{"url":"https://nivawealth.com/firms/roundtable-healthcare-management-161235","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/161235","regulatoryAum":3118843509,"crd":"161235","history":[{"filedOn":"2021-04-02","regulatoryAum":3927853031,"clients":15,"employees":31,"offices":1},{"filedOn":"2022-04-15","regulatoryAum":3449412231,"clients":15,"employees":33,"offices":1},{"filedOn":"2023-05-08","regulatoryAum":3325400457,"clients":17,"employees":28,"offices":1},{"filedOn":"2024-03-28","regulatoryAum":2974700156,"clients":12,"employees":29,"offices":1},{"filedOn":"2025-03-27","regulatoryAum":3300932107,"clients":12,"employees":33,"offices":1},{"filedOn":"2026-03-26","regulatoryAum":3118843509,"clients":11,"employees":32,"offices":1}],"secFileNumber":"801-73397","legalName":"Roundtable Healthcare Management, Inc","displayName":"RoundTable Healthcare Management","slug":"roundtable-healthcare-management-161235","website":"https://roundtablehp.com/","classification":{"segment":"private_funds","segmentLabel":"Private funds","type":"private_fund_manager","typeLabel":null,"feeDisclosure":"payment_only"},"linkedinUrl":"https://www.linkedin.com/company/roundtable-healthcare-partners/","founded":null,"organization":"Delaware corporation","fiscalYearEnd":"December","headquarters":{"street":"272 East Deerpath Road, Suite 350","city":"Lake Forest","state":"IL","stateName":"Illinois","country":"United States","postalCode":"60045-5314"},"tradeNames":[],"registration":{"secApproved":"1 March 2012","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":32,"advisory":16,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":3118843509,"discretionary":3118843509,"discretionaryAccounts":11,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Pooled investment vehicles","clients":11,"regulatoryAum":3118843509}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[],"custodyNote":"RoundTable Healthcare Management has custody of $3.12B in client assets for 11 clients.","leadership":[{"name":"Richard Collister","title":"President","crd":"2609897"},{"name":"Timothy Connors","title":"President","crd":"7718792"},{"name":"Thomas Kapfer","title":"President","crd":"6622698"},{"name":"Barbara Sullivan","title":"President","crd":"7244974"},{"name":"Bernadette Legarreta","title":"Secretary and Treasurer and Chief Compliance Officer","crd":"7994253"}],"ownership":[{"label":"Richard Collister","detail":"President in the 25% to 50% ownership band and a control person, since November 2019."},{"label":"Thomas Kapfer","detail":"President in the 25% to 50% ownership band and a control person, since November 2019."},{"label":"Barbara Sullivan","detail":"President in the 25% to 50% ownership band and a control person, since July 2019."},{"label":"Timothy Connors","detail":"President in the 25% to 50% ownership band and a control person, since October 2022."}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Illinois","offices":1,"addresses":[{"street":"272 East Deerpath Road, Suite 350","city":"Lake Forest","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"847-739-3200","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Performance-based fees"],"activities":["Portfolio management for pooled investment vehicles (other than investment companies)"],"financialPlanningClients":null,"assetMix":[],"privateFunds":11},"sources":{"adv1FilingDate":"26 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/161235/PDF/161235.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does RoundTable Healthcare Management have?","answer":"RoundTable Healthcare Management has 11 clients and manages $3.12 billion for them, as of March 2026. They include 11 pooled investment vehicles.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 26 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does RoundTable Healthcare Management offer?","answer":"RoundTable Healthcare Management provides portfolio management for pooled vehicles.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does RoundTable Healthcare Management have?","answer":"RoundTable Healthcare Management has 0 investment adviser representatives registered with state securities authorities, out of 32 employees, and 16 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns RoundTable Healthcare Management?","answer":"RoundTable Healthcare Management’s direct owners are Richard Collister, Thomas Kapfer, Barbara Sullivan and Timothy Connors, each holding 50% or less.","source":"Form ADV Part 1A, Schedules A and B, filed 26 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does RoundTable Healthcare Management get paid?","answer":"RoundTable Healthcare Management is paid through a percentage of assets under management and performance-based fees. Its Form ADV lists no commissions among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Is RoundTable Healthcare Management registered with the SEC?","answer":"Yes, RoundTable Healthcare Management has been registered with the SEC as an investment adviser since 1 March 2012. Its CRD number is 161235 and its SEC file number is 801-73397.","source":"Form ADV Part 1A, Item 1, filed 26 March 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact RoundTable Healthcare Management?","answer":"RoundTable Healthcare Management’s main office is at 272 East Deerpath Road, Suite 350, Lake Forest, IL 60045-5314. Its phone number is 847-739-3200. Its website is roundtablehp.com.","source":"Form ADV Part 1A, Item 1.F, filed 26 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}