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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

ROUNDKEEP CAPITAL ADVISORS LLC

CRD 155508

CHICAGO, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:afc44b0c-af25-1517-3fb7-3d1c16263e18

Data as of Sep 19, 2012 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 0
On other graphs: 0
Observed: Mar 1, 2012 to Sep 19, 2012
2 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $547MItem 5.F on the latest filing (2012-09-19); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $547M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 3
Private funds: 1Schedule D 7.B(1)
Private fund GAV: $547Mgross asset value as reported per fund; never fund size
Custody, client assets: $547M
SEC number: 801-72233
CRD: 155508
Filings on the tape: 2
First filed: Mar 1, 2012
Latest filed: Sep 19, 2012
Organised: Limited Liability Company, Delaware

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
ROUNDKEEP GLOBAL MASTER FUND LP	Hedge Fund	$547M	Sep 19, 2012	40	Mar 1, 2012	reported	021-150539
ROUNDKEEP EVENT FUND II LTD.	Hedge Fund	$127M	Mar 1, 2012	4	Mar 1, 2012	reported	n/a

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ADAMSKI, MICHAEL, DAVID	CHIEF OPERATING OFFICER, GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER	Na	yes	10/2010	Mar 1, 2012	Sep 19, 2012
DOHERTY, ROBERT, DAVID	SENIOR ANALYST AND PRINCIPAL	Na	yes	08/2009	Mar 1, 2012	Sep 19, 2012
DONATH, ROBERT, WERNER	HEAD OF TRADING AND PRINCIPAL	Na	yes	08/2009	Mar 1, 2012	Sep 19, 2012
ERVIN E. SHINDELL REVOCABLE TRUST	Member	E	yes	08/2009	Mar 1, 2012	Sep 19, 2012
ROTTER, JOSEPH, A	PORTFOLIO MANAGER AND PRINCIPAL	B	yes	08/2009	Mar 1, 2012	Sep 19, 2012
SHINDELL, ERVIN, ELLIOT	Trustee	E	yes	11/2008	Mar 1, 2012	Sep 19, 2012
SHINDELL, ERVIN, ELLIOT	SOLE MEMBER	E	yes	08/2009	Mar 1, 2012	Sep 19, 2012
SHINDELL, ERVIN, ELLIOT	PRESIDENT AND CHIEF INVESTMENT OFFICER	Na	yes	08/2009	Mar 1, 2012	Sep 19, 2012
SOUTH WACKER CAPITAL LLC	MANAGING MEMBER	Na	yes	08/2009	Mar 1, 2012	Sep 19, 2012
SOUTH WACKER IM INVESTMENT LLC	Member	D	yes	08/2009	Mar 1, 2012	Sep 19, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
SOUTH WACKER GP LLC	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 1, 2012	$1.3B	$1.3B	n/a	n/a	n/a	2	$1.3B

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$547M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Advises (2)

→ ROUNDKEEP GLOBAL MASTER FUND LPPrivate fundHedge Fund, IA
Mar 1, 2012 to presentfactForm ADV
→ ROUNDKEEP EVENT FUND II LTD.Private fundHedge Fund, IA
Mar 1, 2012 to presentfactForm ADV

Controls (8)

← SHINDELL, ERVIN, ELLIOTOwnerTRUSTEE, ownership code E, individual
Mar 1, 2012 to presentfactForm ADV
← DONATH, ROBERT, WERNEROwnerHEAD OF TRADING AND PRINCIPAL, ownership code NA, individual
Mar 1, 2012 to presentfactForm ADV
← DOHERTY, ROBERT, DAVIDOwnerSENIOR ANALYST AND PRINCIPAL, ownership code NA, individual
Mar 1, 2012 to presentfactForm ADV
← ROTTER, JOSEPH, AOwnerPORTFOLIO MANAGER AND PRINCIPAL, ownership code B, individual
Mar 1, 2012 to presentfactForm ADV
← ADAMSKI, MICHAEL, DAVIDOwnerCHIEF OPERATING OFFICER, GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 1, 2012 to presentfactForm ADV
← ERVIN E. SHINDELL REVOCABLE TRUSTOwnerMEMBER, ownership code E, domestic entity
Mar 1, 2012 to presentfactForm ADV
← SOUTH WACKER CAPITAL LLCOwnerMANAGING MEMBER, ownership code NA, domestic entity
Mar 1, 2012 to presentfactForm ADV
← SOUTH WACKER IM INVESTMENT LLCOwnerMEMBER, ownership code D, domestic entity
Mar 1, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:afc44b0c-af25-1517-3fb7-3d1c16263e18
First observed: Mar 1, 2012
Last observed: Sep 19, 2012 170 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

ROUNDKEEP CAPITAL ADVISORS LLC

CRD 155508

CHICAGO, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:afc44b0c-af25-1517-3fb7-3d1c16263e18

Data as of Sep 19, 2012 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:53 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

ROUNDKEEP GLOBAL MASTER FUND LP

Hedge Fund

$547M

Sep 19, 2012

Mar 1, 2012

reported

021-150539

ROUNDKEEP EVENT FUND II LTD.

Hedge Fund

$127M

Mar 1, 2012

reported

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ADAMSKI, MICHAEL, DAVID

CHIEF OPERATING OFFICER, GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER

yes

10/2010

Mar 1, 2012

Sep 19, 2012

DOHERTY, ROBERT, DAVID

SENIOR ANALYST AND PRINCIPAL

yes

08/2009

Mar 1, 2012

Sep 19, 2012

DONATH, ROBERT, WERNER

HEAD OF TRADING AND PRINCIPAL

yes

08/2009

Mar 1, 2012

Sep 19, 2012

ERVIN E. SHINDELL REVOCABLE TRUST

Member

yes

08/2009

Mar 1, 2012

Sep 19, 2012

ROTTER, JOSEPH, A

PORTFOLIO MANAGER AND PRINCIPAL

yes

08/2009

Mar 1, 2012

Sep 19, 2012

SHINDELL, ERVIN, ELLIOT

Trustee

yes

11/2008

Mar 1, 2012

Sep 19, 2012

SHINDELL, ERVIN, ELLIOT

SOLE MEMBER

yes

08/2009

Mar 1, 2012

Sep 19, 2012

SHINDELL, ERVIN, ELLIOT

PRESIDENT AND CHIEF INVESTMENT OFFICER

yes

08/2009

Mar 1, 2012

Sep 19, 2012

SOUTH WACKER CAPITAL LLC

MANAGING MEMBER

yes

08/2009

Mar 1, 2012

Sep 19, 2012

SOUTH WACKER IM INVESTMENT LLC

Member

yes

08/2009

Mar 1, 2012

Sep 19, 2012

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

SOUTH WACKER GP LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 1, 2012

$1.3B

n/a

$1.3B

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$547M

n/a