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 ...
Garrett R. D’Alessandro, CFA, CAIA, AIF® (Year of birth – 1957) Item 2 Educational Background and Business Experience Mr. D'Alessandro received his Bachelor of Science degree from Montclair State University and his Master’s of Business Administration in finance from New York University’s Stern School of Business. Mr. D’Alessandro is the President, Chief Executive Officer (“CEO”) and Co-Chief Investment Officer of Rochdale. He is also the CEO and President of Rochdale’s affiliated entities, Rim Securities LLC, Symphonic Financial Advisors LLC and Symphonic Securities LLC. Mr. D'Alessandro also serves on the Board of Directors of these organizations. Mr. D'Alessandro also serves as the President of Rochdale Core Alternative Strategies Fund, Rochdale International Trade Fixed Income Fund, Rochdale Structured Claims Fixed Income Fund and Rochdale Alternative Total Return Fund. Mr. D'Alessandro joined these organizations in 1986. Since 1998 he also serves as President of Rochdale Investment Trust (the “Trust”), and as Portfolio Manager to all funds of the Trust. Prior to joining Rochdale Mr. D'Alessandro was a Vice President and Controller of Yipkon Corporation, a New Jersey based computer company and an audit manager and Certified Public Accountant with Peat Marwick Mitchell & Co., a public accounting firm. Mr. D'Alessandro holds the Chartered Financial Analyst (“CFA”) designation. This designation is issued by the CFA Institute. The prerequisites or experience required is an undergraduate degree, 4 years of professional experience involving investment decision making or 4 years of full-time qualified non-investment related work experience. It is a self-study program, approximately 250 recommended hours of study for each of the 3 levels. All three levels are then achieved through a course exam. There are no continuing education requirements. Mr. D’Alessandro holds the Chartered Alternative Investment Analyst (“CAIA”) designation. This designation is issued by the CAIA Association. The prerequisites or experience required is over one year of professional experience and a U.S. bachelor’s degree (or equivalent) or four years of professional experience. CAIA candidates must pass both Level I and Level II of the CAIA exam to qualify for the designation. Qualifying candidates must complete the online Member Agreement, provide two professional references, and submit annual membership dues. Mr. D’Alessandro holds the Accredited Investment Fiduciary® (“AIF®”) designation. AIF® designees have successfully completed a specialized program on investment fiduciary standards of care. After the training program they must successfully pass an examination, conform to a code of ethics and complete 6 hours of continuing education requirements on a yearly basis. Item 3 Disciplinary Information Registered investment advisers are required to disclose all material facts regarding any legal or disciplinary events that would be material to your evaluation of each supervised person providing investment advice. There are no legal or disciplinary events to report relative to Mr. D’Alessandro. Item 4 Other Business Activities Mr. D’Alessandro is an owner of Acebes, D’Alessandro and Associates (“ADA”), the controlling member of Rochdale and affiliates, thus Mr. D’Alessandro receives a portion of ADA’s earnings.
Item 5 Additional Compensation As an owner, Mr. D’Alessandro also receives a portion of profits earned by the firm. Item 6 Supervision Rochdale Investment Trust’s Board of Directors, including Chairman Carl Acebes, and Chief Compliance Officer Barbara Hawkesworth, Esq. supervise and monitor the activities of Mr. D’Alessandro relative to the Firm and its clients. Such is done through various channels including the review of documents related to his clients and monitoring of accounts through automated reports generated directly to the Compliance Department. The Firm’s Chief Compliance Officer, Barbara Hawkesworth may be contacted at 212-702-3500.
- 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 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: Item 1 Cover Page Garrett R. D’Al
- 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
<strong>Item</strong> 5 Additional Compensation<br />
As an owner, Mr. D’Alessandro also receives a portion <strong>of</strong> pr<strong>of</strong>its earned by the firm.<br />
<strong>Item</strong> 6 Supervision<br />
Rochdale Investment Trust’s Board <strong>of</strong> Directors, including Chairman Carl Acebes, and Chief Compliance Officer<br />
Barbara Hawkesworth, Esq. supervise and monitor the activities <strong>of</strong> Mr. D’Alessandro relative to the <strong>Firm</strong> and its<br />
clients. Such is done through various channels including the review <strong>of</strong> documents related to his clients and<br />
monitoring <strong>of</strong> accounts through automated reports generated directly to the Compliance Department. The <strong>Firm</strong>’s<br />
Chief Compliance Officer, Barbara Hawkesworth may be contacted at 212-702-3500.
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