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

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securities of a company whose earnings the Adviser expects to grow at an above-average rate compared to the company’s specific industry or the overall market. Hedging. The Adviser utilizes a variety of financial instruments such as derivatives and options for risk management purposes. Relative Value. The Adviser pursues relative value strategies by taking long positions in securities believed to be undervalued. High Dividend and Income. The Adviser pursues high dividend and income strategies by taking long positions in company with high dividend growth potential. Galaxy TM . The Adviser using a proprietary modeling system to design asset allocation models specific to a client’s risk return requirements. Please refer to the description of Galaxy. TM above. 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, Rochdale must always vote in its clients’ best interest. Rochdale must maintain copies of all proxy votes cast on client’s 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, Rochdale currently utilizes 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, Rochdale will cast client’s votes in accordance with their recommendation. However, in the event Rochdale feels that the suggestion provided by the proxy voting service is not in the clients’ best interest, Rochdale may vote against such recommendation. In the instance Rochdale decides not to go with the recommendation provided, Rochdale shall keep an internal memorandum detailing its 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. 9
Item 7 Client Information Provided to Portfolio Managers Each client fills out a comprehensive questionnaire and provides proof of financial means. Information regarding each client’s risk tolerance and financial well being is documented and followed closely. As well each client is contacted on a regular basis to determine how to proceed in the future. As indicated above, In-person or telephonic conferences with clients are generally conducted at least annually. Clients are strongly encouraged to contact their portfolio manager directly; Rochdale also maintains a knowledgeable client service department with the capacity to answer a wide range of inquiries relating to the client’s Accounts. Clients are also encouraged to notify Rochdale immediately, either through the client service department or by contacting their portfolio manager, if there is any change in their investment objectives or financial condition. 10
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 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: fees for such services. Rochdale ma
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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