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

More documents

Recommendations

Info

Item 1 Cover Page Neal Rubin Rochdale Offshore Investment Management 570 Lexington Avenue, 9 th Floor New York, NY 10022 (212) 702-3500 March 31, 2012 Rochdale Investment Management 570 Lexington Avenue, 9 th Floor New York, NY 10022 (212) 702-3500 www.rochdale.com This brochure supplement provides information about Neal Rubin that supplements Rochdale Investment Management LLC’s (“Rochdale”) brochure. You should have received a copy of that brochure. Please contact Rochdale’s Compliance Department by calling (212) 702-3500 if you did not receive Rochdale’s disclosure brochure or if you have any questions about the contents of this supplement. Additional information about Neal Rubin is available on the SEC’s website at www.adviserinfo.sec.gov
Neal Rubin (Year of birth – 1956) Item 2 Educational Background and Business Experience Mr. Rubin received his Bachelor of Arts degree in Economics from Brandeis University and his Master’s of Business Administration from Harvard Business School. Mr. Rubin is a Managing Director of Rochdale Offshore Investment Management ("ROIM"), a division of Rochdale. Mr. Rubin joined Rochdale in 2004. Prior to joining Rochdale, Mr. Rubin was employed by Credit Suisse Private Advisors as Director National Sales Manager North America. 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. Rubin. Item 4 Other Business Activities Mr. Rubin is an owner of Acebes, D’Alessandro and Associates (“ADA”), the controlling member of Rochdale and affiliates, thus Mr. Rubin receives a portion of ADA’s earnings. Item 5 Additional Compensation Mr. Rubin may receive compensation based on the total assets he manages or generates and the management fees generated by those accounts. In addition, Mr. Rubin may also receive compensation from fees collected from Rochdale products. As an owner, Mr. Ruben also receives a portion of profits earned by the firm. Item 6 Supervision Rochdale’s Chief Executive Officer Garrett D’ Alessandro and Chief Compliance Officer, Barbara Hawkesworth, Esq. supervise and monitor the activities of Mr. Rubin as it relates 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 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: David M. Coiro (Year of birth - 194
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?