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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

LITTLE HARBOR ADVISORS, LLC

CRD 168700

MARBLEHEAD, MA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:85216641-a0e4-5c56-4fc4-91f1386df669

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 6
On other graphs: 0
Observed: Aug 20, 2013 to Sep 14, 2026
23 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0
Regulatory AUM: $243MItem 5.F on the latest filing (2026-09-14); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $243M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $243Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 13
Advisory employees: 11
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 4
Individual clients: 0
High net worth clients: 0
Custody, client assets: $0
SEC number: 801-78486
CIK: 1539639
CRD: 168700
Filings on the tape: 23
First filed: Aug 20, 2013
Latest filed: Sep 14, 2026
Organised: Limited Liability Company, DE
Website: littleharboradvisors.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
RICHARD PAUL ROCHE	n/a	Minneapolis, MN \| MARBLEHEAD, MA	12	16	2	no

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
LHA MARKET STATE FUND I, L.P.	Hedge Fund	$5.6M	Mar 30, 2018	27	Mar 31, 2017	dropped	021-281981
LHA FOCUSED LONG-SHORT FUND, L.P.	Hedge Fund	$3.9M	Aug 13, 2020	2	Mar 29, 2019	dropped	n/a
LHA MOTR LONG-SHORT FUND, L.P.	Hedge Fund	$3.5M	Aug 26, 2024	11	Mar 30, 2022	reported	021-442308

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
CARRIGAN, RANDALL, JAMES	CHIEF LEGAL OFFICER & CHIEF COMPLIANCE OFFICER	Na	yes	07/2013	Aug 20, 2013	Aug 26, 2024
GRADER, MARK, CHARLES	CHIEF RISK OFFICER	Na	yes	06/2020	Aug 20, 2013	Aug 26, 2024
Groom, David	Shareholder	E	yes	01/2000	Mar 30, 2016	Aug 26, 2024
HASSETT, JOHN, JOSEPH	CHIEF EXECUTIVE OFFICER	A	yes	04/2012	Aug 20, 2013	Aug 26, 2024
HASSETT, JOHN, JOSEPH	Manager	F	yes	09/2010	Aug 20, 2013	Aug 26, 2024
J.MCK INC.	Trustee	F	yes	01/1999	Mar 30, 2016	Aug 26, 2024
LANDLE, JEFFREY, CHARLES	CHIEF INVESTMENT OFFICER	Na	yes	07/2013	Aug 20, 2013	Aug 26, 2024
TAI EQUITY HOLDINGS, LLC	Manager	B	yes	04/2012	Aug 20, 2013	Aug 26, 2024
TOMNEY, RICHARD, FRANCIS	PRESIDENT-WEALTH ADVISOR SOLUTIONS	Na	yes	08/2021	Mar 31, 2023	Aug 26, 2024
JANE WALKER MCKINNEY TRUST	Member	A	no	05/2014	Mar 25, 2015	Aug 26, 2024
VAN OTTERLOO, EYK, DE MOL ALEXANDER	Member	B	no	07/2012	Aug 20, 2013	Aug 26, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
LHA MOTR GP, LLC	n/a	n/a	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 27, 2026	$243M	$243M	13	11	0	1	n/a
2024	Mar 28, 2025	$202M	$202M	12	10	0	1	n/a
2023	Mar 28, 2024	$205M	$205M	14	10	0	1	$3.5M
2022	Mar 31, 2023	$198M	$198M	14	9	0	1	$3.0M
2021	Mar 30, 2022	$353M	$353M	17	11	0	1	$1.0M
2020	Mar 30, 2021	$123M	$123M	15	10	0	n/a	n/a
2019	Mar 30, 2020	$8.7M	$8.7M	12	8	0	1	$3.7M
2018	Mar 29, 2019	$9.2M	$9.2M	11	6	0	1	$3.4M
2017	Mar 30, 2018	$5.6M	$5.6M	9	2	0	1	$5.6M
2016	Mar 31, 2017	$3.3M	$3.3M	8	4	n/a	1	$3.3M
2015	Mar 30, 2016	$6.2M	$6.2M	8	3	n/a	n/a	n/a
2014	Mar 25, 2015	$5.5M	$5.5M	8	3	n/a	n/a	n/a
2013	Mar 28, 2014	$0	$0	8	4	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$243M	$202M	20.1%	$198M	7.0%	13	12	0	0

Relationships

Advises (3)

→ LHA MOTR LONG-SHORT FUND, L.P.Private fundHedge Fund, IA
Mar 30, 2022 to presentfactForm ADV
→ LHA FOCUSED LONG-SHORT FUND, L.P.Private fundHedge Fund, IA, no longer reported
Mar 29, 2019 to Aug 13, 2020factForm ADV
→ LHA MARKET STATE FUND I, L.P.Private fundHedge Fund, IA, no longer reported
Mar 31, 2017 to Mar 30, 2018factForm ADV

Registered with (1)

← RICHARD PAUL ROCHEAdvisorregistration: current employment
Nov 25, 2013 to presentfactForm ADV

Controls (8)

