May Luncheon with Rick Roche of Little Harbor Advisors

May 22, 2019
11:15 AM - 1:00 PM
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Pappadeaux at La Cantera
15715 I-10 West
San Antonio, TX 78257

Moments of Truth

Rick Roche, CAIA, Managing Director - Little Harbor Advisors

Moments of Truth reveals the Achilles heel of Modern Portfolio Theory (MPT), which assumes that securities markets follow normal distributions – which decidedly they don’t!  Moments of Truth emphasizes the necessity of modeling beyond the first two statistical moments of distribution – mean and variance, and sheds light of the frequency and causes of fat-tailed distributions. It showcases four higher moments of probability and the need for tail-risk protection and the quantitative investment models used to look at “non-normal” investment environments.

1 Hour of CFP CE Pending

Rick Roche serves as Managing Director, Business Development for fund sales through the Broker/Dealer and RIA channels. Rick brings over three decades’ experience in the financial services industries to this role at LHA.

Rick’s career achievements include: financial adviser at Kidder Peabody & Co. and SmithBarney; No. 1 wholesaler at 3 of 4 firms; took two wholesaler territories from Worst to First; National Sales Manager at Fortis Financial & New England Annuities; Rick & the wholesaler teams he led raised $2.5 billion in Assets Under Management ($AUM); Elected at age 24 to the Mass. House of Representatives (served two terms);

Rick brings a unique perspective and singular focus to financial advisers’ concerns, challenges and client interactions. He keeps fluent in market-speak by devouring the latest academic insight on market & investor behavior and investment fund flows. Rick Roche relates to retail financial advisers as only a peer can. His broad investment background, command of market stats and staccato delivery make for unmatched presentations.

Rick earned a B.A. in History from the University of Dayton, OH. He holds Series 3, 7, 63 and 65 licenses. Rick became a Chartered Alternative Investment Analyst -- CAIA -- charter holder in 2014. The CAIA Charter designation is the highest standard of achievement in alternative investment education and a globally recognized credential in alternative investments.


Registration Fees

FPA Members  $25.00
Guests/Non-Members $40.00

Payment Options: Credit Card using online form or Pay at Door (Cash or Check). Currently the Pay at door sends an email to Subject "RSVP for the FPA Luncheon"

Registration Deadline: [Registration Deadline]

Cancellation and Refund Policy.


$25.00 FPA Members

$40.00 Guests/Non-Members

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