Richard Roche is a registered investment advisor at Wealth Effects, based in Marblehead, MA, with 31 years of industry experience. Richard operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Financial Planning & Coaching, High Net Worth, Investment Management, and 1 more. Their firm serves 602 clients with $470M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Wealth Effects charges a fee based on the value of your portfolio, up to 1.50% annually. The exact fee depends on the complexity of your situation, the amount you invest, and your overall relationship with Wealth Effects. Fees are paid monthly, in advance. The firm may also recommend insurance products, from which they earn commissions.
Location
30 Doaks Lane, Marblehead, MA, 01945
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Wealth Effects
Little Harbor Advisors, LLC
Previous Registrations
Crito Capital LLCBroker
Quasar Distributors, LLCBroker
Foreside Fund Services, LLCBroker
Avatar Associates
Alternative Asset Investment Management Securities, LLCBroker
Iron Street Securities INC.Broker
New England SecuritiesBroker
Fortis Investors, INC.Broker
Advanced Planning Securities, INC.Broker
Metlife - State Street Investment Services, INC.Broker
Planned Investments INC.Broker
Frederick Securities CorporationBroker
Fox Capital CorporationBroker
Angeles/quinoco Securities, INC.Broker
Smith Barney, Harris Upham & CO., IncorporatedBroker
Kidder, Peabody & CO. IncorporatedBroker
State Registrations1 state
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