<strong>Item</strong> 9 Disciplinary Information Neither Rochdale nor any <strong>of</strong> its employees have been involved in any legal or disciplinary events in the past 10 years that would be material to a client’s evaluation <strong>of</strong> the company or its personnel. 11
<strong>Item</strong> 10 Other Financial Industry Activities and Affiliations Certain <strong>of</strong>ficers and/or directors associated with Rochdale serve as <strong>of</strong>ficers, directors, analysts and/or portfolio managers <strong>of</strong> one or more the following entities: Symphonic Financial Advisors LLC, an SEC registered investment adviser, Symphonic Securities LLC, a FINRA registered broker/dealer, Symphonic Insurance LLC, a state registered insurance agency, RIM Securities LLC, a FINRA registered broker/dealer, Rochdale Capital Management LLC, an SEC registered investment adviser, and Rochdale Securities LLC, a FINRA registered broker/dealer. Please take note, Rochdale’s only affiliation with Rochdale Capital Management LLC and Rochdale Securities LLC is through the common ownership <strong>of</strong> Carl Acebes, Founder. Rochdale does not, follow or endorse the decisions, positions, analyses, opinions, research or recommendations made by Rochdale Capital Management LLC or Rochdale Securities LLC. Rochdale is a clear and distinct entity from both Rochdale Capital Management LLC and Rochdale Securities LLC. There is no overlap <strong>of</strong> personnel, systems, services, etc., nor is there any business arrangement or dealings between the entities. Rochdale’s relationship as an investment advisor to the several Alternative Funds and to RIT Funds is material to Rochdale’s advisory business. As described above, clients may invest in RIT Funds and/or Alternative Funds. Rochdale and/or its <strong>of</strong>ficers, employees and directors may also be investors in these vehicles. Although there is some potential for conflict <strong>of</strong> interest, Rochdale believes these are not material in light <strong>of</strong> the requirements <strong>of</strong> the Code <strong>of</strong> Ethics adopted by Rochdale and in light <strong>of</strong> the fact that, to the extent that Rochdale or any employee, director or <strong>of</strong>ficer is an investor in RIT Funds or Alternative fund, each shares in any gains or losses proportionally with all other investors. 12
- Page 1 and 2: Part 2A of Form ADV: Firm Brochure
- Page 3 and 4: Item 3 Table of Contents Item 1 Cov
- Page 5 and 6: RATROF and RRROF (“Alternative Fu
- Page 7 and 8: Item 5 Fees and Compensation A. Adv
- Page 9 and 10: Item 6 Performance-Based Fees and S
- Page 11 and 12: Item 8 Methods of Analysis, Investm
- Page 13: additional risks such as limited li
- Page 17 and 18: agency cross transaction, there is
- Page 19 and 20: client accounts. Rochdale does not
- Page 21 and 22: Item 13 Review of Accounts A. Frequ
- Page 23 and 24: Item 15 Custody Custody of all Acco
- Page 25 and 26: RIM executes transactions for the m
- Page 27 and 28: Item 18 Financial Information This
- Page 29 and 30: Part 2A Appendix 1 of Form ADV: Wra
- Page 31 and 32: Item 3 Table of Contents Item 1 Cov
- Page 33 and 34: Next $1,000,000 to 1.00% $1,000,000
- Page 35 and 36: above, securities transactions will
- Page 37 and 38: Item 6 Portfolio Manager Selection
- Page 39 and 40: fees for such services. Rochdale ma
- Page 41 and 42: Item 7 Client Information Provided
- Page 43 and 44: Item 9 Additional Information Disci
- Page 45 and 46: well as the month-end market value,
- Page 47 and 48: Item 1 Cover Page Part 2B of Form A
- Page 49 and 50: Item 1 Cover Page Garrett R. D’Al
- Page 51 and 52: Item 5 Additional Compensation As a
- Page 53 and 54: John T. Buckley, CFA (Year of birth
- Page 55 and 56: David M. Coiro (Year of birth - 194
- Page 57 and 58: Neal Rubin (Year of birth - 1956) I
- Page 59 and 60: Jeffrey L. Gage, AIF® (Year of bir
- Page 61 and 62: Ted Cox, CFA (Year of birth - 1966)
- Page 63 and 64: John T. Fulgham, AIF® (Year of bir
- Page 65 and 66:
Kashif S. Ahmad, CFA (Year of birth
- Page 67 and 68:
Harry Martin, AIF® (Year of birth
- Page 69 and 70:
Derek A. Roy, AIF® (Year of birth
- Page 71 and 72:
Jonathan Doyle, CIMA® (Year of bir
- Page 73 and 74:
Kevin Barlow (Year of birth - 1982)
- Page 75 and 76:
Paul Guerney, CFA (Year of birth -
- Page 77 and 78:
Poul Erik Olsen, CFA (Year of birth
- Page 79 and 80:
Charles P. Alberton, CFA, CAIA (Yea
- Page 81 and 82:
Item 1 Cover Page Elizabeth T. Dool
- Page 83 and 84:
Item 1 Cover Page Sheldon C. Branda
- Page 85 and 86:
Item 1 Cover Page John Geraghty Mar
- Page 87 and 88:
Item 1 Cover Page Robert DeLong Roc
- Page 89 and 90:
Item 1 Cover Page Adam Elover March
- Page 91 and 92:
Item 1 Cover Page Thomas A. Galvin
- Page 93 and 94:
Item 1 Cover Page Lindsey Cook Marc
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