Robert J. Roche

FIRST FOUNDATION ADVISORS

IRVINE, CA 92612

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CRD#: 2463984

Professional summary

Robert James Roche, who also goes by Robert James Roche Jr, Robert James Roche, is a registered financial advisor currently at FIRST FOUNDATION ADVISORS located in Irvine, California.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Robert has worked at 10 firms and has passed the Series 66, Series 63, Series 65, Series 7TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Robert James Roche Jr | Robert James Roche

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

*20/20 FINANCIAL ADVISORS; SAME AS BRANCH; INV REL; FINANCIAL ADVISORY FIRM; CHIEF COMPLIANCE OFFICER; START DATE=04/2018; HRS/MO=200; TRADING HRS/MO=160; HANDLE REGISTRATION AND COMPLIANCE ISSUES, ATTESTATIONS, POLICIES AND PROCEDURES; *20/20 CAPITAL MANAGEMENT INC; SAME AS BRANCH; INV REL; SEC RIA; CHIEF COMPLIANCE OFFICER; START DATE=04/2018; HRS/MO=200; TRADING HRS/MO=200; CHIEF COMPLIANCE OFFICE 95%, OFFER IAR SERVICES 5%; *Rental Property; same as residence; non-inv rel; Airbnb/VRBO rental property; Landlord; start date=04/2019; hrs/mo=3; trading hrs/mo=0 rent a listing on Airbnb in California

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert James Roche's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 23, 2025 - Present

FIRST FOUNDATION ADVISORS

Office #1: 18101 Von Karman Avenue Ste 700, Irvine, CA 92612

RIA

CRD#: 106075

IRVINE, CA

Past

June 5, 2025 - October 17, 2025

RETIREONE INVESTMENT SERVICES, LLC

CRD#: 269923

LOUISVILLE, KY

Past

May 2, 2018 - December 4, 2019

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

COSTA MESA, CA

Past

April 10, 2018 - December 31, 2022

20/20 CAPITAL MANAGEMENT, INC

RIA

CRD#: 281692

COSTA MESA, CA

Past

January 25, 2018 - April 6, 2018

CRD#: 16668

RENO, NV

Past

March 30, 1995 - April 17, 1997

PIM FINANCIAL SERVICES, INC.

CRD#: 10547

SAN MARCOS, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FIRST FOUNDATION ADVISORS

FIRST FOUNDATION ADVISORS | THE KELLER GROUP INVESTMENT MANAGEMENT, INC | FIRST FOUNDATION INVESTMENT MANAGEMENT

CRD#: 106075 / SEC#: 801-35973

RIA

Registered Investment Advisory firm - (2/28/1990 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(10/23/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Series 65

Date: 3/5/2013

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 4/23/2025

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 4/4/2025

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/25/2018

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/30/2025

General Securities Principal Examination

Current Firm

FIRST FOUNDATION ADVISORS

FIRST FOUNDATION ADVISORS | THE KELLER GROUP INVESTMENT MANAGEMENT, INC | FIRST FOUNDATION INVESTMENT MANAGEMENT

CRD#: 106075 / SEC#: 801-35973

RIA

Registered Investment Advisory firm - (2/28/1990 Approved)

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Contact information

Main Address

18101 Von Karman Ave Suite 700, Irvine, CA 92612-1051

Mailing Address

Phone number

(949) 476-0300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (32 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRST FOUNDATION ADVISORS BROCHURE (6/16/2025)

Regulatory assets under management

Total Number of Accounts	3,945
AUM (Assets Under Management)	$ 5,445,880,088

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/26/2025	Cover Page	Report
12/04/2024	Cover Page	Report
09/27/2024	Cover Page	Report
08/30/2023	Cover Page	Report
02/28/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Robert J. Roche

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert James Roche's CRS (Customer Relationship Summary).

Certified licenses

Experience

RETIREONE INVESTMENT SERVICES, LLC

AMERITAS INVESTMENT COMPANY, LLC

20/20 CAPITAL MANAGEMENT, INC

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

ROBOTIC TRADING ADVISORS, LLC

ADVANCED PRACTICE ADVISORS, LLC

SAVEDAILY.COM, INC.

FINANCIAL WEST GROUP

PIM FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

FIRST FOUNDATION ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 9/15/2025

Series 63

Date: 6/8/2018

Series 65

Date: 3/5/2013

Series 7TO

Date: 4/23/2025

SIE

Date: 4/4/2025

Series 7

Date: 1/25/2018

Series 24

Date: 5/30/2025

Current Firm

FIRST FOUNDATION ADVISORS

Contact information

SEC notice filing (32 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FIRST FOUNDATION ADVISORS

TRUST BUT VERIFY

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