Part 2A of Form ADV: Firm Brochure Item 1 Cover Page ROCHDALE ...
Part 2A of Form ADV: Firm Brochure Item 1 Cover Page ROCHDALE ... Part 2A of Form ADV: Firm Brochure Item 1 Cover Page ROCHDALE ...
Item 17 Voting Client Securities As a registered investment adviser with the SEC, Rochdale owes its clients a duty of care and a duty of loyalty at all times. This means that if granted the authority to vote proxies we must always vote in your best interest. We must maintain copies of all proxy votes we cast on your behalf and will provide this information upon request. Upon opening an account with Rochdale, clients are given the option to delegate proxy-voting discretion to Rochdale by completing the appropriate documents. Rochdale will only exercise proxy-voting discretion over the client shares in the instances where clients give Rochdale discretionary authority to vote on their behalf. When voting on behalf of clients, we currently utilize the services of a neutral third party proxy voting service. This service provides Rochdale with a neutral recommendation on how a client's proxy should be voted. In most instances, we will cast clients votes in accordance with their recommendation. However, in the event we feel that the suggestion provided by the proxy voting services is not in not in the clients best interest we may vote against such recommendation. In the instances we decide not to go with the recommendation provided, we keep an internal memorandum detailing our reasons for doing so. Rochdale also has authorization to vote the underlying shares of Rochdale Investment Trust. Clients may obtain a copy of the Adviser’s proxy voting policies and procedures and information about how the Adviser voted a client’s proxies by contacting Barbara Hawkesworth (Chief Compliance Officer) by email at bam@rochdale.com or by telephone at (212) 702-3500. 23
Item 18 Financial Information This Item is not applicable as Rochdale uses Pershing LLC as its Qualified Custodian. 24
- 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 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: RIM executes transactions for the m
- 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 -
<strong>Item</strong> 18<br />
Financial Information<br />
This <strong>Item</strong> is not applicable as Rochdale uses Pershing LLC as its Qualified Custodian.<br />
24