Robert Roche has been Chief Compliance Officer of First Foundation Advisors since October 2025, is a control person of the firm and directly owns under 5% of it.
First Foundation Advisors is an Irvine, CA firm with $5.06B under management, 1,316 clients and 28 advisers across 12 offices, as of its July 2026 filing.
Bob Roche is RIA Compliance Director of FirstSun Advisors. He is responsible for overseeing the firm's compliance framework, including regulatory monitoring, policy administration, risk assessment and compliance-related initiatives.
Robert Roche’s longest registration was 4 years at 20/20 Capital Management, Inc (2018–2022). Before joining First Foundation Advisors in 2025, Robert Roche was registered through 20/20 Capital Management, Inc and Woodbury Financial Services, Inc.
- First Foundation AdvisorsCurrent– present · under a yearIrvine, CA · Adviser representative · Firm CRD 106075
- 20/20 Capital Management, Inc– · 4 yearsCosta Mesa, CA · Adviser representative · Firm CRD 281692
- Woodbury Financial Services, Inc.– · under a yearOakdale, MN · Adviser representative · Firm CRD 421
- Robotic Trading Advisors, LLC– · under a yearWest St. Paul, MN · Adviser representative · Firm CRD 168687
- Advanced Practice Advisors, LLC– · 1 yearDel Mar, CA · Adviser representative · Firm CRD 154084
- Savedaily.com, Inc.– · under a yearSeal Beach, CA · Adviser representative · Firm CRD 108306
Investment adviser representative registrations
Robert Roche is registered as an investment adviser representative in California, since October 2025.
- CaliforniaSince 23 October 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 15 September 2025 |
| Series 24 | General Securities Principal Examination | 30 May 2025 |
| Series 7TO | General Securities Representative Examination | 23 April 2025 |
| SIE | Securities Industry Essentials Examination | 4 April 2025 |
| Series 63 | Uniform Securities Agent State Law Examination | 8 June 2018 |
| Series 7 | General Securities Representative Examination | 25 January 2018 |
| Series 65 | Uniform Investment Adviser Law Examination | 5 March 2013 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Investment Adviser Law Examination
- Full name
- Robert James Roche
- CRD
- 2463984
- Firm
- First Foundation Advisors · CRD 106075
- Role
- Chief Compliance Officer
- Office
- 18101 VON KARMAN AVENUE, SUITE 700, Irvine, CA 92612
- Registration
- Investment adviser registration
- In the industry since
- February 2015
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- sunflowerbank.com
Where does Robert Roche work?
Robert Roche has been Chief Compliance Officer of First Foundation Advisors since October 2025, and is a control person of the firm.
Is Robert Roche a financial advisor?
Yes. Robert Roche has a current investment-adviser registration in California, through First Foundation Advisors since October 2025.
How many years of experience does Robert Roche have?
Robert Roche has 11 years in the financial industry, since February 2015, across 6 adviser firms.
What exams has Robert Roche passed?
Robert Roche has passed 7 licensing exams: the Series 65, Series 7, Series 63, SIE, Series 7TO, Series 24 and Series 66. The earliest, the Series 65, was passed in March 2013.
Where did Robert Roche work before First Foundation Advisors?
Before First Foundation Advisors, Robert Roche was registered through 20/20 Capital Management, Inc, April 2018 to December 2022; Woodbury Financial Services, Inc., November 2017 to April 2018; Robotic Trading Advisors, LLC, August 2017 to November 2017; Advanced Practice Advisors, LLC, July 2014 to March 2016; Savedaily.com, Inc., March 2013 to November 2013.
Where is Robert Roche based?
Robert Roche’s registered office is in Irvine, CA.
Is Robert Roche registered with FINRA?
No. Robert Roche has no current broker registration.
How can I verify Robert Roche’s record?
Search CRD 2463984 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Robert Roche’s full registration record.
