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.

Current firm

LITTLE HARBOR ADVISORS, LLC

Current firm class

asset managerderived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

Oct 27, 2009earliest registration or exam on IAPD

Years in industry

16derivedfrom the industry start date

Years at current firm

12derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

1

Exams

S63|S65

First exam

Oct 27, 2009

First registration

Oct 28, 2009

Dual registered

no

Other names

RICK ROCHE

IAPD individual key

1002171

• Occurred

  May 14, 2026
  Advisor departed, no destination yet

  Richard Paul Roche no longer registered at Wealth Effects; no later IA registration on IAPD

  Form ADVobserved 6 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:f888e225-3dbe-1fd2-9096-6829ebb19fd8

First observed

Oct 28, 2009

Last observed

Sep 14, 2026 7 days ago

Source families

Federal regulator filings

1 registered feed 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.