Rick Roche


Rick Roche is a Managing Director at Little Harbor Advisors, LLC and a 37-year financial services industry veteran. Mr. Roche’s career achievements include: Financial Adviser at Kidder, Peabody & Co. and at Smith Barney, as well as National Sales Manager at Fortis Financial and at New England Annuities. He earned a Chartered Alternative Investment Analyst (CAIA) designation in 2014 and holds Series 3, 7, 63 and 65 licenses. Rick earned a BA in History from the University of Dayton, OH.

Since 1991, Mr. Roche has provided consulting services to major financial companies and personally trained thousands of financial sales professionals in customer loyalty marketing, capital market trends and investor behavior. He is a member of the Society of Quantitative Analysts (i.e., a “Light Quant/Analytical Translator”) and is knowledgable about AI and Big Data used in quantitative investment models. From 1977 to 1980, Mr. Roche served two terms in the Massachusetts Legislature representing Springfield, Massachusetts.