{
  "crd_number": 170528,
  "slug": "roche-asset-management-llc-allentown-pa-170528",
  "primary_business_name": "ROCHE ASSET MANAGEMENT, LLC",
  "legal_name": "ROCHE ASSET MANAGEMENT, LLC",
  "dbas": [],
  "city": "Allentown",
  "state": "PA",
  "country": "United States",
  "cbsa_code": "10900",
  "metro": {
    "cbsa_code": "10900",
    "common_name": "Allentown",
    "msa_name": "Allentown-Bethlehem-Easton, PA-NJ",
    "path": "/advisors/pa/allentown"
  },
  "registration_type": "state",
  "registration_status": "APPROVED",
  "registration_date": "2014-05-20",
  "years_registered": 12,
  "period": "2026-10-01",
  "filing_date": "2026-03-10",
  "carried_forward": false,
  "raum_total": 14653533.0,
  "raum_discretionary": 14653533.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "under_25m",
  "raum_band_label": "Under $25 million",
  "total_employees": 2,
  "advisory_employees": 2,
  "client_count_bucket": null,
  "clients_by_type": {
    "individuals": {
      "raum": 14653533.0,
      "count": 60
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 2,
  "states_registered": [
    "PA"
  ],
  "websites": [
    "https://facebook.com/ROCHE-ASSET-MANAGEMENT-LLC-858529844194497"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/170528",
  "disclosure_items": [
    {
      "item": "11.D(2)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?"
    },
    {
      "item": "11.D(4)",
      "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    }
  ],
  "city_as_filed": "ALLENTOWN",
  "url": "https://advisorcensus.com/firm/roche-asset-management-llc-allentown-pa-170528",
  "display_name": "Roche Asset Management, LLC",
  "summary": "Roche Asset Management, LLC is a state-registered investment advisory firm in Allentown, PA, registered since 2014, reporting under $25 million in regulatory assets under management in its Form ADV filing dated March 10, 2026.",
  "citation": "AdvisorCensus. Roche Asset Management, LLC (CRD 170528): Form ADV filing data as of October 2026.",
  "registration_type_label": "State-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Portfolio management for individuals and/or small businesses"
  ],
  "quick_answers": [
    {
      "q": "How is Roche Asset Management, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Roche Asset Management, LLC reports these compensation arrangements: a percentage of assets under its management."
    },
    {
      "q": "Where is Roche Asset Management, LLC located?",
      "a": "Roche Asset Management, LLC's principal office is in Allentown, PA, according to its Form ADV."
    },
    {
      "q": "Is Roche Asset Management, LLC registered with the SEC or a state?",
      "a": "Roche Asset Management, LLC is a state-registered investment advisory firm, registered since 2014. Status as filed: APPROVED. CRD 170528."
    },
    {
      "q": "How much does Roche Asset Management, LLC manage?",
      "a": "Roche Asset Management, LLC reports $14,653,533 in regulatory assets under management in its Form ADV filing dated March 10, 2026 (100% discretionary)."
    },
    {
      "q": "What types of clients does Roche Asset Management, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (60)."
    },
    {
      "q": "Does Roche Asset Management, LLC report any disciplinary disclosures?",
      "a": "Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation) and 11.D(4) (another regulator's order in the past ten years). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/170528"
    }
  ],
  "filing_history": [],
  "recent_changes": [],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/roche-asset-management-llc-allentown-pa-170528.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 60,
      "fewer_than_5": false,
      "raum": 14653533.0
    }
  ],
  "disclosure_line": "Reports 2 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/170528",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}