Part 2A of Form ADV: Firm Brochure Item 1 Cover Page ROCHDALE ...

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Item 2 Material Changes MATERIAL CHANGES Rochdale continues to conduct its business activities and to provide investment advisory services in substantially the same manner as described in the Firm’s last update, which was made on March 28, 2012. This Brochure, however, has been prepared in accordance with rules adopted by the Securities and Exchange Commission. Accordingly, the content and presentation of our Brochure is not materially different from the brochure used by Rochdale last year. - ii - US_ACTIVE-105561780.1
Item 3 Table of Contents Item 1 Cover Page ..............................................................................................................................i Item 2 Material Changes ..................................................................................................................ii Item 3 Table of Contents .................................................................................................................iii Item 4 Advisory Business..................................................................................................................1 A. General Description of Advisory Firm ....................................................................... 1 B. Description of Advisory Services ............................................................................... 1 C. Client Assets Under Management............................................................................... 3 Item 5 Fees and Compensation ........................................................................................................4 A. Advisory Fees and Compensation............................................................................... 4 B. Payment of Fees.......................................................................................................... 5 C. Prepayment of Fees..................................................................................................... 5 Item 6 Performance-Based Fees and Side-By-Side Management.................................................6 Item 7 Types of Clients .....................................................................................................................7 Item 8 Methods of Analysis, Investment Strategies and Risk of Loss ..........................................8 A. Methods of Analysis and Investment Strategies......................................................... 8 B. Material Risks (Including Significant, or Unusual Risks) Relating to Investment Strategies..................................................................................................................... 8 C. Risks Associated with Types of Securities that are Primarily Recommended ........... 9 Item 9 Disciplinary Information ....................................................................................................11 Item 10 Other Financial Industry Activities and Affiliations .......................................................12 Item 11 Code of Ethics, Participation or Interest in Client Transactions and Personal Trading.................................................................................................................13 A. Code of Ethics........................................................................................................... 13 B. Client Transactions in Securities where Adviser has a Material Financial Interest.. 13 C. Investing in Securities Recommended to Clients ..................................................... 14 D. Conflicts of Interest Created by Contemporaneous Trading .................................... 14 Item 12 Brokerage Practices ............................................................................................................15 A. Factors Considered in Selecting or Recommending Broker-Dealers for Client Transactions .............................................................................................................. 15 1. Research and Other Soft Dollar Benefits.................................................................. 15 2. Brokerage for Client Referrals.................................................................................. 16 3. Directed Brokerage ................................................................................................... 16 B. Order Aggregation .................................................................................................... 16 Item 13 Review of Accounts .............................................................................................................18 A. Frequency and Nature of Review ............................................................................. 18 B. Factors Prompting an Immediate Review of Accounts. ........................................... 18 C. Content and Frequency of Regular Account Report................................................. 18 Item 14 Client Referrals and Other Compensation........................................................................19 A. Economic Benefits Received from Non-Clients for Providing Services to Clients . 19 B. Compensation to Non-Supervised Persons for Client Referrals............................... 19 Item 15 Custody.................................................................................................................................20 Item 16 Investment Discretion .........................................................................................................21 Item 17 Voting Client Securities.......................................................................................................23 Item 18 Financial Information.........................................................................................................24 Item 19 Requirements for State-Registered Advisers....................................................................25 - iii - Page US_ACTIVE-105561780.1
Page 1: Part 2A of Form ADV: Firm Brochure
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 and 14: additional risks such as limited li
Page 15 and 16: Item 10 Other Financial Industry Ac
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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Part 2A of Form ADV: Firm Brochure Item 1 Cover Page ROCHDALE ...

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