← LANDLE, JEFFREY, CHARLESOwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Aug 20, 2013 to Aug 26, 2024factForm ADV
← GRADER, MARK, CHARLESOwnerCHIEF RISK OFFICER, ownership code NA, individual
Aug 20, 2013 to Aug 26, 2024factForm ADV
← CARRIGAN, RANDALL, JAMESOwnerCHIEF LEGAL OFFICER & CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Aug 20, 2013 to Aug 26, 2024factForm ADV
← TOMNEY, RICHARD, FRANCISOwnerPRESIDENT-WEALTH ADVISOR SOLUTIONS, ownership code NA, individual
Mar 31, 2023 to Aug 26, 2024factForm ADV
← HASSETT, JOHN, JOSEPHOwnerMANAGER, ownership code F, individual
Aug 20, 2013 to Aug 26, 2024factForm ADV
← Groom, DavidOwnerSHAREHOLDER, ownership code E, individual
Mar 30, 2016 to Aug 26, 2024factForm ADV
← J.MCK INC.OwnerTRUSTEE, ownership code F, domestic entity
Mar 30, 2016 to Aug 26, 2024factForm ADV
← TAI EQUITY HOLDINGS, LLCOwnerMANAGER, ownership code B, domestic entity
Aug 20, 2013 to Aug 26, 2024factForm ADV

Owns (2)

← VAN OTTERLOO, EYK, DE MOL ALEXANDEROwnerMEMBER, ownership code B, individual
Aug 20, 2013 to Aug 26, 2024factForm ADV
← JANE WALKER MCKINNEY TRUSTOwnerMEMBER, ownership code A, domestic entity
Mar 25, 2015 to Aug 26, 2024factForm ADV

Dated events

Occurred
Mar 28, 2024
Control person left
Patrick David Hausler (Chief Financial Officer) no longer on Schedule A of Little Harbor Advisors, Llc (listed 2023-11-09, absent 2024-03-28)
Form ADVobserved 6 days ago
Occurred
Mar 31, 2023
Regulatory AUM changed
Little Harbor Advisors, Llc reported RAUM $197.9M, down 44% from $352.6M (2022-03-30 to 2023-03-31)
Form ADVobserved 6 days ago
$-155M
Occurred
Mar 31, 2023
Control person joined
Francis Richard Tomney (President-Wealth Advisor Solutions) appeared on Schedule A of Little Harbor Advisors, Llc
Form ADVobserved 6 days ago
Occurred
Mar 31, 2023
Control person joined
Patrick David Hausler (Chief Financial Officer) appeared on Schedule A of Little Harbor Advisors, Llc
Form ADVobserved 6 days ago
Occurred
Mar 30, 2022
Regulatory AUM changed
Little Harbor Advisors, Llc reported RAUM $352.6M, up 186% from $123.4M (2021-03-30 to 2022-03-30)
Form ADVobserved 6 days ago
$229M
Occurred
Aug 20, 2013
First Form ADV filing
Little Harbor Advisors, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:85216641-a0e4-5c56-4fc4-91f1386df669
First observed: Aug 20, 2013
Last observed: Sep 14, 2026 7 days ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

LITTLE HARBOR ADVISORS, LLC

CRD 168700

MARBLEHEAD, MA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:85216641-a0e4-5c56-4fc4-91f1386df669

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:53 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

RICHARD PAUL ROCHE

n/a

Minneapolis, MN | MARBLEHEAD, MA

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

LHA MARKET STATE FUND I, L.P.

Hedge Fund

$5.6M

Mar 30, 2018

Mar 31, 2017

dropped

021-281981

LHA FOCUSED LONG-SHORT FUND, L.P.

Hedge Fund

$3.9M

Aug 13, 2020

Mar 29, 2019

dropped

n/a

LHA MOTR LONG-SHORT FUND, L.P.

Hedge Fund

$3.5M

Aug 26, 2024

Mar 30, 2022

reported

021-442308

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CARRIGAN, RANDALL, JAMES

CHIEF LEGAL OFFICER & CHIEF COMPLIANCE OFFICER

yes

07/2013

Aug 20, 2013

Aug 26, 2024

GRADER, MARK, CHARLES

CHIEF RISK OFFICER

yes

06/2020

Aug 20, 2013

Aug 26, 2024

Groom, David

Shareholder

yes

01/2000

Mar 30, 2016

Aug 26, 2024

HASSETT, JOHN, JOSEPH

CHIEF EXECUTIVE OFFICER

yes

04/2012

Aug 20, 2013

Aug 26, 2024

HASSETT, JOHN, JOSEPH

Manager

yes

09/2010

Aug 20, 2013

Aug 26, 2024

J.MCK INC.

Trustee

yes

01/1999

Mar 30, 2016

Aug 26, 2024

LANDLE, JEFFREY, CHARLES

CHIEF INVESTMENT OFFICER

yes

07/2013

Aug 20, 2013

Aug 26, 2024

TAI EQUITY HOLDINGS, LLC

Manager

yes

04/2012

Aug 20, 2013

Aug 26, 2024

TOMNEY, RICHARD, FRANCIS

PRESIDENT-WEALTH ADVISOR SOLUTIONS

yes

08/2021

Mar 31, 2023

Aug 26, 2024

JANE WALKER MCKINNEY TRUST

Member

05/2014

Mar 25, 2015

Aug 26, 2024

VAN OTTERLOO, EYK, DE MOL ALEXANDER

Member

07/2012

Aug 20, 2013

Aug 26, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

LHA MOTR GP, LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 27, 2026

$243M

n/a

2024

Mar 28, 2025

$202M

n/a

2023

Mar 28, 2024

$205M

$3.5M

2022

Mar 31, 2023

$198M

$3.0M

2021

Mar 30, 2022

$353M

$1.0M

2020

Mar 30, 2021

$123M

n/a

2019

Mar 30, 2020

$8.7M

$3.7M

2018

Mar 29, 2019

$9.2M

$3.4M

2017

Mar 30, 2018

$5.6M

2016

Mar 31, 2017

$3.3M

n/a

$3.3M

2015

Mar 30, 2016

$6.2M

n/a

2014

Mar 25, 2015

$5.5M

n/a

2013

Mar 28, 2014

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$243M

$202M

20.1%

$198M

7.0%