosures
Roundview Capital, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for pooled investment vehicles
- Pension consulting
How it’s paid
- A percentage of assets under management
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗roundviewcapital.com ↗
AtlasMembers
The full record on Roundview Capital, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
- Locked
- Growth over one, three and five years
- Locked
- Rank against 1,856 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 6 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 1Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Similar-size RIAs in New Jersey
All of New Jersey →| Firm | Regulatory AUM | Clients |
|---|---|---|
| TLG Advisors, Inc.Summit | $2.3B | 5,018 |
| Traphagen Financial GroupOradell | $2.3B | 1,922 |
| Condor Capital Wealth ManagementMartinsville | $2.2B | 869 |
| CRA Financial Services, L.L.C.Northfield | $1.7B | 1,299 |
| Strategic Family Wealth Counselors, L.L.C.Fairfield | $1.7B | 300 |
| Personal CFO Solutions LLCChester | $1.6B | 624 |
Background
Questions
How much does Roundview Capital, LLC manage?
Roundview Capital, LLC reports $2.1B in regulatory assets under management across 1,911 accounts, 94% of it on a discretionary basis, on its Form ADV filed May 19, 2026.
How many clients does Roundview Capital, LLC have?
It reports 544 individual clients: 352 high-net-worth individuals and 192 other individuals. Individuals account for about 91% of its regulatory assets.
Where is Roundview Capital, LLC headquartered?
Its main office is in Princeton, New Jersey. It reports 1 office in total and 13 employees, 5 of whom perform investment advisory functions.
How does Roundview Capital, LLC charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management; fixed fees. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does Roundview Capital, LLC use?
It reports 2 custodians for its clients’ separately managed accounts: Charles Schwab and Fidelity. On Schedule D of its Form ADV filed May 19, 2026, it reports these amounts held: Charles Schwab ($1.8B); Fidelity ($359M). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is Roundview Capital, LLC a hybrid RIA with a broker-dealer?
Roundview Capital, LLC reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Is Roundview Capital, LLC a fiduciary?
As an SEC-registered investment adviser, Roundview Capital, LLC owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. It reports no employees who are registered representatives of a broker-dealer.
Where these numbers come from
Every figure is Roundview Capital, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-05-19), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Its national rank compares it with every US-based independent wealth management RIA, the same field as The Largest RIAs. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →