Rick Roche, CAIA
Managing Director – Business Development
Rick Roche serves as Managing Director, Business Development for hedge fund sales through the Broker/Dealer and RIA channels. Rick brings over three decades’ experience in the financial adviser intermediary and wholesale distribution industries to this role at Little Harbor Advisors.
Rick’s Record of Achievements include: Wirehouse financial adviser at Kidder Peabody & Co. and SmithBarney; No. 1 wholesaler at 3 of 4 firms; took two wholesaler territories from Worst to First; National Sales Manager at Fortis Financial & New England Annuities; Rick & the wholesaler teams he led raised $2.5 billion in Assets Under Management ($AUM); Elected at age 24 to the Mass. House of Representatives (served two terms);
Rick brings a unique perspective and singular focus to financial advisers’ concerns, challenges and client interactions. He keeps fluent in market-speak by devouring the latest academic insight on market & investor behavior and investment fund flows. Rick Roche relates to retail financial advisers as only a peer can. His broad investment background, encyclopedic command of market stats and staccato delivery make for unmatched presentations.
Rick earned a B.A. in History from the University of Dayton, OH. He holds Series 7 and Series 65 -- Investment Adviser Rep -- licenses (CRD # 1002171). Rick became a Chartered Alternative Investment Analyst -- CAIA -- charter holder in 2014. The CAIA Charter designation is the highest standard of achievement in alternative investment education and a globally recognized credential in alternative investments. Rick’s also a Member of the Investment Management Consultants Association (IMCA) and a Member of the New York Hedge Fund Roundtable (2013-2015).
Since 1991, Rick’s consulted 85 major financial companies and has personally trained 70,250 financial sales pros in customer loyalty marketing, capital market trends and investor behavior. Rick resides in Minneapolis, MN, with his wife, Carmen. They have two grown sons, Sean & Andrew. He’s a fitness enthusiast with a focus on strength conditioning & endurance. He coached youth soccer for eight seasons and has been an active volunteer in his local community and church.