# Round Table Financial

Round Table Financial is an Asset Manager.

## Overview

- **Organization type:** Asset Manager
- **Assets under management:** Undisclosed
- **LinkedIn:** https://www.linkedin.com/company/rtfinancialus

## Regulatory record

- **CRD number:** 307113
- **SEC file number:** 801-118001
- **Registration status:** Registered
- **Reports private funds:** No
- **IAPD record:** https://adviserinfo.sec.gov/firm/summary/307113

## About

ROUND TABLE FINANCIAL is an SEC-registered investment adviser in LITTLE ROCK, AR. The firm manages $46 million in assets, $42 million on a discretionary basis. It has 3 employees and 3 investment advisers.

## Questions

### Is Round Table Financial a broker-dealer or a registered investment advisor?

Round Table Financial is structured as a registered investment advisor. This designation means the firm is bound by the fiduciary standard under the Investment Advisers Act of 1940, requiring it to act in the best interest of clients and disclose conflicts of interest. Unlike broker-dealers, who operate under a suitability standard, RIAs must place client welfare first in all advisory interactions. The firm executes client transactions through independent custodians, which reinforces the legal and operational separation between advice and asset custody.

### What types of assets does Round Table Financial typically invest in?

Round Table Financial allocates client capital primarily across publicly traded equities, fixed-income instruments, and tactical positions. Equity selections concentrate on US large-cap and mid-cap companies with durable balance sheets. The fixed-income component spans Treasuries, municipal bonds, and investment-grade corporates, with duration and credit quality tailored to each client's liquidity profile and tax circumstances. The firm generally avoids locked-up private market commitments in favor of more liquid exposures.

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Last updated: 2026-06-03T20:00:00.000Z

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