Roundview Capital, Llc
- Regulatory AUM
- $2.1B
- Discretionary
- $2.0B
- Clients
- 565
- Avg AUM / client
- $3.8M
- Accounts
- 1,911
- Employees
- 13
AUM over time
Annual snapshots from Form ADV filings · as of May 19, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 192 | $52.1M | 2.45% |
| High net worth individuals | 352 | $1.9B | 88.4% |
| Banking or thrift institutions | 0 | $0 | — |
| Pension and profit sharing plans | 6 | $7.4M | 0.35% |
| Charitable organizations | 12 | $133M | 6.24% |
| State or municipal government entities | 0 | $0 | — |
| Other investment advisers | 0 | $0 | — |
| Insurance companies | 0 | $0 | — |
| Sovereign wealth funds and foreign official institutions | 0 | $0 | — |
| Corporations and other businesses | 3 | $53.8M | 2.53% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Faegre Drinker Retirement Savings Plan 1 Faegre Drinker Biddle & Reath Llp | 2024 |
People (7)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Howard Todd Alter | Managing Partner | Apr 2008 (18y) | 25% – 50% | |
| Stephen Kai Jen Shueh | Managing Partner | Apr 2008 (18y) | 25% – 50% | |
| Chen, Janet, Garfai | Chief Financial Officer | Aug 2008 (18y) | Less than 5% | |
| Andrew Shi Yi Lieu | Partner | CFP | May 2012 (14y) | 10% – 25% |
| Matthew Douglas Wallack | Chief Investment Officer | CFA | Jan 2014 (13y) | Less than 5% |
| Keddie, Christina, Sim | Chief Compliance Officer | Jan 2023 (4y) | Less than 5% | |
| Nicholas A Shelton | Registered representative | CFP | Oct 2020 (6y) |
Undisclosed: 0% – 40% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Faegre Drinker Retirement Savings Plan 1 | Faegre Drinker Biddle & Reath Llp | 1,298 | $768M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 05/19/2026 | 909 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for pooled investment vehicles
- • Pension consulting services
Custody
Reported custodians
- Charles Schwab & Co. $1.8B (83% of AUM) May 2026
- National Financial Services (Fidelity) $359M (17% of AUM) May 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: May 19, 2026.
View current Form ADV (SEC/IAPD) ↗