Andrew S. Lieu

ROUNDVIEW CAPITAL

Princeton, NJ 08542-7000

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CRD#: 5189147

Professional summary

Andrew Shi-yi Lieu, CFP®, who also goes by Andrew S Lieu, is a registered financial advisor currently at ROUNDVIEW CAPITAL, LLC located in Princeton, New Jersey.

Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Andrew has worked at 2 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Andrew S Lieu

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Shi-yi Lieu's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Experience

Current

May 14, 2012 - Present

ROUNDVIEW CAPITAL, LLC

Office #1: 182 Nassau Street Suite 201, Princeton, NJ 08542-7000

RIA

CRD#: 148083

Princeton, NJ

Past

September 11, 2006 - July 24, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ROUNDVIEW CAPITAL, LLC

CRD#: 148083 / SEC#: 801-69519

RIA

Registered Investment Advisory firm - (9/2/2008 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New Jersey
(5/14/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/11/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/12/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/8/2006

General Securities Representative Examination

Current Firm

ROUNDVIEW CAPITAL, LLC

CRD#: 148083 / SEC#: 801-69519

RIA

Registered Investment Advisory firm - (9/2/2008 Approved)

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Contact information

Main Address

182 Nassau Street Suite 201, Princeton, NJ 08542-7000

Mailing Address

Phone number

(609) 688-9500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RVC BROCHURE (3/20/2025)

Regulatory assets under management

Total Number of Accounts	1,784
AUM (Assets Under Management)	$ 1,875,506,746

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Andrew S. Lieu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Shi-yi Lieu's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROUNDVIEW CAPITAL, LLC

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

ROUNDVIEW CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/11/2012

Series 63

Date: 9/12/2006

Series 7

Date: 9/8/2006

Current Firm

ROUNDVIEW CAPITAL, LLC

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ROUNDVIEW CAPITAL, LLC

TRUST BUT VERIFY

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