Rick Roche

Matt Thompson

Rick Roche, CAIA

Managing Director – Educational Services and Regional Director – Business Development

Rick Roche joined Little Harbor Advisors, LLC in April 2013 as a Managing Director. Little Harbor Advisors (LHA) is a sponsor of quantitative investment strategies. Rick has 42 years’ experience in investment management (as of March 2023) and is committed to lifelong learning

He’s considered a “Light Quant/Analytical Translator” – an individual knowledgeable about Artificial Intelligence, Machine Learning and alternative investment data use in quantitative investment models.

From 4Q 2017 thru 2Q 2023, Rick was the featured speaker at approximately 85 FPA Association (CFP) chapters, CAIA chapters, CFA Society and NY-AIR events. His Machine Learning in Investment Management presentation has been enthusiastically received by thousands of credentialed advisors and analysts.

He holds Series 3 (Commodities), 7, 63 and 65 licenses. Rick earned his Chartered Alternative Investment Analyst charter designation in 2014. He is also a Member of Society of Quantitative Analysts (SQA), the New York Alternative Investment Roundtable (NY-AIR) and has a new Professional Membership at CFANY. Rick earned a B.A.-History from the University of Dayton.

Rick Roche has consulted with numerous major financial companies and has personally trained thousands of financial sales pros in customer loyalty marketing, capital market trends and investor behavior.

He has a unique ability to synthesize large amounts of academic and technical research and translate into actionable intelligence. His extensive investment background, encyclopedic command of market theory and staccato delivery have earned him the Top-Rated Speaker rating. From Jan-1977 to Jan-1980, Rick served two terms in the Massachusetts House of Representatives representing Springfield, MA.

We believe that tactical adjustments around beta are good sources of alpha.