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

More documents

Recommendations

Info

time) for execution using the same executing broker. Rochdale will also aggregate in the same transaction, the same securities for accounts where Rochdale has brokerage discretion. Such aggregation may enable Rochdale to obtain for clients a more favorable price or a better commission rate based upon the volume of a particular transaction. However, in cases where the client has negotiated the commission rate directly with the broker, Rochdale will not be able to obtain more favorable commission rates based on an aggregated trade. In such cases, the client will be precluded from receiving the benefit of any possible commission discounts that might otherwise be available as a result of the aggregated trade. In cases where trading or investment restrictions are placed on a client’s account, Rochdale may be precluded from aggregating that client’s transaction with others. In such a case, the client may pay a higher commission rate and/or receive less favorable prices than clients who are able to participate in an aggregated order. When an aggregated order is completely filled, Rochdale allocates the securities purchased or proceeds of sale pro rata among the participating accounts, based on the purchase or sale order. Adjustments or changes may be made under certain circumstances, such as to avoid odd lots or excessively small allocations. If the order at a particular broker is filled at several different prices, through multiple trades, generally all such participating accounts will receive the average price and pay the average commission, subject to odd lots, rounding, and market practice. If an aggregated order is only partially filled, Rochdale’s procedures provide that the securities or proceeds are to be allocated in a manner deemed fair and equitable to clients. Depending on the investment strategy pursued and the type of security, this may result in a pro rata allocation to all participating clients. Rochdale or its related persons may also participate in an aggregate order. 17
Item 13 Review of Accounts A. Frequency and Nature of Review Each client account is reviewed by their portfolio manager or his designee on an ongoing and regular basis to determine whether securities positions should be maintained in view of current market conditions. Matters reviewed include specific securities held, adherence to investment guidelines and the performance of each client account. B. Factors Prompting an Immediate Review of Accounts. Significant market events affecting the prices of one or more securities in client accounts, changes in the investment objectives or guidelines of a particular client, or specific arrangements with particular clients may trigger reviews of client accounts on an immediate basis. C. Content and Frequency of Regular Account Report Each client that is a separate account will receive monthly statements and trade confirmations from the client’s broker-dealer and will receive quarterly reports from the Adviser. The reports will include a summary of assets, realized and unrealized capital gains and losses, and anticipated and actual income generated by the portfolio. Such reports may be delivered electronically to the client in accordance with the client’s agreement with the Adviser. 18
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 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: client accounts. Rochdale does not
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
show all

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

Create successful ePaper yourself

Delete template?

Save as template?