# Roche Asset Management, LLC

> 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.

- CRD: 170528
- Filed as: ROCHE ASSET MANAGEMENT, LLC
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Allentown, PA
- Filing period: October 2026
- Form ADV filing dated: March 10, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/170528
- AdvisorCensus page: https://advisorcensus.com/firm/roche-asset-management-llc-allentown-pa-170528

## Quick answers

**How is Roche Asset Management, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Roche Asset Management, LLC reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Roche Asset Management, LLC located?**
Roche Asset Management, LLC's principal office is in Allentown, PA, according to its Form ADV.

**Is Roche Asset Management, LLC registered with the SEC or a state?**
Roche Asset Management, LLC is a state-registered investment advisory firm, registered since 2014. Status as filed: APPROVED. CRD 170528.

**How much does Roche Asset Management, LLC manage?**
Roche Asset Management, LLC reports $14,653,533 in regulatory assets under management in its Form ADV filing dated March 10, 2026 (100% discretionary).

**What types of clients does Roche Asset Management, LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (60).

**Does Roche Asset Management, LLC report any disciplinary disclosures?**
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

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Regulatory assets under management (Item 5.F)
- Total: $14,653,533
- Discretionary: $14,653,533
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 60 | $14,653,533 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2014 (12 years)
- Employees: 2 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: PA
- Disclosures (Item 11): Reports 2 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.D(2): 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?
- 11.D(4): 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?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/170528

### Websites listed on Form ADV (Item 1.I)
- Facebook @ROCHE-ASSET-MANAGEMENT-LLC-858529844194497

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Roche Asset Management, LLC (CRD 170528): Form ADV filing data as of October 2026.