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

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Item 8 Client Contact with Portfolio Managers Clients are strongly encouraged to contact their portfolio managers directly and portfolio managers are available during business hours: Rochdale imposes no additional restriction or limitation on a client’s access to their portfolio mangers. Rochdale also maintains a knowledgeable client service department with the capacity to answer a wide range of inquiries relating to the client’s Accounts, current investments or Rochdale’s overall investment philosophy. 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. 11
Item 9 Additional Information Disciplinary Information -- Neither Rochdale nor any of 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 of the company or its personnel. Other Financial Industry Activities and Affiliations -- Certain officers and/or directors associated with Rochdale serve as officers, directors, analysts and/or portfolio managers of one or more the following entities: Rochdale Investment Management, an SEC registered investment advisor, 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 and/or RIM Securities LLC, a FINRA registered broker/dealer. Rochdale’s relationship as an investment advisor to the several Alternative Funds and to RIT Funds are material to Rochdale’s advisory business. As described above, clients may invest in RIT Funds and/or Alternative Funds. Rochdale and/or its officers, employees and directors may also be investors in these vehicles. Although there is some potential for conflict of interest, Rochdale believes these are not material in light of the requirements of the Code of Ethics adopted by Rochdale and in light of the fact that, to the extent that Rochdale or any employee, director or officer is an investor in RIT Funds or Alternative fund, each shares in any gains or losses proportionally with all other investors. Code of Ethics, Participation or Interest in Client Transaction and Personal Trading -- Rochdale has adopted a Code of Ethics (the "Code") expressing the firm's commitment to ethical conduct. Rochdale's Code of Ethics describes the firm's fiduciary duties and responsibilities to clients (which includes Rochdale Investment Trust, Rochdale Core Alternative Strategies Fund, Rochdale International Trade Fixed Income Fund, Rochdale Structured Claims Fixed Income Fund, RIM Securities LLC, Symphonic Financial Advisors LLC, Symphonic Securities LLC and Symphonic Insurance LLC), and sets forth the practice of supervising personal securities transactions of employees. Individuals associated with Rochdale may buy or sell securities for their personal accounts identical to or different than those recommended to clients. It is the expressed policy of Rochdale that no person employed by Rochdale shall prefer his or her own interest to that of an advisory client or make personal investment decisions based on the investment decisions of advisory clients. To supervise compliance with the Code, Rochdale requires that employees with access to advisory recommendations, or other inside information provide quarterly securities holdings reports and quarterly transactions reports to the Compliance Department. Rochdale also requires all such employees receive prior approval from the Compliance Department prior to effecting transactions meeting certain criteria. All individuals employed by or affiliated with Rochdale must sign, no less than annually, an attestation confirming their receipt and comprehension of the Code. Rochdale requires that all individuals must act in accordance with all applicable federal and state regulations governing registered investment advisory, broker dealer or other professional designation practices. Rochdale's Code further includes the firm's policy prohibiting the use of material non-public information. Any individual not in observance of the Code may be subject to discipline. Rochdale will provide a complete copy of its Code of Ethics to any client upon request. Client Transactions in Securities where Adviser has a Material Financial Interest -- Rochdale has discretionary authority over its clients' investment accounts and initiates the transactions in such accounts. 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 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: Item 7 Client Information Provided
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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