Robert James Roche
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Robert James Roche Jr, Robert James Roche
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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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Years of Experience
16 years in the financial services industry
Current & Past Employments
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Current Firm
FIRST FOUNDATION ADVISORS | THE KELLER GROUP INVESTMENT MANAGEMENT, INC | SUNFLOWER WEALTH ADVISORS | FIRSTSUN ADVISORS | FIRST FOUNDATION INVESTMENT MANAGEMENT
Contact Information
Main Address
18101 Von Karman Ave Suite 700, Irvine, CA 92612-1051Phone Number
(949) 476-0300# of Employees
57SEC notice filing (33 States and Territories)
Registered to provide investment advisory services in 33 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
3,373AUM (Assets Under Management)
$5,063,713,129Accountant 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 |
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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.
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Primary Firm SEC Registration
FIRST FOUNDATION ADVISORS | THE KELLER GROUP INVESTMENT MANAGEMENT, INC | SUNFLOWER WEALTH ADVISORS | FIRSTSUN ADVISORS | FIRST FOUNDATION INVESTMENT MANAGEMENT
State Registrations and Notice Filings
(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.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view Robert James Roche's CRS (Customer Relationship Summary).
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